Statutory Guidance For Service Providers - GOV.WALES

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Statutory GuidanceFor service providers and responsibleindividuals on meeting service standardregulations for: Care home servicesDomiciliary support servicesSecure accommodation services; andResidential family centre servicesThis statutory guidance relates to Parts 3to 20 of The Regulated Services(Service Providers and ResponsibleIndividuals) (Wales) Regulations 2017,as amendedVersion 2 – April 2019The Regulation and Inspection of Social Care(Wales) Act 2016 Crown copyright 2019 WG37234Digital ISBN: 978 1 83876 145 5Mae’r ddogfen yma hefyd ar gael yn Gymraeg / This document is also available in Welsh.

ContentsAbout this guidance .List of key terms .Useful links .146Chapter 1: Requirements on Service 13General requirements on service providers Requirements on service providers as to the steps to be taken beforeagreeing to provide care and support .Requirements on service providers as to the steps to be taken oncommencement of the provision of care and support .Requirements on service providers as to the information to be providedto individuals on commencement of the provision of care and support .Requirements on service providers as to the standard of care andsupport to be provided .Requirements on service providers – Safeguarding . Requirements on service providers which only apply whereaccommodation is provided .Requirements on service providers as to staffing .Requirements on service providers in respect of domiciliary supportservices Requirements on service providers as to premises, facilities andequipment Additional requirements on service providers in respect of premises –new accommodation .Requirements on service providers as to supplies, hygiene, health andsafety and medicines .Other requirements on service providers .7182228324351536469798387Chapter 2: Requirements on Responsible Individuals2.12.22.32.42.5Requirements on responsible individuals for ensuring effectivemanagement of the service . 98Requirements on responsible individuals for ensuring effective oversightof the service . 105Requirements on responsible individuals for ensuring the compliance ofthe service 108Requirements responsible individuals for monitoring, reviewing andimproving the quality of the regulated service 109Other requirements on responsible individuals . 111Annex A: Parts of the Regulations not the subject of this Guidance . 114Annex B: Schedules to Regulations 35, 59, 60 and 84 122

About this guidanceThis is statutory guidance issued by the Welsh Ministers under section 29 of theRegulation and Inspection of Social Care (Wales) Act 2016 (‘the Act’).It applies from April 2019.The Act, the Regulated Services (Service Providers and Responsible Individuals) (Wales)Regulations 2017, as amended (“the Regulations”) and this statutory guidance replacerequirements previously put in place under the Care Standards Act 2000 and theassociated National Minimum Standards.This guidance sets out: how providers of regulated services may comply with the requirements imposed byregulations made under section 27 of the Act, and how persons designated as a responsible individual for a regulated service maycomply with the requirements imposed by regulations made under section 28 ofthe Act.These requirements are contained within Parts 3 to 20 of The Regulated Services (ServiceProviders and Responsible Individuals) (Wales) Regulations 2017 (‘the Regulations’).These Regulations came into force on 2 April 2018 and this guidance will also take effectfrom that date. These Regulations have been amended by the Regulated Services(Service Providers and Responsible Individuals) (Wales) (Amendment) Regulations 2019(“the Amendment Regulations), which came into force on 1 April 2019.Section 29(3) of the Act states that providers of regulated services and designatedresponsible individuals must have regard to this guidance in meeting requirementsimposed by regulations under sections 27 and 28 of the Act.With certain exceptions, listed within Part 2 of the Regulations (see Annex A), thisguidance is specifically for providers of the following regulated services, operatingin Wales: care home services secure accommodation services residential family centre services domiciliary support servicesIt also applies to those persons designated as responsible individuals under the Act.This guidance is also relevant to those providers making an application for registration asa service provider under section 6 of the Act. Guidance about registration has beenproduced by the service regulator, Care Inspectorate Wales, and is available on itswebsite (see Useful Links).This statutory guidance has been produced to cover those regulated services providingcare and support to individuals of different ages and with different aspirations and needs.1

It is detailed in part to ensure that individuals, particularly those who are physically frail orvulnerable, receive the right care to promote their well-being and safety.How to use this guidanceProspective service providers and responsible individualsPersons who wish to provide a regulated service must make an application for registrationto Care Inspectorate Wales (’CIW’) who act as the service regulator on behalf of the WelshMinisters. Prospective service providers and responsible individuals must demonstrate thatthey will be able to meet the requirements imposed by the Act and the Regulations andonce registered, that they will continue to meet them.In order to grant an application to register, CIW must be satisfied that any prospectiveprovider of regulated services can and will meet the standards of service provisionspecified in regulations under section 27 of the Act. CIW must also be satisfied thatpersons designated as a responsible individual can and will comply with the duties set outin regulations under section 28 of the Act.CIW will use this guidance to inform its decisions to grant or refuse applications forregistration as a service provider.Registered service providers and designated responsible individualsRegistered providers of regulated services and designated responsible individuals mustmeet the requirements of the Act and the Regulations. In doing so they must haveregard to this statutory guidance which is intended to help them understand how theycan meet the applicable requirements within the Regulations. CIW will use this guidanceto inform decisions about the extent to which registered providers are meeting thoserequirements. and when considering whether to take enforcement action.Service providers remain responsible for deciding how the requirements will be met, takinginto account the needs of individuals using the service and the statement of purpose forthe regulated service.If registered service providers and designated responsible individuals do not followthis guidance, they must provide evidence that their chosen approach enables them tomeet the applicable requirements within the Regulations.Structure of this guidanceThis guidance sets out the following: A summary of the intention of each Part of the RegulationsParts 3 to 15 of the Regulations, made under section 27 of the Act, set out therequirements on a service provider in relation to the standard of service that must beprovided. They highlight the importance of the well-being of individuals who are receiving2

