2017 No. 1098 (W. 278)
The Regulated Services (Registration) (Wales) Regulations 2017
Made
Coming into force
The Welsh Ministers make the following Regulations in exercise of the powers conferred by sections 6(1)(d), 6(2), 11(2), 11(3)(a)(iii), 11(3)(b) and 187(1)(b) of the Regulation and Inspection of Social Care (Wales) Act 20161.
In accordance with section 187(2)(e) of that Act, a draft of this instrument has been laid before, and approved by a resolution of, the National Assembly for Wales.
PART 1GENERAL
Title, commencement and application1
1
The title of these Regulations is the Regulated Services (Registration) (Wales) Regulations 2017 and they come into force on 1 February 2018.
2
These Regulations apply in relation to Wales.
Interpretation2
1
In these Regulations—
“the Act” (“y Ddeddf ”) means the Regulation and Inspection of Social Care (Wales) Act 2016;
“applicant” (“ymgeisydd”) means either—
- a
the person making an application for registration as a service provider in accordance with section 6 of the Act, or
- b
the person making an application for variation of registration in accordance with section 11 of the Act;
- a
“local authority” (“awdurdod lleol”) has the same meaning as in section 189 of the Act;
“Local Health Board” (“Bwrdd Iechyd Lleol”) has the same meaning as in section 189 of the Act;
“organisation” (“sefydliad”) includes a partnership, a body corporate and an unincorporated body;
“responsible individual” (“unigolyn cyfrifol”) has the meaning given by section 21(1) of the Act;
“service provider” (“darparwr gwasanaeth”) has the meaning given by section 3(1)(c) of the Act;
“the individual” (“yr unigolyn”) means, unless the context indicates otherwise, the child or adult who is receiving care and support.
2
Any reference in these Regulations to a section is a reference to a section of the Act, unless otherwise indicated.
PART 2Application for Registration as a Service Provider
Information to be provided by an applicant
3
A person who wants to provide a regulated service2 must, in addition to the information set out in section 6(1)(a) to (c) provide the Welsh Ministers with the following—
a
the information listed in Schedule 1;
b
in respect of applicants for registration as the provider of a care home service, a secure accommodation service or a residential family centre service, a statement of purpose for each place at which the service is to be provided;
c
in respect of applicants for registration as the provider of an adoption service, a fostering service, an adult placement service or an advocacy service, a statement of purpose for each place from which the service is to be provided;
d
in respect of applicants for registration as the provider of a domiciliary support service, a statement of purpose for each place in relation to which the service is to be provided.
4
The statement of purpose which is required to be provided in accordance with regulation 3(b), (c) or (d) must contain the information described in Schedule 2.
Form of application5
An application for registration as a service provider must be in the form of an on-line application which is accessed from the pages of the website maintained by the Welsh Government which have been established for the purpose of informing applicants about the procedure for registration under Part 1 of the Act.
PART 3Application for variation of registration as a service provider
Information to be provided by a service provider for variation of registration – section 11(1)(a)(i) and (ii)
6
An application for variation of registration made pursuant to section 11(1)(a)(i) must, in addition to the information set out in section 11(3)(a)(i) and, where appropriate, section 11(3)(a)(ii), contain the following—
a
the information listed in Schedule 1;
b
in respect of applications for variation of registration to provide a care home service, a secure accommodation service or a residential family centre service, a statement of purpose for each place at which the service is to be provided;
c
in respect of applications for variation of registration to provide an adoption service, a fostering service, an adult placement service or an advocacy service, a statement of purpose for each place from which the service is to be provided;
d
in respect of applications for variation of registration to provide a domiciliary support service, a statement of purpose for each place in relation to which the service is to be provided.
