KLOE’s were not part of the regulations, and these “prompts” were not legally enforceable.

This is an internal framework or “internal guidelines” for inspectors on how to assess and rate Providers. Instead of publishing definitive guideline, like Disciplinary & Grievance Guide by ACAS, the CQC’s web site only talks about “What we look for …” and points to KLOEs.

Quote from the original Essential Standards (2010)

The legal status of our guidance for providers
Although we must take it into account when making decisions about a provider’s compliance with the regulations and in tribunals and courts, the guidance is not enforceable in its own right.

The Health and Social Care Act is not even mentioned in KLOEs

  • KLOEs are not regulations
  • They have no legal basis
  • They are not enforceable
  • They are not quoted in inspection reports

If an inspection was carried out strictly based on all the KLOEs, each inspection would take 10 days or more, which is why most inspectors stopped using them.

Dilemma for Providers

You have to comply with the HSCA Regulations but the Regulator uses their own system, which is not based on the regulations.

Here is an easier way to understand the issue:-

The Regulations:   This is a legal requirement
KLOEs/CQC Framework: This is just a CQC rating system


In reality, the inspector carries out two separate jobs at an inspection:-

  1. A subjective rating of your services
  2. An objective/legal judgement whether you are complying or in breach of the Regulations

Being rated as “inadequate” means nothing on it's own, unless you are ALSO found to be in breach of a regulation.

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