3.3 Summarise how the requirements of regulation are met within own service

This guide will help you answer 3.3 Summarise how the requirements of regulation are met within own service.

Running an adult care service in England means keeping to strict rules. These rules, known as regulations, set the standards for safety, quality, and respect for people’s rights. The Care Quality Commission (CQC) is the main body responsible for making sure care providers meet these rules. Other key regulations shape decisions and set safe practices in care services.

This guide covers how your service can meet these requirements every day. It covers key laws, policies, staff training, supporting people, and listening to feedback.

Care Quality Commission (CQC) Regulations

The CQC expects services to meet “fundamental standards.” These cover the basic things people should receive from care services. They include safe care, respect, staff competence, good record keeping, and clear complaints procedures.

Your service meets CQC regulations by:

• Registering with the CQC
• Keeping up to date with inspections
• Following “Key Lines of Enquiry” (KLOEs)
• Acting quickly on recommendations from inspectors

The CQC checks all areas of the service, from cleanliness to the way staff treat people. Inspectors speak to people who use the service, their families and workers. After inspections, they give feedback and a rating. If they find improvements are needed, management makes changes and records what is being done. This cycle helps keep standards high.

Duty of Candour

The “duty of candour” means being open and honest when something goes wrong in care. The law says workers must tell people (or their families) if an incident happens that leads to harm or could have caused harm.

To meet duty of candour requirements, your service:

• Has clear policies explaining how and when to report incidents
• Trains staff to apologise and communicate openly
• Keeps accurate records of what went wrong and what was done afterwards
• Supports people and families involved
• Tells the CQC about serious incidents within required timescales

This approach strengthens trust and encourages learning from mistakes. It also avoids cover-ups which can lead to bigger problems later.

The Data Protection Act 2018 (GDPR)

Handling information correctly is key in care. The Data Protection Act puts rules in place for storing, sharing, and using personal data.

Ways your service meets these rules include:

• Asking for consent before sharing personal information
• Locking paper files and using password protection for digital records
• Training all staff on privacy and confidentiality
• Reviewing access rights to data regularly
• Responding swiftly to any data breaches

People have the right to see their own records. You must have a process in place for requests, including checking ID and responding within a set time (usually one month).

Safeguarding

Safeguarding means protecting people from abuse, neglect or harm. The Care Act 2014 makes it clear what every service must do.

To meet safeguarding requirements, your service:

• Has a safeguarding policy everyone can access
• Checks staff backgrounds with the Disclosure and Barring Service (DBS) before they start
• Gives all staff regular training in spotting and reporting abuse
• Works with local authorities and police if serious risks are found
• Makes sure people know how to raise concerns
• Records safeguarding concerns, incidents, and actions taken

The focus is on “making safeguarding personal.” This means putting the person at the centre and involving them in decisions about their safety.

Health and Safety

Keeping people, staff, and visitors safe matters every day. The Health and Safety at Work Act 1974 sets the legal standard in the UK.

Ways your service meets health and safety rules:

• Completing risk assessments for activities, premises, medication, and equipment
• Having emergency procedures for fire, flood, and other risks
• Training staff in moving and handling, infection control, first aid, and fire safety
• Displaying safety signs and information clearly
• Inspecting and maintaining equipment
• Following COSHH (Control of Substances Hazardous to Health) rules for chemicals
• Recording accidents and learning from them

Your service should have a health and safety policy everyone understands.

Medication Management

Strict controls around medicines reduce the chance of mistakes. The Medicines Act 1968 and guidance from the National Institute for Health and Care Excellence (NICE) shape how care services manage medication.

Meeting medication requirements means:

• Storing drugs securely and at the right temperature
• Keeping accurate records for all medicines given
• Training staff before they handle or give out medication
• Reporting errors and learning from them
• Stopping unauthorised people from accessing medications
• Having policies on self-administration (where people manage their own medicines)

Auditing medication helps spot issues early and keeps people safe.

Recruitment and Staff Training

Safe recruitment stops unsuitable people from working in care. Ongoing staff training supports high standards.

To meet these requirements, your service:

• Follows “Safer Recruitment” principles (checking criminal records, work history, references)
• Checks staff identity and right to work in the UK
• Provides a thorough induction for new staff
• Gives staff regular training and updates (for example, on safeguarding, infection control, and equality)
• Encourages supervision, mentoring, and continuous professional development
• Monitors training compliance and keeps training records up to date

Regular reviews with staff highlight gaps and give them a chance to raise concerns.

Supporting Quality of Care

Quality means providing safe, effective, caring, responsive and well-led services. This is at the heart of all regulatory standards.

Ways your service puts this into action:

• Using personalised care plans based on individual needs and preferences
• Involving people (and their advocates or families) in decisions
• Giving information in accessible ways, for example in easy-read or other languages
• Listening to feedback and complaints, then acting on them quickly
• Checking for patterns in incidents or complaints to drive improvement
• Reviewing practice through audits, surveys, and meetings

All these steps show a commitment to putting people first and improving care.

