DCW153-CQC Regulations Policy

Registration Number: {{org_field_registration_no}}

CQC Regulations Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} meets the highest regulatory standards in both Wales (CIW) and England (CQC) where applicable. This policy outlines how our home care business: Maintains compliance with CIW regulations in Wales. Aligns with CQC’s Fundamental Standards where applicable for services provided in England. Implements efficient processes to ensure continuity, safety, and quality across regulatory frameworks. This policy is designed to support staff, managers, and external inspectors in understanding how {{org_field_name}} ensures compliance with relevant care quality standards while maintaining efficient operational practices.

2. Scope

This policy applies to: All employees of {{org_field_name}}, including care workers, administrative staff, and managers. All service users receiving domiciliary care, ensuring compliance with CIW regulations in Wales and, where relevant, CQC regulations in England. Third-party organisations, including healthcare professionals, commissioners, and local authorities involved in regulatory oversight. This policy covers: Compliance with CIW and CQC regulations. How {{org_field_name}} meets regulatory requirements efficiently. Governance, audits, and workforce training to ensure continuous compliance.

3. Compliance with CIW and CQC Regulations

3.1 Care Inspectorate Wales (CIW) Regulatory Framework

Under the Regulation and Inspection of Social Care (Wales) Act 2016 (RISCA), CIW regulations focus on: Person-centred care and support that meets the well-being needs of individuals. Effective governance and oversight ensuring safe, high-quality care. Workforce suitability and continuous professional development. Health, safety, and risk management in service delivery. Safeguarding and complaints management.

{{org_field_name}} meets CIW regulations by: Ensuring all care staff receive appropriate training in CIW’s regulatory requirements. Maintaining comprehensive care records and risk assessments. Carrying out regular internal audits to ensure compliance with CIW expectations. Implementing a governance framework that ensures the Registered Manager and Responsible Individual oversee service quality effectively.

3.2 CQC Regulatory Framework (For Services in England)

If {{org_field_name}} operates in England, we must also comply with CQC’s Fundamental Standards, which include: Person-centred care – Service users must receive care tailored to their individual needs. Dignity and respect – People must be treated with dignity, kindness, and respect. Consent – Care must only be provided with the individual’s informed consent. Safety – Services must be safe, effectively managed, and free from harm. Safeguarding from abuse – Policies must be in place to protect vulnerable individuals. Food and drink – Nutrition and hydration needs must be met. Premises and equipment – Any equipment used must be safe and well-maintained. Complaints – A clear process must be in place to handle complaints effectively. Good governance – Providers must maintain robust systems to monitor care quality. Fit and proper persons – Staff must undergo DBS checks and suitability assessments.

For services operating in England, {{org_field_name}}: Conducts self-assessments against CQC’s Key Lines of Enquiry (KLOEs). Ensures care planning meets both CIW and CQC person-centred care standards. Implements a uniform approach to risk assessment, medication management, and safeguarding across jurisdictions.

4. Efficient Compliance Management Across Regulatory Frameworks

4.1 Workforce Training and Development

To ensure staff understand the requirements of both CIW and CQC, {{org_field_name}} provides: Annual training updates on CIW and CQC compliance requirements. Safeguarding training aligned with Welsh Social Care Standards and CQC’s guidelines. Medication administration training, ensuring safe handling of medicines in compliance with both regulatory bodies.

4.2 Quality Assurance and Audits

Regular internal audits are carried out to measure compliance with both CIW and CQC frameworks. The Registered Manager oversees service quality, ensuring compliance through: Care plan audits. Workforce competency assessments. Incident reporting reviews. Feedback from service users, families, and external inspectors is regularly reviewed to improve service quality.

4.3 Governance and Leadership

The Responsible Individual (RI) ensures compliance with both CIW and CQC governance requirements. Management meetings are held quarterly to review regulatory updates and best practices. The Statement of Purpose (DCW05) is regularly updated to reflect compliance with regulatory expectations.

5. Managing Inspections and Regulatory Engagement

5.1 CIW Inspections (Wales)

CIW conducts scheduled and unannounced inspections. {{org_field_name}} maintains a Culture of Readiness, ensuring compliance at all times. Registered Managers and the Responsible Individual engage proactively with CIW to ensure full transparency.

5.2 CQC Inspections (England, if applicable)

CQC ratings are monitored, and action plans are implemented to address any identified areas for improvement. Regular mock inspections are carried out to prepare staff for CQC reviews.

5.3 Continuous Improvement in Compliance

Staff are encouraged to report concerns regarding regulatory compliance to senior management. Incident reviews and lessons learned are discussed in team meetings. Annual policy reviews ensure alignment with both CIW and CQC changes.

6. Related Policies

This policy should be read alongside: Statement of Purpose Policy (DCW05). Safe Care and Treatment Policy (DCW11). Governance and Compliance Policy (DCW04). Staff Supervision, Training, and Development Policy (DCW27). Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13).

7. Policy Review

This policy will be reviewed annually or sooner if legislation, CIW or CQC regulations, or business needs change. Updates will be communicated to all staff to ensure continued compliance.

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.