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CQC response to NCF query regarding changes to Board of Trustees

20 August 2018

Sharon Blackburn  Policy and Communications Director, National Care Forum asked if providers had to notify CQC of changes to Trustees.

Response:

‘Having reviewed the FPPR guidance and related Registration and notifications guidance, I can confirm that Trustees of charitable bodies are included as ‘directors or equivalents’ under the FPPR regulations, and that the guidance states that providers are required to notify CQC of any changes to Directors or Trustees.

The FPPR guidance for providers on our website states:

  • Who the regulation applies to

It applies to a provider’s board directors, board members and equivalents (referred to in this guidance as ‘directors’), who are responsible and accountable for delivering care, including associate directors and any other individuals who are members of the board, irrespective of their voting rights. 

Directors are the group of people constituted (formally or informally) as the decision-making body of the organisation. The regulation applies to interim positions as well as permanent appointments. It also includes trustees of charitable bodies and members of the governing bodies of unincorporated associations. (page 2)

  • At the point of registration

CQC’s registration application form asks for information about directors, where relevant, for all new relevant applicants who are applying to be registered as a service provider. 

We require the chair of an applicant to declare that appropriate checks have been undertaken in order to reach a judgement that all directors are deemed to be fit and that none meet any of the unfit criteria. (page 6)

[Note: and our website guidance on completing section 1.7  (Directors or Equivalent) of a new provider registration application form also notes that ‘If your organisation does not have directors, list the names of any individual who performs the functions of, or functions equivalent or similar to the functions of, a director. This would include trustees or other members of your organisation’s governing body.’]

  • Adult social care, primary medical and dental care, and independent healthcare services

We require providers to notify us when there is a change of director membership or where there is a merger or acquisition. CQC’s notification system will require the chair (or equivalent in a non-NHS organisation) to declare that the provider has made appropriate checks to help reach a judgement that all directors are deemed to be fit and that none meet any of the unfit criteria. (page 5)

[Note: and section 8 of the Regulation 15 notification form (Changes affecting a provider or manager) covers notifying CQC of changes to ‘nominated individual, officers or directors’ (see guidance)]
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