Requesting a review of evidence and findings of inspection reports (including ratings)

1.1 CIW inspects social care providers and childcare services. The purpose of inspection is to provide assurance about the quality of services and to support, and where required, enforce improvement.

1.2 The inspector will provide verbal feedback following an inspection visit. This will be an overview of our initial findings at the end of the inspection visit as further analysis may be required before judgements or ratings can be made. Further information on the feedback process is set out in our Codes of Practice for Regulated Services (under the 2016 Act) and the Code of Practice for Inspection of Child Minding, Day Care and Open Access Play Services.

1.3 Our inspection reports are published to provide the public with an overview of our findings. We strive to ensure our reports are fair and findings and judgements are based on the triangulation of evidence we gather prior to, during and following the inspection visit.

1.4 We aim to draft and finalise an inspection report for publication within 50 working days, following completion of all inspection activities. However, in a small number of instances, the timescale may be extended depending on the circumstances surrounding an individual inspection.

1.5 Further information on how we publish and make our inspection reports available and those services for which we do not publish inspection reports, is set in our Policy for Publishing Inspection Reports.

1.6 (Registered Person , Responsible Individual or relevant person ) may request a review of our reports where they believe them to be factually inaccurate or based on incomplete evidence. This gives us the opportunity to correct any errors and consider additional information before an inspection report becomes publicly available.

1.7 Under the Regulation and Inspection of Social Care Act (Wales) Act 2016, a registered service provider may appeal against inspection ratings given on the grounds they are based on factual inaccuracy or incomplete evidence as set out in this policy. CIW extends this right of appeal to Childcare and Play Services it regulates.

1.8 There are two potential stages to this process 

• Stage one – Request a review due to factual inaccuracies or incomplete evidence
• Stage two – request an appeal of the outcome of the review in stage one. Each stage is outlined in more detail below.

2.1 The inspector writes and issues the inspection report and includes the rating awarded for each theme (where relevant). Each inspection report is expected to be written and issued within 25 working days of the last inspection activity. The ‘last inspection activity’ could be the inspection visit itself, or follow-up telephone calls to relatives or professionals, or reviewing questionnaires.

2.2 The inspection report will be issued to the Registered Person, Responsible Individual or relevant person for their consideration. Upon receipt of the inspection report, they will have 10 working days to request a review of the report, and its ratings, specifically relating to: 

• factual accuracy (such as typographical, spelling or numerical errors) or
• completeness of evidence

2.3 In exceptional circumstances, the timescale may be extended due to issues such as the availability of the Registered Person, Responsible Individual or relevant person to respond to the inspection report. This will be subject to agreement by the relevant inspector, following a request by the Registered Person, Responsible Individual or relevant person.

2.4 The Registered Person, Responsible Individual or relevant person whose identity has been verified by CIW will receive an email containing a copy of the inspection report and if relevant the Priority Action Report. The email will contain a hyperlink which, when selected, will re-direct the user to CIW Online. On logging into their CIW Online account the user will access a webform where they will either confirm that they are content with the inspection report and the inspection rating (on receipt CIW can automatically publish the report) or request a review of the inspection report (including the rating). If the service representatives preferred method of contact is letter a URL will be listed in the covering letter

2.5 Where no response is made or where the Registered Person, Responsible Individual or relevant person indicates they do not seek a review, the report will be made publicly available as soon as practicable.

2.6 If the Registered Person, Responsible Individual or relevant person requests a review of the inspection report (including the ratings), they must clearly state the grounds for their request and specify the part(s) of the report contested and provide details and supporting evidence about the reason. This will enable inspectors to fully consider the information and provide a clear response. Additional grounds or supporting information cannot be submitted later at Stage 2.

2.7 Non-contentious factual inaccuracies can be changed by the inspector and the amended report re-sent to the Registered Person, Responsible Individual or relevant person.

2.8 Where substantial changes to a report are made by the inspector, including any change to a rating, these will be agreed with their line manager and a revised report issued.

