(a) is an individual who carries on the home -


(i) otherwise than in partnership with others, and he satisfies the requirements set out in paragraph (3);

(ii) in partnership with others, and he and each of his partners satisfies the requirements set out in paragraph (3);



(b) is a partnership, and each of the partners satisfies the requirements set out in paragraph (3);

(c) is an organisation; and



(i) the organisation has given notice to the Regulation and Improvement Authority of the name, address and position in the organisation of an individual who is a director, manager, secretary or other officer of the organisation and is responsible for supervising the management of the home; and

(ii) that individual satisfies the requirements set out in paragraph (3).

    (3) The requirements are that -

(a) he is of integrity and good character; and

(b) he is physically and mentally fit to carry on the home; and

(c) full and satisfactory information is available in relation to him in respect of the matters specified in paragraphs 1 to 7 of Schedule 2.

    (4) A person shall not carry on a home if -

(a) he has been adjudged bankrupt or sequestration of his estate has been awarded and (in either case) he has not been discharged and the bankruptcy order has not been annulled or rescinded; or

(b) he has made a composition or arrangement with his creditors and has not been discharged in respect of it.

(a) meet his individual need;

(b) reflect current best practice; and

(c) are (where necessary) provided by means of appropriate aids or equipment.

    (2) The registered person shall ensure that all aids and equipment used in or for the purpose of the residential care home is -

(a) suitable for the purposes for which it is to be used; and

(b) properly maintained and in good working order.

    (3) Where reusable medical devices are used in a home, the registered person shall ensure that appropriate procedures are implemented and adhered to in relation to cleaning, disinfection, inspection, packaging, sterilisation, transportation and storage of such devices.

    (4) The procedures implemented in accordance with paragraph (3) shall be such as to ensure that reusable medical devices are handled safely and decontaminated effectively in accordance with the manufacturer's guidance prior to re-use.

    (5) The registered person shall ensure that food and drink -

(a) are provided in adequate quantities and at appropriate intervals;

(b) are properly prepared, wholesome and nutritious and meets their nutritional requirements;

(c) are suitable for the needs of residents;

(d) provide choice for the residents;

(e) that the menu is varied at suitable intervals.

(a) the physical design and layout of the premises to be used as the home meets the needs of the residents;

(b) the premises to be used as the home are of sound construction and kept in a good state of repair externally and internally;

(c) equipment provided at the home for use by residents or persons who work at the home is in good working order, properly maintained in accordance with the manufacturer's guidance and suitable for the purpose for which it is to be used;

(d) all parts of the home are kept clean and reasonably decorated;

(e) adequate private and communal accommodation is provided for residents;

(f) the size and layout of rooms occupied or used by residents are suitable for their needs;

(g) there is adequate seating, recreational and dining space provided separately from the resident's private accommodation;

(h) the communal space provided for residents is suitable for the provision of social, cultural and religious activities appropriate to the circumstances of residents;

(i) suitable facilities are provided for residents to receive visitors whether in communal areas or in private as the resident chooses;

(j) there are provided at appropriate places in the premises sufficient numbers of lavatories, wash-basins, baths and showers fitted with a hot and cold water supply;

(k) any necessary sluicing facilities are provided;

(l) there is suitable storage provision for the purposes of the home;

(m) suitable storage facilities are provided for the use of residents;

(n) suitable adaptations are made, and such support, equipment and facilities, including passenger lifts, as may be required are provided to meet the needs of residents;

(o) secure and safe outdoor space with seating, accessible to all residents is provided and appropriately maintained;

(p) ventilation, heating, cooling and lighting suitable for residents is provided in all parts of the home which are used by residents;

(q) the engineering services are maintained in good working order;

(r) any vehicle used by the home for transporting residents is suitable for that purpose and maintained in good working order;

(s) provision is made for the home to operate in the event of the breakdown of essential utility services; and

(t) a risk assessment to manage health and safety is carried out and updated when necessary.

    (3) The registered person shall having regard for the number of staff employed and the duties they undertake, provide-

(a) suitable facilities and accommodation, including -


(i) facilities for the purpose of changing; and

(ii) storage facilities.

    (4) The registered person shall -

(a) have in place a current written risk assessment and fire management plan that is revised and actioned when necessary or whenever the fire risk has changed;

(b) take adequate precautions against the risk of fire, including the provision of suitable fire equipment;

(c) provide adequate means of escape;

(d) make adequate arrangements -


(i) for detecting, containing and extinguishing fires;

(ii) for giving warnings of fires;

(iii) for the evacuation, in the event of fire, of all persons in the home and safe placement of residents;

(iv) for the maintenance of all fire equipment; and

(v) for reviewing fire precautions, and testing fire equipment, at suitable intervals;



(e) make arrangements for persons working at the home to receive suitable training, from a competent person, in fire prevention; and

(f) to ensure, by means of fire drills and practices at suitable intervals, that the persons working at the home and, so far as practicable, residents, are aware of the procedure to be followed in case of fire, including the procedure for saving life.

    (5) The registered person shall undertake appropriate consultation with the environmental health department of the district council for the district in which the home is situated.

(a) the annual accounts of the home certified by an accountant;

(b) a reference from a bank expressing an opinion as to the registered provider's financial standing;

(c) information as to the financing and financial resources of the home;

(d) where the registered person is a company, information as to any of its associated companies;

(e) a certificate of insurance for the registered provider in respect of liability which may be incurred by him in relation to the home in respect of death, injury, public liability, damage or other loss.

