Wales

(a) the [statement of purpose] for the service;

(b) the care and support needs of the individuals;

(c) supporting individuals to achieve their personal outcomes’

Service providers must make arrangements for the support and development of staff.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

Service providers are obliged to train and supervise all people working at the service, including volunteers. The detail of regulatory requirements is set out below. Regulation 36 states they must have a policy in place for the support and development of staff.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

Service providers must ensure that all people working at the service receive a provider-specific induction that is appropriate for their role (including volunteers and agency workers). The Guidance issued by the Welsh Government expects an induction programme to equip staff and volunteers ‘to be confident in their roles and practice’ and enable them to make ‘a positive contribution to the well-being of individuals using the service’. In addition to this provider-specific induction training, care workers must complete induction programmes required by Social Care Wales (SCW). For agency workers, the Guidance expects providers to give them introduction training that includes, at a minimum, the [statement of purpose], core policies and procedures, and management and supervision arrangements.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

Welsh Government, Statutory Guidance for Service Providers and Responsible Individuals on Meeting Service Standard Regulations (Version 2)’ April 2019 (“2019 Guidance for Providers”).

Service providers must ensure that staff and volunteers receive ‘core training’ that is appropriate to their role, as well as appropriate specialist training.  Staff and volunteers must be aware of their own responsibilities and those of other staff. Service providers must also ensure that staff and volunteers receive support and assistance to obtain further training that is appropriate to their work. The Guidance expects the additional training, learning and development needs of each staff member to be identified within the first month of employment, and to be reviewed through supervision and appraisals.

The provider should also maintain a written record of all training undertaken or to be undertaken by staff.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

The Guidance expects service providers to undertake an annual training needs analysis to ensure that staff have the skills and competence required to meet the needs of individuals using the service.

The Guidance expects service providers to support all staff to complete:

·      core training, necessary qualifications and other training as appropriate

·      core and specialist training identified for their role by SCW

·      training required for continuing professional development and to meet the requirements of registration with regulatory bodies.

·      training, learning and development about the use of specialist equipment and meeting the needs of people using the service

Breach of this provision is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

Service providers must ensure that people working at the service (including volunteers) receive appropriate supervision and appraisal. The Guidance expects supervision to include a face-to-face supervision meeting, at least quarterly, with a line manager or more senior member of staff. Supervision is expected to include feedback on the person’s performance from people using the service and should help staff and volunteers maintain professional competence and reflect on their practice. Staff are expected to have an annual appraisal which gives feedback on performance and identifies areas for training and development.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

Regulation 47 requires service providers to have adequate facilities for staff supervision. The Guidance states that this should be a private space, but suggests as an example a ‘shared meeting room’, which does not appear to be ideal.

Breach of this regulation is not an offence, but the CIW can take [enforcement action].

Welsh Government, ‘Statutory Guidance for service providers and responsible individuals on meeting service standard regulations’ (April 2019).

The Guidance creates various expectations in relation to delegation. Staff are expected to understand their own responsibilities and accountabilities when delegating, or when being delegated to. If healthcare activities are delegated, staff undertaking the tasks are expected to act in accordance with codes of practice and guidance relating to the activities. Service providers are expected to respect the professional autonomy of registered professionals in relation to delegated activities (this should presumably include registered social care workers).

The policies and procedures which are required to be in place by Regulation 12, include policies and procedures on staff support and development. ‘Staff’ includes employees, workers, self-employed individuals and agency workers. The Guidance expects staff to have knowledge and understanding of policies and procedures that support them in their role, to have access to these, and to have the opportunity to be involved in their development.

Breach of this provision is an offence.

2019 Guidance for Providers.

Regulation 18 requires service providers to provide information about the service which is to be made available to staff and volunteers. The Guidance expects this information to include, among other things, information about staff conduct, staff roles and responsibilities, policies and procedures, record keeping, confidentiality and data protection, and disciplinary procedures. The Guidance also expects service providers to ensure that staff have and understand copies of relevant policies, procedures and codes of practice, that they have read these during the induction period and that they are ‘tested’ on their ongoing understanding through supervision and performance reviews.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

There are particular requirements for training in some areas. The Guidance to Regulation 26 (overarching requirements on safeguarding) expects staff to receive training at induction ‘to enable them to understand their responsibility to safeguard and protect vulnerable individuals’, including on internal and local safeguarding arrangements, how to raise a concern and whistleblowing. Staff are expected to be aware of their individual responsibilities for raising concerns, and to have ongoing regular training in line with local safeguarding recommendations.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

Regulation 29 stipulates that staff may only carry out control or restraint if they are trained in the method used. The Guidance expects staff to receive ‘behavioural support training’ to make sure that any control or restraint is only used ‘proactively and when absolutely necessary’ and in line with current national guidance. Staff are expected to be aware of, to understand and to follow the service policy and practice on appropriate uses of control and restraint and to be kept up to date on these.

Breach of this provision is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

A need for training is also implied by the requirements on service providers to ensure that only ‘fit’ people are employed or may volunteer at a service. Regulation 35(2)(b) stipulates that a person is not fit to work at a service unless they have the qualifications, skills, competence and experience necessary’ to do their work. The Guidance expects that if a staff member or volunteer is no longer suitable to work in their role according to the fitness criteria, the service provider takes ‘appropriate and timely action to ensure that individuals are not placed at risk’. Examples of such action include ‘coaching and mentoring’ and/or ‘providing additional training and supervision.’