7
An application for variation of registration made pursuant to section 11(1)(a)(ii) must, in addition to the information set out in section 11(3)(a)(i), contain the following—
a
the information listed in Schedule 1;
b
in respect of an application for variation of registration to provide a care home service, a secure accommodation service or a residential family centre service at a place which is not already specified in the provider’s registration in relation to that service, a statement of purpose for that place;
c
in respect of an applications for variation of registration to provide an adoption service, a fostering service, an adult placement service or an advocacy service from a place which is not already specified in the provider’s registration in relation to that service, a statement of purpose for that place;
d
in respect of an application for variation of registration as the provider of a domiciliary support service in relation to a place which is not already specified in the provider’s registration in relation to that service, a statement of purpose for that place.
8
The statement of purpose which is required to be provided in accordance with regulation 6(b), (c) or (d) or in accordance with regulation 7(b), (c) or (d) must contain the information described in Schedule 2.
Information to be provided by a service provider for variation – section 11(1)(a)(iii) and (iv)9
1
An application for variation of registration made pursuant to section 11(1)(a)(iii) or (iv) must, in addition to the information set out in section 11(3)(a)(i), contain the following—
a
the proposed effective date;
b
the reason for making the application;
c
a statement as to how the service provider intends to continue to comply with the regulations made under section 27 until the service ceases to be provided;
d
details of any notice given about the proposed application to vary to—
i
service users;
ii
the local authority within whose area the regulated service is being provided;
iii
the Local Health Board within whose area the regulated service is being provided;
iv
any other person;
e
where the service provider is applying to vary the registration less than 3 months before the proposed effective date, a report as to whether the regulated service or place at, from, or in relation to which the regulated service is being provided has ceased or is likely to cease to be financially viable within the next 12 months.
2
For the purpose of this regulation and regulation 10 “proposed effective date” means the date requested by the service provider as the date on which the variation applied for is to take effect.
Information to be provided by a service provider for variation – section 11(1)(b)10
An application for variation of registration made pursuant to section 11(1)(b) must, in addition to the information set out in section 11(3)(a)(i), contain the following—
a
the proposed effective date;
b
the reason for making the application;
c
details of any changes that the service provider proposes to make in relation to the regulated service as a consequence of the variation or removal applied for, including details of—
i
any proposed structural changes to any premises used for the provision of the regulated service;
ii
any additional staffing, facilities or equipment or changes to the management that are required to ensure that the proposed changes are carried into effect;
d
any supporting documentation which the service provider considers will assist the Welsh Ministers in making a decision whether to approve the application to vary or remove a condition.
Information to be provided by a service provider for variation – section 11(1)(c)11
An application for variation of registration made pursuant to section 11(1)(c) must, in addition to the information set out in section 11(3)(a)(i), contain the information listed in paragraphs 23 to 28 and paragraphs 38 to 49 of Schedule 1.
Form of application12
An application for variation of registration as a service provider must be made in the form of an on-line application which is accessed from the pages of the website maintained by the Welsh Government which have been established for the purposes of informing service providers about the procedure for variation of registration under Part 1 of the Act.
Time limit within which application to vary must be made where there is no designated responsible individual13
The time limit prescribed for the purposes of section 11(2) is 28 days from the date upon which there is no individual designated as responsible individual in respect of the regulated service or place at, from or in relation to which the regulated service is provided.
SCHEDULE 1Information to be provided by an applicant for registration or by a service provider on application for a variation of registration
Information required about the applicant where the applicant is an individual
1
The applicant’s full name, date of birth, home address, electronic mail address and telephone number.
2
Details of the applicant’s professional or technical qualifications and experience so far as such qualifications and experience are relevant to providing the regulated service or services in respect of which the applicant is applying to be registered as a service provider.
3
Details of the applicant’s employment history, including the name and address of his or her present employer and of any previous employers.
4
Details of any business the applicant carries on or has carried on.
5
The name and addresses of two referees—
a
who are not relatives of the applicant;
b
each of whom is able to provide a reference as to the applicant’s competence to provide the regulated service or services that the applicant has applied to provide; and
c
one of whom has employed the applicant for a period of at least 3 months unless it is not practicable to obtain such a reference.
