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Regulated Activities Compliance Policy

1. Introduction

Our Home Care business is committed to full compliance with the regulations governing Regulated Activities under the Regulation and Inspection of Social Care (Wales) Act 2016 (RISCA). We ensure that all care and support services provided to individuals are safe, effective, person-centred, and in line with the legal requirements set out by Care Inspectorate Wales (CIW).

This policy applies to all employees, including Care Assistants, Senior Carers, Coordinators, Managers, and Directors. It provides guidance for CIW inspectors on how we manage regulated activities efficiently while ensuring quality, safety, and continuous improvement in service delivery.

2. Key Principles of Regulated Activities Compliance

We adhere to the following principles to ensure compliance with RISCA and CIW standards:

• Person-Centred Care: Care is tailored to the needs and preferences of each service user, promoting independence, dignity, and choice.
• Quality and Safety: We maintain the highest standards in delivering care, ensuring the well-being of service users at all times.
• Workforce Competency: All staff are trained, qualified, and competent to provide care in compliance with CIW Workforce Standards.
• Governance and Accountability: We have a clear organisational structure with effective leadership and oversight.
• Continuous Improvement: We regularly review and improve our services to ensure best practices are maintained.

3. How We Manage Regulated Activities Efficiently

A. Registration and Compliance with CIW

Our service is registered with Care Inspectorate Wales (CIW) and complies with all conditions of registration, ensuring that we meet the legal requirements for providing regulated activities.

For Staff:

• Understand the scope of regulated activities under RISCA 2016.
• Follow policies and procedures aligned with CIW’s Code of Practice.
• Report any issues related to compliance or service delivery to senior management.

For CIW Inspectors:

• Registration documents, service statements, and inspection reports are available for review.
• We maintain records of compliance monitoring and annual service evaluations.

B. Person-Centred Care and Support Planning

Each service user receives a Comprehensive Needs Assessment (CNA) and a Personalised Care Plan (PCP) to ensure care is tailored to their specific needs, preferences, and health conditions.

For Staff:

• Deliver care as per the service user’s PCP, updating plans as needed.
• Involve service users in decisions about their care and support.
• Record and report changes in health, behaviour, or needs through the Service Review Process (SRP).

For CIW Inspectors:

• Care plans demonstrate individualised, outcome-focused care.
• Evidence of regular care reviews and adjustments is available.

C. Quality Assurance and Monitoring

We have a Quality Assurance Framework (QAF) in place to monitor, evaluate, and improve service delivery.

For Staff:

• Participate in Quality and Safety Audits (QSA) conducted quarterly.
• Report service user feedback and concerns via the Service User Feedback System (SUFS).
• Follow procedures for escalating and resolving complaints efficiently.

For CIW Inspectors:

• Documented audits and quality assurance reports are available for review.
• Service improvement plans show how feedback leads to enhancements in care.

D. Safe Staffing and Workforce Development

We ensure that all staff meet the Social Care Wales (SCW) registration requirements and receive ongoing training.

For Staff:

• Complete Mandatory Training (MT) in safeguarding, moving and handling, medication administration, and dementia care.
• Undergo Annual Competency Assessments (ACA) to ensure skills remain up to date.
• Maintain professional conduct in line with the Code of Professional Practice for Social Care (CPPSC).

For CIW Inspectors:

• Training records confirm all staff meet required competency standards.
• Supervision logs and appraisals demonstrate continuous professional development.

E. Safeguarding and Protection from Harm

We follow All Wales Safeguarding Procedures to protect service users from abuse, neglect, or exploitation.

For Staff:

• Recognise and report safeguarding concerns through the Safeguarding Referral Process (SRP).
• Complete Safeguarding Adults Level 2 (SAL2) training.
• Adhere to the Whistleblowing Policy (WP) to report concerns safely.

For CIW Inspectors:

• Safeguarding logs show how concerns are reported and addressed.
• Training records confirm compliance with safeguarding protocols.

F. Safe Medication Management

We have strict protocols for the safe storage, administration, and disposal of medication, following NICE guidelines.

For Staff:

• Administer medication only if trained and competency-checked through Medication Administration Competency (MAC).
• Record all medication administration in the Electronic Medication Administration Record (eMAR) system.
• Report medication errors immediately via the Medication Incident Reporting System (MIRS).

For CIW Inspectors:

• eMAR logs provide a clear record of medication administration.
• Audits confirm compliance with Medication Handling Policies (MHP).

G. Infection Prevention and Control (IPC)

We follow rigorous Infection Prevention and Control (IPC) protocols to prevent the spread of infections.

For Staff:

• Wear Personal Protective Equipment (PPE) as required.
• Follow Hand Hygiene Standards (HHS) and clean care environments regularly.
• Dispose of clinical waste in designated Infectious Waste Bins (IWB).

For CIW Inspectors:

• Infection control policies and procedures are reviewed and updated regularly.
• Staff training logs confirm compliance with infection control measures.

H. Emergency Preparedness and Incident Management

We have robust plans in place to respond to emergencies, unexpected incidents, and service disruptions.

For Staff:

• Follow the Emergency Response Plan (ERP) for medical emergencies, fire safety, and service disruptions.
• Ensure Service User Emergency Contact (SUEC) details are kept up to date.
• Report incidents using the Critical Incident Report (CIR) process.

For CIW Inspectors:

• Incident reports demonstrate how risks are managed and mitigated.
• Business continuity plans are reviewed and tested annually.

4. Governance and Continuous Improvement

We have a governance structure that ensures accountability, transparency, and continuous service improvement.

What We Do:

• Conduct Quarterly Compliance Audits (QCA) to monitor adherence to regulations.
• Hold Senior Leadership Meetings (SLM) to review service performance.
• Use Satisfaction Surveys (SS) to gather feedback from service users and families.

For CIW Inspectors:

• Evidence of robust governance, compliance monitoring, and service evaluations is available for review.
• Policies and procedures are regularly updated to align with new CIW standards.

5. Compliance Monitoring and Audit Procedures

• Internal Audits: Conducted quarterly to ensure compliance with CIW standards.
• Annual Reviews: Full compliance check against Regulated Activities Regulations.
• Staff Supervisions & Appraisals: Carried out every six months to maintain high care standards.

6. Conclusion

We are dedicated to providing safe, high-quality, and person-centred care in full compliance with CIW regulations and RISCA standards. This policy ensures that our regulated activities meet the highest standards of safety, accountability, and continuous improvement.

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