CHW153-CQC Regulations Policy
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{{org_field_name}}
Registration Number: {{org_field_registration_no}}
CIW Regulations Policy
1. Purpose
The purpose of this policy is to set out the regulatory framework that applies to {{org_field_name}} as a service operating in Wales and regulated by Care Inspectorate Wales (CIW). It explains how we interpret and apply Welsh legislation in everyday practice, how our governance and quality assurance align with CIW expectations, and how we communicate our compliance to people using our services, their families, professionals and commissioners. The policy is written in plain language so that all staff understand what is required of them and how their actions contribute to safe, effective, well-led and person-centred care.
2. Scope
This policy applies to everyone working for {{org_field_name}}—including the Responsible Individual (RI), Registered Manager (RM), senior staff and all care and administrative colleagues. It is also relevant to people who use our services and their families, visiting professionals, commissioning bodies, and CIW inspectors who wish to understand our approach to regulatory compliance in Wales.
3. Related Policies
Read this policy alongside (non-exhaustive): CHW04 Good Governance; CHW05 Statement of Purpose; CHW11 Safe Care and Treatment; CHW13 Safeguarding Adults from Abuse and Improper Treatment; CHW15 Regulated Activities Compliance; CHW27 Staff Supervision, Training and Development; CHW35 Openness and Candour.
4. Legal and Regulatory Framework (Wales)
{{org_field_name}} operates under the Regulation and Inspection of Social Care (Wales) Act 2016 (RISCA), supported by:
- The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017;
- The Regulated Services (Registration) (Wales) Regulations 2017; and
- The Regulated Services (Annual Returns and Registration) (Wales) Regulations 2019.
We are guided by CIW’s Statutory Guidance for Service Providers and Responsible Individuals and relevant Welsh legislation and guidance including the Social Services and Well-being (Wales) Act 2014, the Human Rights Act 1998, the Mental Capacity Act 2005 and Deprivation of Liberty Safeguards, the Welsh Language (Wales) Measure 2011 and the ‘Active Offer’ principle, the UK GDPR and Data Protection Act 2018, and applicable health protection guidance issued in Wales.
5. Our Governance and Compliance Approach
5.1 Understanding CIW Expectations
The RI and RM maintain up-to-date knowledge of RISCA and CIW guidance and ensure that policies, procedures, audits and training reflect Welsh requirements. Staff are inducted and refreshed on: safe care and treatment; safeguarding; capacity and consent; complaints and compliments; openness and candour; record-keeping; information governance; and reporting duties to CIW and local safeguarding teams.
5.2 Roles and Responsibilities
- Responsible Individual: Provides strategic oversight, assures compliance with RISCA, reviews the quality of care at least quarterly and annually, and ensures resources, staffing and culture enable safe, person-centred practice.
- Registered Manager: Leads day-to-day compliance, implements policies, maintains effective risk management, oversees incident/complaint handling and training, and prepares for inspection.
- All Staff: Work within policy and training, escalate concerns promptly, document accurately, and contribute to continuous improvement and person-centred outcomes.
5.3 Quality Assurance and the Quality of Care Review
We operate a rolling programme of audits (care planning, medicines, incidents, safeguarding, training, supervision, infection prevention and control, environment/equipment where applicable, and information governance). Findings inform our Quality of Care Review, which evaluates outcomes, feedback, trends, and learning, and sets out measurable improvement actions with owners and timescales. Lessons learned are shared in team meetings, supervision, and training.
5.4 Notifications and Reportable Events
Incidents and events that meet CIW’s notification thresholds are reported without delay through the CIW online portal. We keep clear internal records of what happened, the immediate response, who was notified, investigation findings and actions taken. Where safeguarding thresholds are met, referrals are made to the local authority in line with Welsh safeguarding arrangements. Complaints are handled transparently and recorded so that learning can be tracked.
5.5 Staff Training, Supervision and Competence
Training is mapped to Welsh requirements and to the roles within {{org_field_name}}. Core topics include safeguarding adults, MCA and consent, safe care and treatment (including medicines where applicable), infection prevention and control, record-keeping, information governance, professional boundaries, equality and human rights, and the Active Offer of the Welsh language. Staff receive regular supervision and appraisal; competence is observed in practice; and additional training is arranged when audits, incidents, complaints or feedback show it is needed.
5.6 The Welsh Language and Communication
We promote the Active Offer by offering services in Welsh without people having to ask. We record language preferences in care plans and make reasonable adjustments so people can receive information and communicate in their preferred language and format.
5.7 Information Governance and Record-Keeping
We maintain secure, contemporaneous and accurate records that evidence compliance with Welsh regulations and CIW guidance. Records are retained and disposed of in line with legal requirements. Personal data is processed lawfully and transparently under the UK GDPR and Data Protection Act 2018.
6. Working With External Stakeholders
We often collaborate with local health boards, local authorities, GPs and other professionals. Where external documents or enquiries refer to regulatory regimes from outside Wales, we courteously clarify that {{org_field_name}} is regulated by CIW and provide our Statement of Purpose and CIW inspection information as the authoritative reference for our service.
7. Communication and Signposting
We make it easy for people to understand who regulates us and how to raise concerns or give feedback. Our reception and welcome information explain that we are regulated by Care Inspectorate Wales and include CIW contact details, how to access our latest inspection report, and how to use our complaints and compliments process. Staff can confidently describe what CIW looks for and how we evidence good, safe care.
8. Continuous Learning and Improvement
The leadership team, including {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}, engages in sector networks, local forums and Social Care Wales resources to keep practice current. We encourage reflective supervision, share learning after audits and incidents, and check that agreed improvements are embedded and effective.
9. Evidence for Inspection
For inspection readiness, we maintain: an up-to-date Statement of Purpose; staff training and supervision records; incident, safeguarding and complaints logs with outcomes; quality audits and the Quality of Care Review with action plans; medicines records where applicable; up-to-date policies; and examples of feedback and co-production with people using our services and their families.
10. Policy Review
This policy is reviewed at least annually—or sooner if Welsh legislation or CIW guidance changes, or if service developments require it. Updates are communicated through team meetings, training, and supervision so that practice stays aligned with Welsh regulatory expectations.
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}}
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