6
Details as to whether the applicant—
a
has been made bankrupt and is undischarged from the bankruptcy order;
b
has been the subject of a sequestration order that has not been rescinded;
c
is subject to a moratorium period under a debt relief order (within the meaning of section 251A of the Insolvency Act 19863); or
d
has made a composition or arrangement with creditors and has not been discharged in respect of the composition or arrangement.
Information required about the applicant where the applicant is an organisation
7
Where the organisation is a body corporate other than a local authority or Local Health Board—
a
the name of the organisation;
b
the address of the registered office of the organisation;
c
if different from the address of the registered office or if there is no registered office, the address of the principal office of the organisation;
d
the electronic mail address and telephone number of the organisation;
e
if the organisation is a company, the company number;
f
if the organisation is a charity, the charity number;
g
where the organisation is a company and is a subsidiary of a holding company—
i
the name and address of the registered office of the holding company;
ii
the electronic mail address and telephone number of the holding company;
iii
the company number of the holding company;
iv
if the holding company is a charity, the charity number of the holding company;
v
the name and address of the registered office of any other subsidiary of the holding company;
vi
the electronic mail address and telephone number of any other subsidiary of the holding company;
vii
the company number of any other subsidiary of the holding company;
viii
if the subsidiary is a charity, the charity number of any subsidiary of the holding company.
8
Where the organisation is a local authority—
a
the name and address of the principal office of the authority;
b
the electronic mail address and telephone number of the authority;
c
details of the leader of the Council and the Director of Social Services.
9
Where the organisation is a Local Health Board—
a
the name and address of the principal office of the Board;
b
the electronic mail address and telephone number of the Board;
c
details of the chairperson and chief executive.
10
Where the organisation is a partnership—
a
the name of the partnership;
b
the address of the principal office of the partnership;
c
the electronic mail address and telephone number of the partnership.
11
Where the organisation is an unincorporated body—
a
the name of the body;
b
the address of the principal office of the body;
c
the electronic mail address and telephone number of the body.
12
In all cases where the applicant is an organisation, information about the governance arrangements of the organisation, including details of any delegations of the responsibilities of the organisation.
Information required about all applicants
13
Details of any previous applications for registration as a service provider under the Act.
14
Details of any registrations as a service provider under the Act.
15
Details of any previous application for registration under Part 2 of the Care Standards Act 20004.
16
Details of any registrations under Part 2 of the Care Standards Act 2000.
17
Details of any previous applications for registration as a service provider under the Health and Social Care Act 20085.
18
Details of any registrations as a service provider under the Health and Social Care Act 2008.
19
Details of any previous applications for registration as a person providing a care service under Part 5 of the Public Services Reform (Scotland) Act 20106.
20
Details of any registrations as a person providing a care service under Part 5 of the Public Services Reform (Scotland) Act 2010.
21
Details of any previous applications for registration under Part 3 of the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 20037.
22
Details of any registrations under Part 3 of the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003.
Information required in respect of each individual designated by the applicant to be a responsible individual
23
Date of birth, telephone number, correspondence address and electronic mail address of each individual designated by the applicant to be a responsible individual.
24
Details of the professional or technical qualifications and experience of each individual designated by the applicant to be a responsible individual so far as such qualifications and experience are relevant to—
a
the performance and functions of the responsible individual conferred by the regulations under section 28; and
b
the service to be provided at the place in respect of which the responsible individual is designated.
25
Details as to whether each individual designated by the applicant to be a responsible individual—
a
has been made bankrupt and is undischarged from the bankruptcy order;
b
has been the subject of a sequestration order that has not been rescinded;
c
is subject to a moratorium period under a debt relief order (within the meaning of section 251A of the Insolvency Act 19868); or
d
has made a composition or arrangement with creditors and has not been discharged in respect of the composition or arrangement.
26
Details of the employment history of each individual designated by the applicant to be the responsible individual, including the name and address of his or her present employer and of any previous employers.
27
Details of any business which is being carried on or has been carried on by each individual designated by the applicant to be the responsible individual.
