Deddf Rheoleiddio ac Arolygu Gofal Cymdeithasol (Cymru) 2016 Regulation and Inspection of Social Care (Wales) Act 2016

Outcome focus -service standards Provider model of registration Implications and opportunities Goblygiadau a chyfleoedd Service regulation Outcome focus -service standards Provider model of registration Accountability - responsible individuals Transparency -annual returns Improvement focus Flexibility Rheoleiddio gwasanaethau Canolbwyntio ar ganlyniadau – safonau gwasanaethau Model cofrestru y darparwr Atebolrwydd – unigolion cyfrifol Tryloywder – ffurflenni blynyddol Canolbwyntio ar wella Hyblygrwydd Outcome focus -service standards Act is a sister Act to the SSWB Act which has a focus on prevention and early intervention, integrations and in particular wellbeing outcomes. Therefore outcomes form a key principle of RISCA. For example, all the regulations and NMS under the CSA that we know and love will be replaced by a new set of regulations and statutory guidance. These will set out standards for care and these will have an outcome focus. Regulations are less prescriptive, higher level and outcome focused. Provider model of registration Currently services are registered as individual settings. If a provider has 5 services, they will currently be registered as 5 separate establishments as if they exist in a vacuum form each other. Under RISCA, this provider could have one registration with the 5 services as sub registrations or conditions of their registration. This will have an impact on how we regulate. This will not only impact at registration but will also have an impact on how we inspect and enforce. The provider model impacts across all areas of regulation, not just how we go about registering service providers. For example, the registration of Dom Care is currently focused on the office. A Dom Care providers could currently have 5 offices across the South Wales and they would have 5 registrations. In the new world they will have one registration to deliver Dom care in areas – based on the health board foot prints If CSSIW sought to close one service which is part of a larger provider’s registration, we would be taking this condition off the provider’s registration as opposed to cancelling the provider’s registration. We will need to think about the circumstances which might lead to a provider’s full registration being cancelled. Accountability – RIs One of the key findings that arose from operation Jasmine and the subsequent Flynn Review was the need for greater accountability for providers. The Act seeks to place accountability at the highest level – with the organisation itself. Therefore the provider must designate an RI for each service location and there will be specific legal duties placed on the RI. The Act sets out who can be an RI i.e.: If the provider is an individual the RI must be that individual. If the provider is a body corporate, the RI must be a director or similar officer If the RI is a partnership, the RI must be one of the partners If the provider is a body corporate who’s affairs are managed by its members (charities), the RI must be a member of the body If the provider is a LA, the RI must be an officer of the LA designated by the director of SS. An RI can be designated for more that one service but they will have to be able to demonstrate and evidence they can fulfil the duties placed on them under Section 28 The Act sets out fitness criteria for RIs – therefore there will be fitness assessments as part of registration including fitness interviews. There are no qualification requirements for RIs but SCW has developed some learning resources/training for RIs. RM no will no longer register with CSSIW but must maintain a professional registration with SCW. Transparency -annual returns WG were keen that the public receive objective, transparent and comparable information about services. Therefore the Act requires providers to submit an annual return which will be published. Regulation set out what must be in an annual return. This includes objective information that enables the public to compare providers. This includes for example, staffing numbers, fees, complaints etc. There will also be softer information about the quality of the service. CSSIW is working towards an online SASS (self assessment) which could feed an annual return – as such as the provider is completing the SASS, they would be also be completing the annual return. Improvement focus Improvement is a feature of the Act. It does this in a number of ways e.g. extending SCW remit to include one of improvement, the service regs have an outcome focus. The Act also provides CSSIW with some new tools that will facilitate improvement e.g. improvement notices. These will be notices where CSSIW set out the actions/improvements the provider must make before we move to close or restrict a service. The Act also includes a provision for ratings. While this is not being taken forward at the moment, we are hopeful ratings will be introduced and these would be contribute significantly to improvement. Flexibility The Act seeks to enable more flexibility in the delivery of services; enabling new models of care to develop. This is in keeping with the SSWB Act which encourages new and innovative ways of service delivery e.g. social enterprise. This means we need to think about how we move forward with categories so that people’s care is not delayed or prevented due to conditions on provider’s registration.

Implications and opportunities Goblygiadau a chyfleoedd Workforce Social Care Wales Registration and development of workforce Local authority social services Inspection focus on well-being outcomes Standard approach to annual reports of Directors of Social Services Gweithlu Gofal Cymdeithasol Cymru Cofrestru a datblygu'r gweithlu Gwasanaethau cymdeithasol awdurdodau lleol Canolbwyntio arolygiadau ar ganlyniadau llesiant Dull cyffredinol ar gyfer adroddiadau blynyddol Cyfarwyddwyr Gwasanaethau Cymdeithasol

Implications and opportunities Goblygiadau a chyfleoedd Market stability Market oversight Market stability reports Sefydlogrwydd y farchnad Trosolwg o’r farchnad Adroddiadau ar sefydlogrwydd y farchnad

