CHW153-CQC Regulations Policy

Registration Number: {{org_field_registration_no}}

CQC Regulations Policy

(Note: In Wales, the Care Inspectorate Wales (CIW) is the relevant regulatory body rather than the Care Quality Commission (CQC), which regulates care services in England. This policy clarifies that while we are not regulated by CQC, we are fully compliant with CIW regulations under the Regulation and Inspection of Social Care (Wales) Act 2016. It also explains how we manage equivalency when working with cross-border partners, professionals, and stakeholders referencing CQC standards.)

1. Purpose

The purpose of this policy is to clarify the regulatory framework applicable to {{org_field_name}}, which operates in Wales under the authority of the Care Inspectorate Wales (CIW), and not the Care Quality Commission (CQC), which operates in England. This policy provides staff and inspectors with a clear understanding of how we interpret, comply with, and align our governance and service delivery with Welsh legislation, and how we respond when external stakeholders refer to CQC standards. It also outlines how we communicate our regulatory compliance effectively to ensure transparency, professionalism, and confidence in our services.

2. Scope

This policy applies to all staff at {{org_field_name}}, including the Registered Manager, Responsible Individual, and the wider care and administrative teams. It is also relevant to visiting professionals, individuals using our services and their families, cross-border commissioning authorities, and CIW inspectors.

3. Related Policies

This policy should be read in conjunction with:

CHW04 – Good Governance
CHW05 – Statement of Purpose Policy
CHW11 – Safe Care and Treatment Policy
CHW13 – Safeguarding Adults from Abuse and Improper Treatment Policy
CHW15 – Regulated Activities Compliance Policy
CHW27 – Staff Supervision, Training, and Development Policy
CHW35 – Duty of Candour Policy

4. Legal and Regulatory Framework

{{org_field_name}} is regulated under the Regulation and Inspection of Social Care (Wales) Act 2016, alongside its associated statutory instruments, including:

The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017
The Regulated Services (Registration) (Wales) Regulations 2017
The Regulated Services (Annual Returns and Registration) (Wales) Regulations 2019

We are not registered with or subject to the inspection regime of the Care Quality Commission (CQC), which applies only to care providers in England. All our practices, quality assurance processes, and governance are tailored to meet CIW expectations.

5. How We Manage Compliance Efficiently

5.1 Clear Understanding of CIW Expectations

All policies, training programmes, and internal governance at {{org_field_name}} are based on the statutory guidance issued by CIW. Our Registered Manager and Responsible Individual have an in-depth knowledge of their regulatory duties and maintain up-to-date awareness of:

Requirements for safe care and treatment.
Staffing and workforce oversight.
Monitoring and continuous improvement.
Duty of candour and safeguarding responsibilities.
Annual Quality of Care Reviews.

All staff are trained to understand CIW expectations and how they differ from CQC requirements, particularly when dealing with English-based relatives or commissioning bodies.

5.2 Responding to CQC-Related Requests or Comparisons

Occasionally, we receive documentation, referral forms, or enquiries referring to “CQC compliance” from:

GP practices based in England.
NHS Trusts across the border.
Local authorities placing residents from England into our care home.
Families more familiar with CQC standards.

In such cases, our management team explains clearly and professionally that {{org_field_name}} is regulated by CIW and refers the enquirer to our Statement of Purpose and CIW inspection reports. We provide accurate links to our CIW public profile and offer explanations based on comparable outcomes:

For example, where the CQC uses “Key Lines of Enquiry (KLOEs)”, we refer to CIW’s Quality Framework and the SOFI2 observational tool that informs inspection outcomes.

5.3 Equivalency and Cross-Border Understanding

Although Wales and England are regulated differently, the fundamental principles of safety, dignity, choice, and effective care are shared. Our leadership team, including {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}, maintains awareness of both frameworks to ensure smooth cross-border communication and collaboration. Where applicable, we align policies with both sets of standards, without compromising Welsh legislative compliance.

5.4 Staff Training and Knowledge

Training for all staff includes:

Awareness of CIW’s inspection methodology and the difference from CQC regulation.
Knowledge of Welsh legislation including the Social Services and Well-being (Wales) Act 2014 and the Human Rights Act 1998.
Understanding of the Welsh model of person-centred, rights-based care as outlined in CIW values.
Clarity on professional conduct, safe care delivery, and escalation responsibilities.

5.5 Transparent Reporting and Oversight

All incidents, complaints, safeguarding concerns, and quality reviews are documented in line with CIW statutory expectations. Notifications are made via CIW’s online portal, not through CQC’s notification process. Annual returns are submitted in accordance with the Regulated Services (Annual Returns and Registration) (Wales) Regulations 2019.

When CQC-related forms are mistakenly sent, we inform the sender of the correct reporting channels in Wales and assist in completing the appropriate documentation as needed.

5.6 Quality Assurance Aligned to CIW

Internal audits, observations, feedback loops, and outcome evaluations are all aligned to CIW’s expectations of well-being-focused, rights-based care. For example:

Our Quality of Care Review evaluates outcomes, feedback, safeguarding, and complaints in a way that matches CIW’s guidance.
Our care plans reflect the principles of independence, dignity, and personal outcomes under the Regulation and Inspection of Social Care (Wales) Act 2016.

5.7 Signposting and Communication

To support awareness, the following is made available:

A poster in the reception area explaining that we are regulated by CIW, not CQC.
Our latest CIW inspection report and the CIW contact details for feedback and concerns.
Access to our Statement of Purpose, Policies and Procedures, and complaint handling pathway.
Links to the CIW website: https://www.careinspectorate.wales.

6. Accountability and Continuous Learning

We understand the importance of cross-border awareness and continuous learning. The leadership team:

Participates in local authority and health board forums to keep abreast of best practices.
Engages in reflective supervision and CIW feedback following inspections.
Maintains compliance with the legal framework and supports staff to implement improvements.

7. Policy Review

This policy will be reviewed annually, or sooner in the event of changes in legislation, updates to CIW guidance, or service development. Updates are shared with all staff during training and supervision sessions.

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.