28
In respect of each individual designated by the applicant to be the responsible individual, the name and addresses of two referees—
a
who are not relatives of the individual;
b
each of whom is able to provide a reference as to the individual’s competence to perform the duties of a responsible individual for the place or places in respect of which the individual has been designated by the applicant to be the responsible individual; and
c
one of whom has employed the individual for a period of at least 3 months unless it is not practicable to obtain such a reference.
Information about the service to be provided
29
Details of the scale of charges that are intended to be payable by service users.
30
In the case of a care home service, secure accommodation service or residential family centre service, the date on which it is intended to begin providing the service at each place specified in the application.
31
In the case of a domiciliary support service, the date on which it is intended to begin providing the service in relation to each place specified in the application.
Information about the accommodation at which the service is to be provided32
Where the applicant is seeking to provide a care home service9, a secure accommodation service10 or a residential family centre service11—
a
the proposed name, address and telephone number of the premises at which it is intended to provide the regulated service;
b
a description of the premises, including a statement as to whether the premises are purpose-built or have been or are intended to be converted for use as the place at which the service is to be provided;
c
evidence of the following—
i
a completed risk assessment as required under the Regulatory Reform (Fire Safety) Order 200512;
ii
building regulations approval;
iii
food business registration;
iv
planning permission;
d
evidence of consultation with or approval of any regulatory bodies, where such consultation or approval is required;
e
details of any other business that is or will be provided at the same premises at which it is intended that the regulated service will be provided;
f
details and documentary evidence of ownership status of the building including, if leased or rented, the length of any notice period.
Information about the offices from which the service is to be provided33
Where the applicant is seeking to provide an adoption service, a fostering service, an adult placement service, an advocacy service or a domiciliary support service, the address, telephone number and electronic mail address of the office or offices from which the service is to be provided.
Documents required from the applicant
34
Where the applicant is an individual—
a
evidence of the person’s identity to include a photograph;
b
documentary evidence in respect of any qualifications the applicant has provided details about in paragraph 2 of this Schedule;
c
subject to sub-paragraph (d), a report by a general medical practitioner as to whether the applicant is physically and mentally fit to comply with the duties imposed on a service provider in regulations under section 27;
d
where the applicant is unable to obtain the report referred to in sub-paragraph (c), a statement by the applicant as to the state of his or her physical and mental health;
e
where required for the purposes of an exempted question asked for a prescribed purpose under section 113B(2)(b) of the Police Act 199713, a copy of an enhanced criminal record certificate issued under section 113B of that Act together with, where applicable, suitability information relating to children or vulnerable adults.
For the purposes of this sub-paragraph and for the purposes of paragraph 42, “suitability information relating to children or vulnerable adults” means the information specified in sections 113BA and 113BB respectively of the Police Act 1997;
f
where required for the purposes of an exempted question in accordance with section 113A(2)(b) of the Police Act 1997, a copy of a criminal record certificate issued under section 113A of that Act together with, after the appointed day and where applicable, the information mentioned in section 30A(3)14 of the Safeguarding Vulnerable Groups Act 2006 (provision of barring information on request).
For the purposes of this sub-paragraph and for the purposes of paragraph 43, “the appointed day” means the day on which section 30A of the Safeguarding Vulnerable Groups Act 2006 comes into force.
35
Where the applicant is an organisation other than a local authority or Local Health Board, the last two annual reports and accounts, if any.
36
In respect of applicants other than local authorities and Local Health Boards—
a
a business plan;
b
a reference from a bank expressing an opinion as to the applicant’s financial standing;
c
details as to projected cash flow in respect of the individual or organisation applying to be registered as a service provider.
37
In respect of all applicants, a certificate of insurance in respect of liability which may be incurred in respect of death, injury, public liability, damage or other loss.
Documents required in respect of each individual designated by the applicant as a responsible individual.
38
Evidence of the person’s identity to include a photograph.
39
Documentary evidence of all qualifications the applicant has provided details about in paragraph 24 of this Schedule.