Breach of Regulation 35(1), which prohibits service providers from employing unsuitable people, is an offence. Breach of Regulation 35(2), which defines assessing the suitability of persons for care work roles, is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

Particular training needs are imposed by the [requirements on certain careworkers to register with SCW]. To register, careworkers must demonstrate that they have the relevant knowledge, skills and competence. This includes holding certain qualifications, which are stipulated by SCW. A further requirement for registration is the completion of the All Wales Induction Framework for Health and Social Care, developed by SCW.

Social Care Wales, ‘Induction for Health and Social Care’ (2020)

Once registered, care workers are required to adhere to the SCW [Code of Professional Practice for Social Care] ‘the Code’. Training requirements under the code place the onus for gaining or maintaining knowledge and skills explicitly on the careworker. In particular, section six of the Code requires careworkers to ‘[b]e accountable for the quality of your work and take responsibility for maintaining and developing knowledge and skills’. This section imposes requirements on careworkers to:

·      seek assistance from their employer or the appropriate authority if they do not feel able or adequately prepared to carry out any aspect of their work or are not sure about how to proceed in a work matter’ (6.5)

·      undertake relevant learning and development to maintain and improve knowledge and skills to ensure they are fit to practise, and contribute to the learning and development of others’ (6.9).

In addition, the Code implies that care workers have occupational knowledge, which presumably also implies needs for training. For example, care workers are expected to communicate ‘in an appropriate, open, accurate and straightforward way’, to respect confidential information and to explain confidentiality policies to people using the service and carers; and to follow risk assessment policies and procedures to assess whether ‘the behaviour of individuals presents a risk of harm to themselves or other people’.

People registered with SCW who managing or leading other staff are also required to ‘embed’ theCode in the work of those staff (Section 7).

Breach of the Code by a registered care worker may call their [fitness to practise] into question. If so, they may be investigated and sanctioned by [Social Care Wales] under its [fitness to practise proceedings].

Care workers registered with SCW are also required to complete post-registration teaching and learning (PRTL), currently set at a minimum of 15 days (or 90 hours) within each three-year registration period. Careworkers are required to record their own PRTL with SCW, and this must be verified by the person’s manager when they apply for re-registration. SCW guidance on PRTL states that many possible activities can contribute to PRTL, such as reading, shadowing, or in-house training, although a mix of activities is required.

Failure to undertake PRTL will affect the careworker’s ability to re-register with SCW when their term of registration expires.

Registration with Social Care Wales also places requirements on employers. Regulation 36 requires service providers to support employees to maintain their registration with regulatory bodies, which implies a requirement to support PRTL activities. The Guidance expects staff to have access to relevant codes of practice, including those issued by SCW, and to actively promote the standards that these codes contain. Similarly, Regulation 38 requires service providers to ‘ensure that there are arrangements in place to make staff aware of codes of practice about the standards of conduct expected of social care workers’. The Guidance expects that these are read by staff during the induction period.

Breach of either of these provisions is not an offence, but the CIW can take [enforcement action].

2019 Guidance for Providers.

Service providers must also follow the SCW [Code of Practice for Social Care Employers] (‘the Employer Code’). The Employer Code places many obligations on service providers in relation to training and supervision. In particular, Section 3 requires employers to ‘[p]rovide and support learning and development opportunities to enable social care workers to develop their knowledge and skills’. The requirements in this section are that employers:

·      Provide robust and accessible induction, learning and development opportunities to help workers do their jobs effectively and prepare for new and changing roles and responsibilities. This includes giving workers access to their personal learning and development record (3.1).

·      Contribute to providing social care and social work education and learning, including effective workplace assessment and practice learning (3.2).

·      Support workers who need to be registered with us to meet and maintain the conditions for professional registration and the requirements for post registration training and learning (3.3).

·      Respond appropriately to workers who need support because they do not feel able, or adequately prepared, to carry out their work. This includes new and established workers (3.4).

·      Provide effective, regular supervision to workers to support them to develop and improve through reflective practice (3.5).

In addition, under the Employer Code, service providers are required to have policies, systems and practices in place to enable social care workers to meet their Code of Professional Practice for Social Care’ (Section 2). There are specific requirements that employers:

·      Give workers clear information about their roles, responsibilities, accountabilities, relevant legislation and the policies and procedures they must adhere to in their work (1.4).

·      Give workers clear information about lines of management, communication and support in the workplace. This includes information about support for the worker’s health, safety and well-being in the workplace (1.5).

·      Support social care workers to meet the standards in the Code of Professional Practice and associated practice guidance (2.1).

·      Put in place and monitor policies and procedures to respond to allegations of harm, neglect or abuse. This includes ensuring that workers have knowledge about signs of harm, neglect or abuse and know the action they should take (2.3)

·      Have effective arrangements for the management and supervision of workers to promote best practice and good conduct and support workers to improve their performance. This includes making sure workers are fit to practise (2.5).

·      Put in place policies and procedures to ensure compliance with relevant health, safety and security requirements. This includes making sure workers are aware of these including mandatory requirements, any changes or updates, monitoring compliance and taking appropriate action where policies and procedures are not adhered to (4.2).

·      Make it clear to workers that bullying, harassment or any form of discrimination is not acceptable and take action to deal with such behaviour (4.4).

·      Make it clear to workers, individuals and carers that violence, threats or abuse are not acceptable. This includes having clear policies and procedures for reducing the risk of violence and managing violent incidents (4.6).

·      Provide support to workers whose fitness to practise may be impaired and give clear guidance about any limits on their work while they are receiving support, making sure that the care and safety of individuals using services is the priority (4.8).

Breach of Regulation 37 or provisions in the Employer Code is not an offence, but CIW can take [enforcement action].

Social Care Wales, ‘Code of Practice for Social Care Employers’ (2018).