care and support1. They also impose other requirements on service providers related tothe operation of the regulated service.Parts 16 to 20 of the Regulations, made under section 28 of the Act, set out the dutiesplaced on the designated responsible individual in relation to a regulated service. Theseduties include a requirement to supervise the management of the service including theappointment of a suitable and fit manager. The intention is to ensure that a designatedperson at an appropriately senior level holds accountability for both service quality andcompliance and ensures that there is a clear chain of accountability linking the corporateresponsibility of the service provider and the responsible individual with the role of themanager of the regulated service. The text of each regulationIt is important that service providers and responsible individuals refer to the text of eachregulation as the first source of information about what the requirements are and how tomeet them. This guidance provides further explanation on how to meet the individualcomponents of each regulation where further clarification and definition may be helpful.Where the text of the regulation itself is self-explanatory, no further guidance is given. Guidance on the requirements of individual components of the regulationThe guidance on individual components of each regulation should not be consideredexhaustive as there may be other ways that service providers and responsible individualscan show that they meet each component of the regulation.Annex A sets out parts of the Regulations that are not the subject of this guidance, as theyare not made under section 27 or 28 of the Act. Annex B contains the Schedules toregulations 35, 59, 60 and 84. These annexes have been included for reference only.EnforcementParts 3 to 20 of the Regulations set out clear requirements which registered providers andresponsible individuals must adhere to. CIW, as the service regulator, can takeenforcement action against any registered service provider and responsible individual thatdoes not adhere to these legal requirements.Any enforcement action taken by CIW will be proportionate and will look at the impact onor risk to individuals using the regulated service.Examples of enforcement action may include: imposing conditions on a service provider’s registration; cancelling a service provider’s registration; issuing an improvement notice; issuing a fixed penalty notice.1 These standards are linked to the well-being statement for people who need care and support and carerswho need support. -being-statementen.pdf3

Further information on the offences which service providers and responsible individualsmay commit if they do not comply with the requirements of the Act and these Regulations,and the different statutory and non-statutory enforcement actions that CIW may take inresponse, are set out within CIW’s Securing Improvement and Enforcement guidance.This is available on CIW’s website.List of key terms used within this guidanceTermMeaningThe ActThe Regulation and Inspection of Social Care (Wales) Act 2016The 2014 ActThe Social Services and Well-being (Wales) Act 2014Care and supportplanA plan put in place by the local authority under section 54 (in relationto adults, children or a carer) or section 83 (in relation to looked afterand accommodated children) of the 2014 ActPersonaloutcomes In relation to an adult, means the outcomes that the adult wishesto achieve in day to day life; In relation to a child, means—(i) the outcomes that the child wishes to achieve; or(ii) the outcomes that any persons with parentalresponsibility wish to achieve in relation to the childPersonal planThe plan required to be prepared in accordance with regulation 15ProviderassessmentThe assessment which is required to be carried out by the serviceprovider in accordance with regulation 18Registered nursesAny nurse registered on Part 1 of the Nursing and Midwifery Councilprofessional register and coming from any of the four recognisedfields of practice (competencies): adult, mental health, learningdisability and children. In addition to their initial registration, theregistered nurse should have developed knowledge and skills thatmake them competent to care for individuals.RepresentativeAny person having legal authority, or the consent of the individual toact on the individual’s behalfResponsibleindividualMust be either:(See section 21 ofthe Act for a fulldescription) where the service provider is an individual, the service provider;where the service provider is a partnership, one of the partners;where the service provider is a body corporate, other than a localauthorityo a director or similar officer of the body;o in the case of a public limited company, a director orcompany secretary;o in the case of a body corporate whose affairs aremanaged by its members, a member of the body;4