Record Keeping

Accurate, up-to-date records form the backbone of safe care.

Your service can:

• Write care plans in plain English without jargon
• Keep daily records of care provided
• Update records when changes happen
• Store records securely (both paper and digital)
• Dispose of records safely after the legal retention period
• Audit records to check for accuracy and gaps

Staff need to know that “if it is not written down, it did not happen” in the eyes of inspectors.

Reporting and Incident Response

Following reporting rules helps stop repeat problems and protects everyone.

Processes usually involve:

• Recording all accidents, injuries, and incidents promptly
• Reporting certain types of events (called “notifiable incidents”) to the CQC and, if needed, the local authority
• Following RIDDOR rules (Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013) for workplace injuries
• Investigating incidents, learning, and sharing lessons with staff

Keeping an incident log helps managers track patterns and plan improvements.

Managing Complaints

UK care regulations say people must be able to complain easily.

Steps your service takes to comply:

• Publishing an accessible complaints policy
• Training staff to listen, record, and respond to complaints with respect
• Recording all complaints and replies
• Giving clear timescales for investigations and responses
• Offering a way for people to appeal or take complaints further
• Using complaints to improve the service

Complaints are not failures, but chances to listen and do better.

Promoting Equality and Human Rights

Equality law (Equality Act 2010) stops discrimination and supports fair treatment for everyone.

Actions your service takes in line with the law:

• Respecting and supporting people’s protected characteristics (like age, race, faith, disability, sexual orientation)
• Training staff about equality, diversity, and human rights
• Recording and challenging any discrimination or harassment
• Providing reasonable adjustments for people with disabilities
• Delivering care in a way that respects dignity, culture, and beliefs

CQC also expects care services to show how they put human rights into everyday practice.

Involving People and Promoting Choice

People using care services should lead their own lives as much as possible.

Regulations support this by expecting providers to:

• Offer choices wherever possible
• Involve people in all decisions about their care and support
• Use advocates when needed
• Respect legal rights, including under the Mental Capacity Act 2005
• Review plans regularly and make changes based on feedback

This person-centred approach goes far beyond minimum rules, but is a requirement for outstanding services.

Working with Other Agencies

Partnerships support safe and coordinated care. Regulations ask services to:

• Cooperate with healthcare staff, social workers, GPs, hospitals, and community teams
• Share information safely and legally
• Take part in safeguarding investigations
• Respond promptly to input from professionals

Clear agreements are vital, especially during hospital admissions, discharges, or crisis situations.

Infection Control

Infection prevention reduces illness in care settings. Public Health England, the Health and Safety Executive (HSE), and CQC all set infection control expectations.

How your service meets infection control requirements:

• Following strict hand washing procedures
• Using personal protective equipment (PPE)
• Training staff and updating procedures regularly
• Recording and reviewing infection outbreaks
• Cleaning the environment and equipment regularly
• Encouraging vaccinations where suitable

These steps protect everyone, but especially those most at risk.

Legal Compliance and Audits

Meeting the requirements set by laws, CQC, local authorities, and commissioners is part of everyday leadership.

Supporting this means:

• Regularly checking policies and procedures are up to date
• Completing audits in key risk areas (such as medication, accidents, safeguarding, and finance)
• Sharing audit results with staff and acting on any gaps
• Keeping a compliance file ready for inspections
• Attending local authority or provider meetings to keep up with rule changes

Staying audit ready avoids problems when inspectors visit.

Preparing for Inspection

All staff and managers need to be ready for CQC or local authority checks.

To support this, your service:

• Tells everyone what inspectors look for
• Checks staff understand the “five key questions” from CQC: safe, effective, caring, responsive, well-led
• Holds mock inspections or health-checks
• Displays key documents where inspectors can find them
• Makes sure all records are neat, clear, and easy to follow
• Encourages staff and people who use services to share their views openly

Good preparation shows pride and confidence in the service.

Continuous Improvement

Regulations expect care services to keep improving.

You can:

• Learn lessons from incidents, audits, and complaints
• Involve people, families, and staff in reviews
• Celebrate good practice
• Encourage suggestions and openness
• Act on feedback quickly

Improvement is more than just meeting rules. It builds a culture of pride and satisfaction for everyone.

Final Thoughts

Meeting all regulatory requirements is non-negotiable for adult care services in the UK. Your actions as a manager or leader make a real difference. Each section above shows how your service can meet the law, keep people safe, and provide quality care. Keeping records, learning from feedback, and supporting staff are just as important as policies and training. Meeting regulations is an ongoing task, not a one-off event. By keeping these standards at the centre of daily work, you protect people, support staff, and create a service you can be proud of.