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  7. Learners ensure that the regulatory requirements, codes or...

Learners ensure that the regulatory requirements, codes or practice and guidance for managing concerns and complaints are embedded within organisational systems and processes


This page is designed to answer the following questions:

NOTE: This page has been quality assured for 2023 as per our Quality Assurance policy.

For this assessment criterion, you will be required to ensure that you know and understand current regulatory requirements, codes of practice and guidance for managing complaints and concerns.


Much of the legislation and regulation that applies to the health and social care sector is discussed in the unit ‘Governance and Regulatory Processes‘, so the information below will be brief and explain how it relates to complaints and concerns.


Health & Social Care Act 2008

The Health & Social Care Act 2008 established the Care Quality Commission (CQC) as the regulator for health and social care in England. They monitor, inspect and rate care providers and concerns can be reported to them directly (whistleblowing). In 2014, CQC regulations were brought into effect with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (see below).


Care Act 2014

The Care Act 2014 assures that all individuals that may require care and support services be provided with an assessment by their local authority. If an individual is not happy with the outcome of the assessment or has issues with the care and support services they have been provided, there have a right to complain to their local authority.


Current Data Protection Legislation

The Data Protection Act 2018 and General Data Protection Regulations (GDPR) legislate for the collection, processing and sharing of information. If an individual’s personal information is mismanaged, for example, if confidentiality is breached, then they have a legal framework for which to pursue a complaint.


The Public Interest Disclosure Act 1998 was developed to protect individuals from detrimental treatment or victimisation if they whistleblow genuine concerns about unsafe practices to agencies such as CQC.

CQC Regulations


The Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 are a set of regulations that are enforced by CQC. For example, Regulation 20 explains a provider’s duty of candour when managing concerns and complaints and Regulation 16 explains a provider’s responsibilities when handling complaints.

Fundamental Standards


CQC’s Fundamental Standards are standards below which care should never fall. They are closely aligned with the regulations (above). Duty of candour and complaints are also two of the fundamental standards.

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