where the service provider is an unincorporated body, a memberof the body;where the service provider is a local authority, an officer of thelocal authority designated by the authority’s director of socialservices;and whom CIW are satisfied is a fit and proper person to be aresponsible individual;and is designated by a service provider in respect of a place at, fromor in relation to which the provider provides a regulated service;and is specified as such in the service provider’s registrationNB In certain circumstances (see Regulation 89, not covered in thisguidance) the responsible individual may be designated by CIW (onbehalf of the Welsh Ministers) and not the service provider.ServicecommissionerThe local authority or NHS body which is responsible for makingarrangements with the provider for care and support to be providedto an individualService provider(or provider)A person or organisation registered with CIW to provide a regulatedserviceStaff Persons employed by the service provider to work at the serviceas an employee or worker (within the meaning of section 230 ofthe Employment Rights Act 1996); Persons engaged by the service provider under a contract forservices; This does not include persons who are allowed to work asvolunteers.The individualUnless the context indicates otherwise, the child or adult who isreceiving care and supportThe individual’sneedsThe person’s care and support needsThe RegulationsThe Regulated Services (Service Providers and ResponsibleIndividuals) (Wales) Regulations 2017, as amendedThe ServiceThe regulated service which is provided by a service provider at,from or in relation to a place specified in a condition to the serviceprovider’s registrationAccommodationbased servicesThese include care home services, residential family centre servicesand secure accommodation services.Community-basedservicesThese include domiciliary support services.The serviceCare Inspectorate Wales acting on behalf of the Welsh Ministers in5

regulatorthe exercise of their regulatory functionsStatement ofpurposeThe statement of purpose for the place at, from or in relation towhich the service is providedSCWSocial Care Wales, the workforce regulatorUseful linksThe Regulation and Inspection of Social Care (Wales) Act ents/enactedThe Regulated Services (Service Providers and Responsible Individuals) (Wales)Regulations deThe Social Services and Well-being (Wales) Act entsWelsh Government: Well-being Statement for People Who Need Care and Supportand Carers Who Need 831well-being-statementen.pdfCare Inspectorate Waleshttp://careinspectorate.wales/?lang enCare Inspectorate Wales: gacareservice/?lang enCare Inspectorate Wales: Re-registration Guidance for general/171207reregistrationguiden.pdfCare Inspectorate Wales: Compiling a Statement of Care Inspectorate Wales: Securing Improvement and Enforcement ent-policy-en.pdfSocial Care Waleshttps://www.socialcare.wales/Social Care Wales: Information and Learning Hubhttps://socialcare.wales/hub/home6

Chapter 1: Requirements on Service Providers (Parts 3 to 15 of the Regulations)1.1 General requirements on service providers (Part 3)The intent of the general requirements within Part 3 of the Regulations is to ensure that service providers put in place governancearrangements to support the smooth operation of the service and to ensure that there is a sound base for providing high quality care andsupport for individuals using the service and to enable them to achieve their personal outcomes. This includes the following: setting clear organisational intent and direction by outlining in the statement of purpose the services provided and theactions the service provider will undertake to ensure these services are delivered to the required standards. putting in place the underpinning policies and procedures to support managers and staff to achieve the aims of the serviceand support individuals to achieve their personal outcomes. establishing sound management structures to oversee and monitor the service in order to ensure that it operates safely andeffectively for the individuals receiving care and support. establishing clear arrangements for an ongoing cycle of quality assurance and review to provide assurance that the serviceoperates in line with legal requirements and its statement of purpose and is supporting individuals appropriately. Informationobtained through monitoring is used for continued development and improvement of the service. maintaining oversight of financial arrangements and investment in the business to ensure financial sustainability so thatindividuals using the service are supported to achieve their personal outcomes and are protected from the risk of unplannedremoval or change in the service provided due to financial pressures. promoting a culture of openness, honesty and candour at all levels.Regulation 6Guidance Requirements in relation to the provision of the service6. The service provider must ensure that the service is providedwith sufficient care, competence and skill, having regard to thestatement of purpose.Service providers have clear arrangements for the oversightand governance of the service in order to establish, developand embed a culture which ensures that the best possibleoutcomes are achieved for individuals using the service and tomeet the requirements of the Regulations. This includes but isnot limited to:o policies and procedures to achieve the aims of the7

ooooooRegulation 7Guidance The statement of purpose is fundamental to the service. Itshould:o accurately describe the services provided;o state where and how these services will be provided; ando state the arrangements to support the delivery of theservices. It must include the information set out in The RegulatedServices (Registration) (Wales) Regulations 20172. In preparing a statement of purpose, the service provider takesinto account any statement of purpose guidance provided by theservice regulator.Requirements in relation to the statement of purpose7.—(1) The service provider must provide the service inaccordance with the statement of purpose.(2) The service provider must—(a) keep the statement of purpose under review, and(b) where appropriate, revise the statement of purpose.(3) Unless paragraph (4) applies, the service provider must notifythe persons listed in paragraph (6) of any revision to be made tothe statement of purpose at least 28 days before it is to take effect.(4) This paragraph applies in cases where it is necessary tostatement of purpose and to place people at the centre ofthe service;systems for assessment, care planning, monitoring andreview which support evidence-based practice andenable individuals to achieve their personal outcomes;processes to

and the different statutory and non-statutory enforcement actions that CIW may take in response, are set out within CIW’s Securing Improvement and Enforcement guidance. This is available on CIW’s website. List of key terms used within this guidance Term Meaning The Act The Regulation and Inspection of Social Care (Wales) Act 2016

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