What is the Role of a CQC Nominated Individual?

The Nominated Individual (NI) is a key regulatory role under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. Every health and social care provider regulated by the Care Quality Commission (CQC) must appoint a Nominated Individual, who acts as a bridge between the provider and the CQC. Some times the NI is referred to as the Responsible Individual (RI).

Legal and Regulatory Framework

The requirement to appoint a Nominated Individual is set out under Regulation 6 of the Care Quality Commission (Registration) Regulations 2009. The NI must be a senior person within the organisation who has the authority to oversee the regulated activities and ensure compliance with CQC’s Fundamental Standards.

Key Responsibilities of a Nominated Individual

The Nominated Individual plays a critical role in ensuring that a care organisation is operating in a way that meets CQC standards. Their responsibilities include:

1. Regulatory Compliance

• Ensuring that the service meets CQC’s five key questions:
  ✅ Safe – Ensuring that services protect people from abuse and avoidable harm.
  ✅ Effective – Ensuring care, treatment, and support achieve good outcomes.
  ✅ Caring – Ensuring staff treat service users with kindness, dignity, and respect.
  ✅ Responsive – Ensuring services are tailored to meet the needs of service users.
  ✅ Well-led – Ensuring leadership, governance, and management enable high-quality care.
• Overseeing compliance with the Health and Social Care Act 2008 and other statutory requirements.
• Being the point of contact for CQC inspections, regulatory notifications, and compliance matters.
• Responding to CQC Notices, including Warning Notices, Requirement Notices, and Enforcement Actions.

2. Leadership and Governance

• Acting as the senior accountable person for regulated activities.
• Supporting the Registered Manager to ensure day-to-day compliance with regulatory standards.
• Providing strategic oversight to ensure the organisation meets governance requirements, such as risk management, safeguarding, and data protection (GDPR).
• Ensuring audit, quality assurance, and reporting processes are in place to monitor service performance.

3. Risk Management and Safeguarding

• Ensuring all safeguarding policies and procedures are in place and adhered to.
• Making sure that safeguarding concerns are reported to the Local Authority Safeguarding Team, Police, and CQC where necessary.
• Overseeing incident reporting and learning from incidents to prevent harm.

4. Staff Training and Development

• Ensuring all staff have appropriate training, including:
  • Safeguarding
  • Infection Control
  • Mental Capacity Act & Deprivation of Liberty Safeguards (DoLS)
  • Moving and Handling
  • Health and Safety
• Promoting continuous professional development (CPD) and ensuring that staff understand their roles in compliance.

5. Policies and Procedures

• Ensuring that all policies and procedures are up to date, reviewed regularly, and aligned with CQC standards.
• Key policies include:
  • Safeguarding Policy
  • Complaints and Whistleblowing Policy
  • Infection Control Policy
  • Data Protection and GDPR Compliance
  • Business Continuity Plan
• Making sure that policies are implemented and understood by all staff.

6. Engagement with Service Users and Relatives

• Ensuring feedback from service users, families, and staff is used to improve services.
• Overseeing complaints handling and ensuring issues are resolved in line with CQC guidance.
• Encouraging co-production and service-user involvement in decision-making.

7. Quality Assurance and Service Improvement

• Monitoring Key Performance Indicators (KPIs) related to service quality.
• Conducting regular internal audits and quality checks.
• Ensuring compliance with NICE (National Institute for Health and Care Excellence) guidelines.
• Leading continuous improvement initiatives.

Who Can Be a Nominated Individual?

The Nominated Individual must: ✅ Be a director, manager, or senior officer within the organisation.
✅ Have sufficient seniority and authority to take action if compliance issues arise.
✅ Have experience and knowledge in the care sector.
✅ Be fit and proper as per CQC’s Fit and Proper Person requirements (Regulation 5).
✅ Be able to represent the provider at a strategic level.

In many cases, the Managing Director, Compliance Lead, or Operations Manager is appointed as the Nominated Individual.

CQC Expectations of a Nominated Individual

When assessing the Nominated Individual, the CQC will check:

• Their understanding of CQC requirements and regulatory framework.
• Their knowledge of the service and how it operates.
• Their leadership skills and ability to drive improvements.
• Their ability to demonstrate that the provider is well-led and compliant.

Differences Between a Nominated Individual and a Registered Manager

What Happens If a Nominated Individual Is Not Suitable?

If the Nominated Individual is not fit for the role, CQC can: ❌ Issue a warning notice
❌ Refuse or suspend the provider’s registration
❌ Take enforcement action against the provider

It is critical to appoint a competent, experienced, and accountable Nominated Individual.

How to Be an Effective Nominated Individual

✅ Stay updated on CQC regulations, NICE guidance, and sector changes.
✅ Build a strong compliance culture within the organisation.
✅ Work closely with the Registered Manager, frontline staff, and external stakeholders.
✅ Use audits and quality improvement strategies to enhance service delivery.
✅ Engage with service users and families to ensure person-centred care.
✅ Be proactive in resolving compliance issues before they escalate.

Final Thoughts

The Nominated Individual plays a crucial role in ensuring a CQC-regulated service is compliant, well-led, and continuously improving. It is a position of significant responsibility, requiring leadership, strategic oversight, and regulatory knowledge.

Contact our Office if you need CQC Related support on +442080640909 or +442080642464 email: info@ultrahealthcare.co.uk