Regulation and Inspection of Social Care (Wales) Act 2016 The Regulated Services (Registration) (Wales) Regulations 2017 The Regulated Services (Annual Returns) (Wales) Regulations 2017 The Regulated Services (Notifications) (Wales) Regulations 2017 The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 The Regulated Services (Penalty Notice) Regulations 2017 The Regulation and Inspection of Social Care (Wales) Act 2016 came into force in January 2016 (the 2016 Act). The 2016 Act includes provisions that cover: The regulation of service providers Regulation and inspection of local authority social services functions Workforce regulation and Social Care Wales functions The 2016 Act sets out in section 2 which services are ‘regulated services’. They are: (a) a care home service, (b) a secure accommodation service, (c) a residential family centre service, (d) an adoption service, (e) a fostering service, (f) an adult placement service, (g) an advocacy service, (h) a domiciliary support service, and (i) any other service comprising the provision of care and support in Wales as may be prescribed – this means the Welsh Government could make regulations in the future to add new regulated services. The 2016 Act is the scaffolding of the legal framework. It sets out the broad legal framework, requirements and powers. The detailed requirements are set out in the regulations which underpin the 2016 Act. These were and continue to be developed in three phases: Phase one: The Regulated Services (Registration) (Wales) Regulations 2017 – the requirements around registration The Regulated Services (Annual Returns) (Wales) Regulations 2017 – this is a new requirement for providers. It is a public facing document which must be submitted to CSSIW within 56 of the end of the financial year and it will then be published on our web site. The regulations include what must be in an annual return. The Regulated Services (Notifications) (Wales) Regulations 2017 – these are requirements on CSSIW to inform local authorities in England and Wales when we take certain regulatory action e.g. issue a notice to cancel a home or a provider or make an application to the justice of the peace for urgent closure/action. Phase 2: The regulated Services (Penalty Notice) Regulations 2017 – sets out the penalty notice scheme e.g. the amount of the penalties, what must be in the notice, how it can be paid etc. The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 – these are the main service regulations which set out the service standards and duties of Responsible Individuals. The phase two regulations apply only to care home services, domiciliary support services, secure accommodation services and residential family centre services. These also include exemptions i.e. set out service or activities that will not be counted as a regulated service. Statutory guidance for service providers and responsible individuals on meeting service standard regulations – this is not law, it is statutory guidance on how service providers may meet the requirements of the regulations made under section 27 and 28 of the Act. They must have regard to it. Phase 3: This phase will be developed during 2018/19 and will include the regulations that set out the service standards for advocacy services, adoption services, fostering services and adult placement services. These will be the equivalent of the ‘The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017’. Resources: The Regulated Services (Registration)(Wales) Regulations 2017 http://www.legislation.gov.uk/wsi/2017/1098/pdfs/wsi_20171098_mi.pdf The Regulated Services (Annual Returns) (Wales) Regulations 2017 http://www.legislation.gov.uk/wsi/2017/1097/pdfs/wsi_20171097_mi.pdf The Regulated Services (Notifications) (Wales) Regulations 2017 http://www.legislation.gov.uk/wsi/2017/961/pdfs/wsi_20170961_mi.pdf The Regulated Services (Service Providers and Responsible Individuals)(Wales)Regulations 2017 http://www.assembly.wales/laid%20documents/sub-ld11277/sub-ld11277-e.pdf The Regulated Services (Penalty Notice) Regulations 2017 http://www.legislation.gov.uk/wsi/2017/1292/pdfs/wsi_20171292_mi.pdf Statutory Guidance for service providers and responsible individuals on meeting the service standard regulations. http://gov.wales/docs/dhss/publications/171121ss-statguidanceen.pdf Guidance to providers on re-registration http://cssiw.org.uk/docs/cssiw/general/171207reregistrationguiden.pdf Statutory guidance for service providers and responsible individuals on meeting service standard regulations

Inspection, improvement and enforcement What is CSSIW doing to prepare for RISCA? Beth mae AGGCC yn ei wneud i baratoi ar gyfer y Ddeddf Rheoleiddio ac Arolygu Gofal Cymdeithasol? Inspection, improvement and enforcement Developing an approach to inspection at the provider level Revising securing and improvement & enforcement process in line with new powers Arolygu, gwella a gorfodi Datblygu dull o arolygu ar lefel y darparwr Diwygio'r prosesau sicrhau a gwella, a'r prosesau gorfodi yn unol â'r pwerau newydd

Dyddiadau cau ar gyfer ceisiadau Deadlines for applications Bydd angen i bawb gwblhau ffurflen gais ar-lein i ailgofrestru Yn ystod 2017/19, bydd darparwyr yn cyflwyno ceisiadau mewn camau: Darparwyr cartrefi gofal – cyflwyno cyn 30 Mehefin 2018 Darparwyr asiantaethau gofal cartref – cyflwyno cyn 31 Awst 2018 Gwasanaethau eraill – cofrestru yn ystod 2019/20 Everyone will need to complete an online application form to re-register During 2017/19 providers will submit applications in phases: Providers of care homes – submit before 30 June 2018 Providers of dom care agencies – submit before 31 August 2018 Remaining services – registering during 2019/20

