Care Home Compliance in England: CQC Regulations, Health and Safety Law and Staffing Duties Explained (2026)
Care home compliance is more than CQC. It is three layers of legal duty, each with its own enforcer and evidence. This guide maps them and shows where to go for the detail.
Care home compliance in England means meeting three layers of legal duty: CQC’s regulations (the fundamental standards), statutory health and safety law for the building and equipment, and the rules on staff, data and records. CQC regulates registered care homes under the Health and Social Care Act 2008 and checks them against five key questions: safe, effective, caring, responsive and well-led. Statutory compliance, such as fire, water, gas, electrical and lifting equipment, comes from health and safety law and applies to the owner, occupier or person in control of the premises. Compliance is shown by dated evidence, so the practical job is a schedule, named owners and a record for every check.
This guide is for registered managers, owners and operations leads in care homes. It is the overview: each layer links to a deeper guide. It uses CQC’s fundamental standards page and the Royal College of Nursing’s statutory compliance guide for care home managers. It is general information, not legal advice, and where we suggest a practice we say so.
Key takeaways
- There are three layers: CQC regulations, statutory health and safety, and people and data rules.
- CQC checks against five key questions and the fundamental standards in the regulations. Statutory compliance is enforced separately, for example by the fire and rescue service and the HSE.
- Responsibility can sit with the owner, the occupier or both, and with a lease the split must be agreed. The registered provider stays responsible to CQC.
- Evidence matters more than policy: dated records showing checks happened and actions closed.
- Use one compliance calendar with a named owner for every line.
In this guide
- The three layers of care home compliance
- Layer 1: CQC regulations and the five key questions
- Layer 2: statutory health and safety
- Layer 3: people, data and records
- Who is responsible for care home compliance
- How to run compliance: a simple system
- What triggers a CQC inspection and what happens if you fall short
- Frequently asked questions
The three layers of care home compliance
| Layer | What it covers | Who enforces it | Where to go next |
|---|---|---|---|
| 1. CQC regulations | The fundamental standards in the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014: person-centred care, dignity, consent, safe care, safeguarding, food and drink, premises and equipment, complaints, governance, staffing, fit and proper staff and duty of candour | CQC | CQC compliance and the regulations list |
| 2. Statutory health and safety | Fire, water safety including legionella, gas, electrical installations, lifting equipment, asbestos and general health and safety management of the premises | Fire and rescue service, HSE and local authority, depending on the duty | Maintenance checklist and fire safety |
| 3. People, data and records | Recruitment checks, training and supervision, safeguarding, mental capacity, data protection, notifications | CQC, plus bodies such as the Information Commissioner for data protection | Recruitment, training, data protection |
Layer 1: CQC regulations and the five key questions
CQC describes the fundamental standards as the standards below which care must never fall: person-centred care, visiting and accompanying, dignity and respect, consent, safety, safeguarding from abuse, food and drink, premises and equipment, complaints, good governance, staffing, fit and proper staff, and duty of candour. CQC assesses services against five key questions: is the service safe, effective, caring, responsive to people’s needs and well-led. See the fundamental standards explained and the five key questions.
Three of the most inspected areas have their own guides: medicines management, safeguarding and the Mental Capacity Act and DoLS. CQC is also developing new assessment frameworks, so check our framework update.
Layer 2: statutory health and safety
The RCN’s guide for care home managers describes statutory compliance as actions that must be taken by law to provide a safe environment for residents, staff and visitors, and says responsibility may fall on the owner or occupier or be divided between them, so lease negotiations should settle it. It names these main areas:
| Area | Main law the RCN guide cites | Our guide |
|---|---|---|
| General health and safety | Health and Safety at Work etc Act 1974; Management of Health and Safety at Work Regulations 1999 (assess risks, arrange and train) | Care home audit |
| Fire | Regulatory Reform (Fire Safety) Order 2005 in England: the responsible person must carry out and record a fire risk assessment, maintain precautions, plan for emergencies and train staff | Fire safety |
| Legionella and water | Risk assessment of hot and cold water systems; HSE temperature controls (hot water stored at 60 degrees C or above, distributed at 50 degrees C or above) | Maintenance checklist |
| Gas and electricity | Gas and electrical safety law, with checks by competent engineers and electricians | Maintenance checklist |
| Lifting equipment | Lifting Operations and Lifting Equipment Regulations, with thorough examination of hoists and slings by a competent person | Maintenance checklist |
| Asbestos | Duty to manage asbestos in non-domestic premises, with competent surveys | HSE guidance |
The RCN also points out that you will usually need competent advice, because a competent person must carry out tasks such as risk assessments, asbestos surveys and statutory examinations. CQC’s Regulation 15 ties the two layers together: premises and equipment must be clean, secure, suitable, properly used, properly maintained and appropriately located (Regulation 15).