    (3) The registered person shall -

(a) ensure that adequate accounts are maintained in respect of the home and kept up to date;

(b) ensure that the accounts give details of the running costs of the home, including rent, payments under a mortgage and expenditure on food, heating and salaries and wages of staff; and

(c) supply a copy of the accounts to the Regulation and Improvement Authority at its request.

(a) the death of any resident, including the circumstances of his death;

(b) the outbreak in the home of any infectious disease which in the opinion of any medical practitioner attending persons in the home is sufficiently serious to be so notified;

(c) any serious injury to a resident in the home;

(d) any event in the home which adversely affects the care, health, welfare or safety of any resident;

(e) any theft or burglary in the home;

(f) any accident in the home;

(g) any allegation of misconduct by the registered person or any person who works at the home.

(a) the assessment of needs and associated care plan, referred to in regulation 15(1);

(b) the resident's care plan referred to in regulation 16(1).

     2. A recent photograph of the resident.

     3. A record of the following matters in respect of each resident -

(a) the name, address, date of birth and marital status of each resident;

(b) the name, address and telephone number of the resident's next of kin or of any person authorised to act on his behalf;

(c) the name, address and telephone number of the resident's general practitioner and of any officer of a HSS Trust whose duty it is to supervise the welfare of the resident;

(d) the date on which the resident was admitted to the residential care home;

(e) the date on which the resident was discharged from the home;

(f) if the resident is transferred to another home, nursing home or to a hospital, the name of the home or hospital and the date on which the resident is transferred;

(g) if the resident died at the home, the date and time of death;

(h) the name and address of any HSS Trust, organisation or other body, which arranged the resident's admission to the home;

(i) a record of all medicines kept in the home for the resident, and the date on which they were administered to the resident;

(j) a record of any accident affecting the resident in the home and of any other incident in the home which is detrimental to the care, health, safety or welfare of the resident, which record shall include the nature, date and time of the accident or incident, whether medical treatment was required and the name of the individuals who were supervising the resident;

(k) a contemporaneous note of all care and services provided to the resident, including a record of his condition and any treatment or other intervention;

(l) details of any specialist communications needs of the resident and methods of communication that may be appropriate to the resident;

(m) details of any health care plan relating to the resident in respect of medication, specialist health care provision or nutrition;

(n) the wishes of the resident regarding any specific arrangements at the time of death;

(o) a record of falls and of treatment provided to the resident;

(p) a record of incidence of pressure ulcers and of treatment provided to the resident;

(q) a record of any restraint used in relation to the resident;

(r) a record of any limitations agreed with the residents to the resident's freedom of choice, liberty of movement and power to make decisions.

     4. A copy of correspondence relating to each resident.

(a) his full name, address, date of birth, qualifications and experience and if applicable, confirmation of his registration status with an appropriate professional regulatory body;

(b) a copy of his birth certificate and passport (if any);

(c) a copy of each reference obtained in respect of him;

(d) the dates on which he commences and ceases to be so employed;

(e) the position he holds at the home, the work that he performs and the number of hours for which he is employed each week;

(f) correspondence, reports, records of disciplinary action and any other records in relation to his employment including the recruitment process under which he was appointed.

(g) the training and development activities completed by him.

     7. A copy of the duty roster of persons working at the home, and a record of whether the roster was actually worked.

     8. A record of the home's charges to residents, including any separate amounts payable for additional services not covered by those charges, and the amounts paid by or in respect of each resident.

     9. A record of all money or other valuables deposited by a resident for safekeeping or received on the resident's behalf, which -

(a) shall state the date on which the money or valuables were deposited or received, the date on which any money or valuables were returned to a resident or used, at the request of the resident, on his behalf and, where applicable, the purpose for which the money or valuables were used; and

(b) shall include the written acknowledgement of the return of the money or valuables.

     10. A record of furniture and personal possessions brought by a resident into the room occupied by him.

     11. A record of all complaints made by residents or representatives or relatives of residents or by persons working at the home about the operation of the home, and the action taken by the registered person in respect of any such complaint.

     12. A record of any of the following events that occur in the home -

(a) any accident;

(b) any incident which is detrimental to the care, health, safety or welfare of a resident, including the outbreak of infectious disease in the home;

(c) any injury or serious illness;

(d) any fire;

(e) except where a record to which paragraph 14 refers is to be made, any occasion on which the fire alarm equipment is operated;

(f) any theft or burglary.

     13. Records of the food provided for residents in sufficient detail to enable any person inspecting the record to determine whether the diet is satisfactory, in relation to nutrition and otherwise, and of any special diets prepared for individual residents.

     14. A record of every fire practice, drill or test of fire equipment (including fire alarm equipment) conducted in the home, including staff attending, and of any action taken to remedy defects in the fire equipment.

     15. A statement of the procedure to be followed in the event of a fire, or where a fire alarm is activated.

     16. A statement of the procedure to be followed in the event of accidents or in the event of a resident becoming missing.

     17. A record of charges made to residents for transport and the amounts paid by or in respect of each resident.

     18. Where residents collectively own the vehicles -

(a) a record is kept with the amounts paid by or in respect for each resident running the vehicle;

(b) a record is kept of journeys made and names of residents being transported.

     19. A record of the programme of events and activities that includes the name of the person leading the activity and the names of those who participated.

     20. A record of all staff meetings held and the names of all those attending.

     21. A record of training undertaken as referred to in Regulation 20(1)(c)(i).

     22. A record of all visitors to the home, including the names of all visitors.