The responsible individual (RI)
The application designates "an individual as the responsible individual in respect of each place" (RISCA s.6(1)(c)). For a company, the RI must "be a director or similar officer of the body" (RISCA s.21(2)(c)(i)); a public limited company may also use its company secretary (s.21(2)(c)(ii)). CIW: "Our expectation is that this would be a Director, registered with Companies House. Where a Director is unable to fulfil this role, you may designate a “similar officer”. However, you will be required to provide an explanation as to why this role cannot be undertaken by a Director." (CIW Guide 4.1)
Before registration. "As part of the registration process RIs will be required to complete a questionnaire and undertake a suitability interview." (CIW Guide 4.3) The four questions in CIW’s Annex 6 ask about:
- appointing a suitable manager and reporting the appointment (Q1);
- overseeing the management of the service, including when the manager is absent (Q2);
- visiting the service, and how often (Q3);
- monitoring, reviewing and improving quality, including the quality of care review (Q4).
The RI brings photographic ID, and proof of any qualifications listed on the form, to the interview (CIW Annex 9), gives two references on their competence for the role (CIW Guide 6.3), and uploads a medical reference on CIW’s form (CIW, Register a service), where their GP ticks either that there is "nothing in the individual’s medical records which would impact on their ability to comply with the duties" or that a condition or disability may affect it (CIW medical reference form). Where a medical reference cannot be obtained, CIW will consider a self declaration (CIW Annex 8).
After registration.
- Meet staff and the people supported in each area at least every three months (reg. 73).
- Report to the provider on the adequacy of resources every quarter, unless the provider is an individual (reg. 74).
- Make sure quality is reviewed at least every six months, with a report to the provider unless the provider is an individual (reg. 80).
- Keep the provider’s policies up to date, having regard to the statement of purpose (reg. 79).
- Use their own CIW Online account for notifications and variations, and "should not share the login details of their account with other persons" (CIW Guide 8).
Some of these duties carry personal offences: failing to comply with regulations 73 and 74, among others, is an offence by the RI (reg. 86).
The manager
The RI appoints a person to manage the service. That person must be "registered as a social care manager with Social Care Wales" (reg. 35(2)(e)), and Social Care Wales tells managers: "You must be registered before your first day in a new job." (Social Care Wales) A social care worker with a Level 3 qualification (or the Level 4 USW Step Up to Management certificate) can register as a manager while enrolled on the Level 4 or Level 5 leadership and management qualification, and then has three years to get Level 5, which they must hold before renewing (Social Care Wales). The duty to have a manager is not met if the manager is absent for more than three months (reg. 67(5)).
Can the RI be the manager? For an organisation, only if it is registered for no more than two areas, the RI is fit to manage and registered as a social care manager with Social Care Wales, and CIW agrees (reg. 67(3)).
Social Care Wales registration and its fees
Care workers register too: "You have six months to register from the date you start working in your role." (Social Care Wales). "Everyone who’s registered with us must pay fees." (Social Care Wales fees)
These are Social Care Wales’s fees for registering people, not a CIW fee and not CareRulebook prices.