Regulations for service providers and managers

Page last updated: 7 August 2024

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Regulation 4: Requirements where the service provider is an individual or partnership

Health and Social Care Act 2008 (Regulated Activities) Regulations 2014: Regulation 4

The intention of this regulation is to ensure that people who use services have their needs met because the service is provided by an appropriate person.

To meet the requirements of this regulation, providers must register with CQC under Section 10 of the Health and Social Care Act 2008. The registered provider or partners of the registered provider must:

  • Be of good character.
  • Be able to properly perform tasks that are intrinsic to their role.
  • Have the necessary qualifications, competence, skills and experience to carry on the regulated activity or supervise its management.
  • Be able to supply CQC with documents that confirm their suitability (see the information and documents identified in Schedule 3 of the regulations).

CQC cannot prosecute for a breach of this regulation or any of its parts but we can take regulatory action. See the offences section for more detail.

CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.

The regulation in full

4.—

  1. This regulation applies where a service provider (P) is an individual or a partnership.
  2. P must not carry on a regulated activity unless P is fit to do so.
  3. P is not fit to carry on a regulated activity unless P is—
    1. an individual who carries on the regulated activity, otherwise than in partnership with others, and satisfies the requirements set out in—
      1. paragraph (4), and
      2. paragraph (5), or
    2. a partnership and—
      1. each of the partners satisfies the requirements set out in paragraph (4), and
      2. P satisfies the requirement set out in paragraph (6).
  4. The requirements referred to in paragraph (3)(a)(i) and (b)(i) are that, if P is an individual, that individual or, if P is a partnership, each of the partners—
    1. is of good character,
    2. is able by reason of their health, after reasonable adjustments are made, of properly performing tasks which are—
      1. where P is an individual, intrinsic to the carrying on of the regulated activity, or
      2. where P is a partnership, intrinsic to their role in the carrying on of the regulated activity, and
    3. is able to supply to the Commission, or arrange for the availability of, information relating to themselves specified in Schedule 3.
  5. The requirement referred to in paragraph (3)(a)(ii) is that P has the necessary qualifications, competence, skills and experience to carry on the regulated activity.
  6. The requirement referred to in paragraph (3)(b)(ii) is that, through the combination of the qualifications, competence, skills and experience of the partners, P has the necessary qualifications, competence, skills and experience to carry on the regulated activity.
  7. In assessing an individual's character for the purposes of paragraph (4)(a), the matters considered must include those listed in Part 2 Schedule 4.

Guidance

This sets out the guidance providers must have regard to against the relevant component of the regulation.

4 (1) This regulation applies where a service provider (P) is an individual or a partnership.

4(4) The requirements referred to in paragraph (3)(a)(i) and (b)(i) are that, if P is an individual, that individual or, if P is a partnership, each of the partners—

4(4)(a) be of good character;

4(4)(b) is able by reason of their health, after reasonable adjustments are made, of properly performing tasks which are—

(i) where P is an individual, intrinsic to the carrying on of the regulated activity, or

(ii) where P is a partnership, intrinsic to their role in the carrying on of the regulated activity

4(5) The requirement referred to in paragraph (3)(a)(ii) is that P has the necessary qualifications, competence, skills and experience to carry on the regulated activity.

4(6) The requirement referred to in paragraph (3)(b)(ii) is that, through the combination of the qualification, competence, skills and experience of the partners, P has the necessary qualifications, competence, skills and experience to carry on the regulated activity