2.9 The inspector may want to request additional evidence to support the request for review. Timescales may need to be revised where this is the case and reasonable adjustments made to allow for submission and consideration of further material.

2.10 If changes are made, the inspector will amend and re-send a revised copy of the report, together with written confirmation of the changes. Where a review results in a change to the evidence or findings in the report, the rating may also be revised.

2.11 Where a decision is taken not to make changes the reasons for the decision(s) will be set out in writing.

2.12 The aim is to respond within 5 working days of receiving a request for a review of a rating. Where there is (or is likely to be) a delay the Registered Person, Responsible Individual or relevant person will be informed of the delay and advised of a revised timescale for our response.

2.13 Requesting a review through this policy may delay publication of the report (initially by 15 working days and potentially by a further 10 working days in the case of an appeal).

3.1 Where the Registered Person, Responsible Individual or relevant person is unhappy with the outcome of the review in stage one, there is an opportunity to appeal this decision. This must be made within 5 working days of receiving CIW’s decision under Stage 1.

3.2 The grounds for appealing the decision must be the same as those stated at Stage 1: 

• factual accuracy (such as typographical, spelling or numerical errors) or
• completeness of evidence

3.3 The CIW manager responsible for carrying out the review will only consider information related to, and provided during, stage one. Additional information cannot be included as part of Stage 2.

3.4 A stage 2 appeal will be considered and responded to within a further 5 working days.

3.5 If there is (or is likely to be) a delay in the response, an explanation will be provided for the delay and a revised date provided.

3.6 When a Stage 2 appeal is received this will always be considered by a manager who does not have line management responsibility for the inspector involved. The manager considering the appeal may discuss the issue with the inspector and/or with the Registered Person, Responsible Individual or relevant person if clarification is needed. The manager will make final determinations, and if necessary, require alterations to the report.

3.7 The Registered Person, Responsible Individual or relevant person will be informed in writing of the outcome. A copy of the final report will be provided and the report will be published. This is the end of the responding to inspection reports process.

3.7 Annex A contains a timeline. Where timescales are (or are likely to be) substantially exceeded, the Registered Person, Responsible Individual or relevant person should be offered an explanation for the delay and given a revised timescale for completion.

4.1 Where a priority action notice is issued before, or with the inspection report, we expect the Registered Person, Responsible Individual or relevant person to take action to address the issues raised in the notice, without delay (i.e. not wait until the outcome of any review requested about the report with CIW).

5.1 Where a Registered Person, Responsible Individual or relevant person wishes to make a complaint about the conduct of an inspector, or any CIW staff member, we have a complaints policy that should be followed. This is a separate process. Comments provided in response to an inspection report should not include issues relating to the conduct of an inspector.

5.2 We expect concerns about the conduct of the inspector to be raised immediately (or as soon as practicable) after the inspection - not at the point when a report is issued.

5.3 A complaint made against the conduct of an inspector will not normally delay the publication of an inspection report.

6.1 Any requests for CIW information in relation to appeals made under this policy must clearly state the information/record being sought e.g. the inspection record and the part of the report the information relates to.

6.2 All other requests will be treated as Freedom of Information requests and are separate from this policy. Such requests will not delay the publication of reports and should be sent to CIWInformation@gov.wales.

Flowchart description

Stage 1 – 15 days

1. Request for review received within 10 working days of receiving report

   1. Yes - Inspector to:

      • consider comments made and make amendment(s) to the inspection report as appropriate
      • where possible, confirm decision verbally with Registered Person, Responsible Individual or relevant person
      • draft a reply confirming any amendments made or not made to the report

      All actioned within 5 working days

   2. No - Inspection Report to be published and made available.

Stage 2 -5 days

1. Appeal received from provider within 5 working days of receiving the report
   1. No - Inspection report to be published and made available
2. Is our response satisfactory
   1. Yes - CIW Manager to
      • consider the report and makes final decision as to whether any changes are appropriate.
      • drafts a reply confirming decision.
          
        All actioned within 5 working days
   2. No - Inspection report to be published and made available