40
Subject to paragraph 41 a report by a general medical practitioner as to whether the responsible individual is physically and mentally fit to comply with their duties in regulations under section 28.
41
Where the responsible individual is unable to obtain the report referred to in paragraph 40 a statement by the responsible individual as to the state of his or her physical and mental health.
42
Where required for the purposes of an exempted question asked for a prescribed purpose under section 113B(2)(b) of the Police Act 1997, a copy of an enhanced criminal record certificate issued under section 113B of that Act together with, where applicable, suitability information relating to children or vulnerable adults15.
43
Where required for the purposes of an exempted question in accordance with section 113A(2)(b) of the Police Act 1997, a copy of a criminal record certificate issued under section 113A of that Act together with, after the appointed day16 and where applicable, the information mentioned in section 30A(3) of the Safeguarding Vulnerable Groups Act 2006 (provision of barring information on request).
44
In relation to an applicant who is a body corporate other than a local authority, a signed declaration by each of the persons mentioned in paragraph 45 to the effect that they have read and understood the requirements imposed on responsible individuals by regulations under section 28 and that they intend to support the individual designated as responsible individual in the exercise of their duties as set out in those regulations.
45
Those persons are—
a
any person who has been appointed as a director, manager or secretary of the body corporate;
b
any person who has been appointed as a trustee of the body corporate.
46
In relation to an applicant who is a local authority, a signed declaration by the person described in paragraph 47 to the effect that they have read and understood the requirements imposed on responsible individuals by regulations under section 28 and that they intend to support the individual designated as responsible individual in the exercise of their duties as set out in those regulations.
47
The person is either—
a
the director of social services of the authority, or
b
if the director of social services is the responsible individual, the chief executive of the authority.
48
In relation to an applicant who is an unincorporated body, a signed application by each of those persons who are concerned in the management and control of the body to the effect that they have read and understood the requirements imposed on responsible individuals by regulations under section 28 and that they intend to support the individual designated as responsible individual in the exercise of their duties as set out in those regulations.
49
In relation to an applicant who is a partnership, a signed declaration by each partner to the effect that they have read and understood the requirements imposed on responsible individuals by regulations under section 28 and that they intend to support the individual designated as responsible individual in the exercise of their duties as set out in those regulations.
SCHEDULE 2Information required to be contained in a statement of purpose
The information that is required to be contained in a statement of purpose is as follows—
a
the name of the applicant;
b
where the applicant is an individual, the individual’s correspondence address;
c
where the applicant is an organisation, the address of the organisation’s principal or registered office;
d
in the case of a care home service, the name and address of the place at which the service is provided;
e
in the case of a domiciliary support service—
i
the name of the service;
ii
the area in relation to which the service is provided;
iii
the addresses of the office or offices from which the service will be provided;
iv
the addresses of any other office or offices which are used in connection with the provision of the service;
f
the name of the individual designated by the applicant as the responsible individual for the place at, from or in relation to which the service is to be provided;
g
a statement of the range of needs of the individuals for whom the regulated service is to be provided to include the age range, number and sex of such individuals;
h
how the service is to be provided to meet the needs of individuals and support them to achieve their personal outcomes, as required by regulations under section 27 and taking into account the range of needs set out in the statement of purpose (see paragraph (g));
i
details of the proposed management and staffing structure of the service;
j
details of the premises, facilities and equipment that will be available to individuals in accordance with the requirements of the regulations made under section 27 and taking into account the range of needs set out in the statement of purpose (see paragraph (g));
k
in the case of a care home service, a secure accommodation service or a residential family centre service, a description of the area in which the service is located and the community facilities and services available there;
l
details of the arrangements made to support the cultural, linguistic and religious needs of the individuals;
m
details of the arrangements made for consulting individuals about the operation of the regulated service;
n
details of how the provider will meet individuals language and communication needs, including through the medium of Welsh;
o
details of any healthcare (including nursing) or therapy to be provided at the premises at which it is intended to provide the regulated service.
(This note is not part of the Regulations)