Layer 3: people, data and records
- Recruitment: CQC’s fit and proper staff standard expects strong recruitment procedures with checks such as criminal records and work history (recruitment file checklist, DBS checks).
- Staffing, training and supervision: enough suitably qualified, competent and experienced staff, with support, training and supervision (Regulation 18, supervision).
- Safeguarding and capacity: protect people from abuse and improper treatment, and follow the Mental Capacity Act (DoLS forms).
- Notifications: tell CQC about the events it lists (CQC notifications).
- Data: keep personal information lawfully and securely (GDPR in care homes).
- Complaints and duty of candour: be open and learn (complaints, duty of candour).
Who is responsible for care home compliance
The registered provider is legally responsible to CQC for meeting the regulations, and the registered manager runs it day to day. For statutory building compliance, the RCN notes that responsibility may fall on the owner or occupier or be split between them, so leased homes need the split written down. Senior leaders should see a monthly summary of what is overdue (how to run a governance meeting). See also governance versus assurance.
How to run compliance: a simple system
- List every duty from the three layers in one compliance calendar.
- Name an owner and a backup for each, with frequency and due date.
- Record evidence against each line: date, who, result, and certificate or log.
- Audit regularly and track actions to closure (audit schedule template, daily to annual checklist).
- Review monthly in a governance meeting and escalate anything overdue.
- Prepare for assessment with a mock inspection (template).
What triggers a CQC inspection and what happens if you fall short
CQC says it uses information from many sources, including feedback and notifications, to plan assessments, so there is no single trigger. See how often CQC inspects. If a service falls short, CQC can take regulatory action, and for some breaches it can prosecute (what happens if you fail a CQC inspection).
Put the compliance calendar in one place
CQCLogic schedules audits, tracks actions to closure with owners and due dates, and keeps policy and training review dates. It is not statutory compliance or maintenance management software, so keep certificates and job-level maintenance in your own system. See a sample improvement plan, view pricing or get started free.
Frequently Asked Questions
What does care home compliance cover?
Three layers: CQC regulations (the fundamental standards), statutory health and safety for the building and equipment (fire, water, gas, electrical, lifting and asbestos), and rules on staff, data and records.
What are the 5 key areas of compliance in a care home?
CQC assesses five key questions: is the service safe, effective, caring, responsive and well-led. Many managers also group compliance into people, premises, medicines, safeguarding and governance, but CQC’s official framework is the five key questions.
What are the 5 CQC standards?
CQC does not have five standards. It has fundamental standards in the regulations and five key questions (safe, effective, caring, responsive, well-led) that it uses to assess and rate services.
What are the three types of compliance?
There is no official list. A useful way to group care home compliance is regulatory (CQC), statutory (health and safety law for premises and equipment) and operational (people, data and records), which is how this guide is organised.
Who is responsible for compliance in a care home?
The registered provider is legally responsible to CQC and the registered manager runs it day to day. For statutory building duties, responsibility can sit with the owner, the occupier or both, so agree and record the split.
What triggers a CQC inspection?
CQC uses information from several sources, such as feedback, notifications and previous ratings, to plan assessments, so there is no single trigger. Keep evidence ready at all times.
How often should a care home check compliance?
CQC sets no frequency for internal checks. Many homes run daily walk-rounds, weekly and monthly checks and annual servicing, with a monthly governance review of what is overdue.
What is statutory compliance in a care home?
Actions required by law to provide a safe environment for residents, staff and visitors, such as fire safety, water safety, gas and electrical safety, lifting equipment and asbestos management. The RCN describes it this way for care home managers.
Do care homes need compliance software?
No law requires it. A spreadsheet can work for a small home, but software helps when many checks, owners and deadlines need tracking. See our guide to care home compliance software.