Arolygu – cyfeiriad teithio Inspection – direction of travel

How it all fits together / Sut mae popeth yn dod ynghyd Cod ymarfer ar gyfer arolygu ‘Sut y byddwn yn arolygu a beth yw da’ Social Service and Well-being Act Wellbeing outcomes Section 27 Regulations ‘What the requirements are’ Statutory Guidance ‘How providers may comply with requirements’ Code of practice for inspection ‘how we will inspect and what good looks like’ Canllawiau statudol 'Sut y mae'n bosib i ddarparwyr gydymffurfio â'r gofynion' Rheoliadau Adran 27 ‘Beth yw'r gofynion’ Deddf Gwasanaethau Cymdeithasol a Llesiant Canlyniadau llesiant

Fframweithiau diwygiedig – syniadau cynnar Llesiant Bydd arolygwyr yn archwilio ac yn adrodd ar ganlyniadau i bobl o dan y thema llesiant yn bennaf Yr Amgylchedd Gofal a chymorth Arweinyddiaeth a rheolaeth Galluogwyr yw’r tair thema arall, h.y. pan fydd darparwyr yn darparu gofal a chymorth o ansawdd da, yn arwain ac yn rheoli’n dda ac yn cynnig yr amgylchedd cywir, bydd pobl yn cael eu cefnogi i gyflawni’r canlyniadau gorau posibl. Mae’r arolygwyr yn adrodd ar y graddau y mae gwasanaethau’n bodloni’r rheoliadau a’r canllawiau statudol o dan y themâu hyn Nid oedd alinio’r rheoliadau i’n fframweithiau mor syml ag y tybiwyd yn wreiddiol b) Bydd yn arwain at symud mwy sylfaenol a ran sut rydym yn arolygu, ac mae’n debygol o effeithio ar sut byddwn yn adrodd, gyda’r adran llesiant yn dod yn brif ran ‘beth felly’ yr adroddiad c) Rydym eisiau gwneud hyn yn gywir a sicrhau y bydd yn gweithio’n dda gyda’r sgoriau os cânt eu cyflwyno ch) Felly, rydym wedi penderfynu cymryd mwy o amser i’w datblygu ac i beilota unrhyw ddull newydd cyn y cyflwyniad llawn ym mis Ebrill 2019. d) Mae hefyd angen i ni ddatblygu dull cymorth yn y cartref ochr yn ochr â hyn – un sy’n canolbwyntio mwy ar ganlyniadau i bobl ac sy’n ein galluogi ni i arolygu ac adrodd ar ansawdd y gofal cartref a ddarperir gan y darparwr ledled ôl troed partneriaeth ranbarthol, h.y. nid mewn swyddfeydd. dd) Rydym wedi mapio’r rheoliadau ar draws y themâu cyfredol yr ydym yn adrodd arnynt (llesiant, gofal a chymorth, arweinyddiaeth a rheolaeth, a’r amgylchedd) e) Mae’r rheoliadau’n mapio’n naturiol i’r tair thema, sef gofal a chymorth, arweinyddiaeth a rheolaeth, a’r amgylchedd f) Bydd arolygwyr yn archwilio ac yn adrodd ar y canlyniadau i bobl yn bennaf o fewn y fframwaith canlyniadau cenedlaethol o dan y thema llesiant ff) Galluogwyr yw’r tair thema arall, h.y. pan fydd darparwyr yn darparu gofal a chymorth o ansawdd da, yn arwain ac yn rheoli’n dda ac yn cynnig yr amgylchedd cywir, bydd pobl yn cael eu cefnogi i gyflawni’r canlyniadau gorau posibl g) O fewn y tair thema hyn, bydd arolygwyr yn dilyn trywyddau ymchwilio sydd wedi’u halinio’n uniongyrchol â’r rheoliadau a’r canllawiau statudol

Revised Frameworks – early thoughts Well-being Inspectors will primarily investigate and report on outcomes for people under the well being theme Environment Care and support Leadership and management The other three themes are the enablers i.e. where providers deliver good quality care and support, lead and manage well and have the right environment, people will be supported to achieve the best possible outcomes possible. Inspectors report on the degree to which services meet the regulations and statutory guidance under these themes Aligning the regs to our frameworks was not as straight forward as originally thought It will result in a more fundamental shift in how we inspect and is likely to impact on how we report with the well being section becoming the main ‘so what’ section of the report. We want to get this right and ensure it will work well with ratings if they are introduced Therefore we have decided to take more time to develop them and pilot any new approach before full introduction in April 2019. We also need to develop a domiciliary support methodology along side this – one which focuses more on outcomes for people and enables us to inspect and report on the quality of dom care delivered by the provider across a regional partnership footprint i.e. not based on offices. We have mapped the regulations across to the current themes that we report on (Well-being, care and support, Leadership and Management and Environment) Regulations naturally map to the three themes care and support, leadership and management and environment. Inspectors will primarily investigate and report on the outcomes for people within the national outcome framework under the well being theme The other three themes are the enablers i.e. where providers deliver good quality care and support, lead and manage well and have the right environment, people will be supported to achieve the best possible outcomes possible. Within these three themes Inspectors will follow lines of enquiry which are directly aligned to the regulations and statutory guidance

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