CHW15-Regulated Activities Compliance Policy

Registration Number: {{org_field_registration_no}}

Regulated Activities Compliance Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} complies with all relevant laws, regulations, and standards governing regulated activities as outlined in The Regulation and Inspection of Social Care (Wales) Act 2016, The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, and all other applicable CIW requirements.

This policy outlines how regulated activities are delivered safely, legally, and effectively, ensuring that service users receive high-quality, person-centred care that meets their needs, rights, and well-being.

2. Scope

This policy applies to:

All staff members, including care workers, support staff, and management.
Registered Manager and Responsible Individual, ensuring compliance and governance.
External professionals and regulatory bodies, including Care Inspectorate Wales (CIW).
Service users and their families, ensuring their care needs align with compliance standards.

3. Related Policies

This policy should be read in conjunction with:

Good Governance Policy (CHW04)
Person-Centred Care Policy (CHW07)
Safe Care and Treatment Policy (CHW11)
Meeting Nutritional and Hydration Needs Policy (CHW12)
Safeguarding Adults from Abuse and Improper Treatment Policy (CHW13)
Health and Safety at Work Policy (CHW16)
Risk Management and Assessment Policy (CHW18)
Infection Prevention and Control Policy (CHW17)
Medication Management and Administration Policy (CHW21)
Notification of Other Incidents Policy (CHW25)
Duty of Candour Policy (CHW35).

4. Policy Statement

{{org_field_name}} is committed to ensuring full compliance with all regulated activities within the framework set by Care Inspectorate Wales (CIW). Compliance is a continuous process involving:

Adherence to legal and regulatory standards.
Ensuring the safety, well-being, and dignity of all service users.
Regular auditing, monitoring, and staff training to maintain compliance.
Prompt reporting of incidents, complaints, and safeguarding concerns.

5. Implementation and Management

5.1 Governance and Leadership

The Responsible Individual (RI) oversees compliance and ensures policies are aligned with CIW regulations.
The Registered Manager ensures daily operations comply with the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017.
A Quality Assurance Framework is in place to monitor and assess compliance regularly.

5.2 Registration and Fit-and-Proper Person Requirements

{{org_field_name}} ensures that all service providers and responsible individuals are registered with CIW and meet the fit-and-proper person test under the Regulated Services (Registration) (Wales) Regulations 2017.
Recruitment processes include DBS checks, verification of qualifications, and competency assessments.

5.3 Compliance with Care and Support Standards

Care plans are individualised, regularly reviewed, and updated in consultation with service users and their families.
Services are delivered in accordance with the Social Services and Well-being (Wales) Act 2014, ensuring care promotes independence and choice.
Personalised risk assessments are conducted to identify and mitigate risks.

5.4 Safeguarding and Incident Reporting

{{org_field_name}} adheres to the CIW Safeguarding Policy, ensuring that service users are protected from harm, abuse, and neglect.
All safeguarding concerns are reported immediately to {{org_field_safeguarding_lead_name}}, the local authority, and CIW where required.
A transparent reporting system is in place for incidents, near-misses, and concerns in accordance with the Notification of Other Incidents Policy (CHW25).

5.5 Medication Management

Only trained and competent staff administer medications, following the Medication Management and Administration Policy (CHW21).
All medications are stored safely, and administration records are maintained accurately.
Regular audits are conducted to prevent errors and ensure safe medication practices.

5.6 Staffing, Training, and Development

All staff receive induction training covering CIW compliance, safeguarding, health and safety, infection control, and person-centred care.
Annual mandatory training ensures that staff stay updated with best practices and legislative changes.
Supervision and appraisals are conducted regularly to assess staff performance, knowledge, and competency.

5.7 Quality Assurance and Continuous Improvement

{{org_field_name}} conducts quarterly internal audits and annual quality of care reviews in compliance with CIW Quality of Care Review Guidance.
Service user feedback is actively sought and incorporated into service improvements.
SOFI2 observational methods are used to assess service user well-being, ensuring a high standard of care.

5.8 Health and Safety Compliance

{{org_field_name}} maintains compliance with all health and safety laws, including fire safety, infection prevention and control, and risk management.
Regular safety audits and equipment checks are conducted to ensure the safety of staff and service users.
Emergency plans are in place, including fire evacuation procedures and business continuity planning.

5.9 Record-Keeping and Confidentiality

All records are securely stored and maintained in line with the Confidentiality and Data Protection (GDPR) Policy (CHW34).
Electronic and paper records are regularly reviewed for accuracy and compliance.
Service users have full access to their care plans and records.

5.10 Compliance Monitoring by CIW

{{org_field_name}} welcomes CIW inspections and actively engages in continuous improvement.
Inspection feedback is acted upon immediately, and all compliance requirements are met without delay.
If required, corrective action plans are developed to address any areas for improvement.

6. Compliance with Legislation and Regulations

This policy ensures compliance with:

The Regulation and Inspection of Social Care (Wales) Act 2016.
The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017.
The Regulated Services (Annual Returns and Registration) (Wales) Regulations 2019.
Social Services and Well-being (Wales) Act 2014.
Health and Safety at Work Act 1974.
Food Safety Act 1990 (where applicable).

7. Policy Review

This policy will be reviewed annually or earlier if legislative requirements change. The Registered Manager is responsible for ensuring this policy remains current and effective.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.