Regulation and Inspection of Social Care (Wales) Act 2016

CHAPTER 3 U.K. INFORMATION [F1 , INSPECTIONS AND INVESTIGATIONS]

Textual Amendments

F1 Words in Pt. 1 Ch. 3 heading substituted (1.1.2026) by Health and Social Care (Wales) Act 2025 (asc 1), s. 29(2), Sch. 1 para. 7(5); S.I. 2025/1257, art. 3(1)(c)

32 Power to require information E+W

(1) [F2 Subsections (1A) and (1B) apply where the Welsh Ministers consider that a relevant person may have] information relating to a regulated service which the Welsh Ministers think [F3 it] necessary or expedient to obtain for the purposes of exercising their functions under Chapter 2 and this Chapter of this Part or under sections 38 to 40.

[F4 (1A) Where this subsection applies, the Welsh Ministers may give a notice to a relevant person requiring that person—

(a) to produce any documents which—

(i) are specified or described in the notice, or fall within a category of document which is specified or described in the notice, and

(ii) are in the person’s custody or under the person’s control, and

(b) to produce the documents in a manner specified in the notice.

(1B) Where this subsection applies, the Welsh Ministers may give a notice to a relevant person requiring that person—

(a) to answer any question—

(i) which is asked in the notice, and

(ii) the answer to which is known to the person, and

(b) to answer in a manner specified in the notice.]

(2) But the Welsh Ministers may not require a person to provide information if [F5 —

(a) disclosure of that information is prohibited by any enactment or other rule of law;

(b) the person would be entitled to refuse to disclose the information in proceedings in the High Court on grounds of legal professional privilege.]

(3) For the purposes of subsection (1), “relevant person” means—

(a) a service provider,

(b) a responsible individual,

(c) a person employed by or otherwise working for a service provider, and

(d) any person who has held any of those positions.

(4) The power to require information under subsection (1) includes—

(a) power to require copies of any documents or records (including medical and other personal records), and

(b) power to require the provision of information in legible form.

[F6 (5) Where the Welsh Ministers require a person to provide information as they suspect an offence is being or has been committed—

(a) they may only require the information to be provided if they have reasonable grounds for their suspicion;

(b) they must inform the person, in writing, of the purpose for which they are requiring the information to be provided.

(6) In this section references to a “service provider” include a person who the Welsh Ministers reasonably suspect—

(a) is providing a regulated service at a place in respect of which that person is not registered under section 7, or

(b) has provided a regulated service at a place in respect of which that person was not registered under section 7.]

Textual Amendments

F2 Words in s. 32(1) substituted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(2)(a)(i), 29(2); S.I. 2025/1257, art. 3(2)(f)

F3 Word in s. 32(1) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(2)(a)(ii), 29(2); S.I. 2025/1257, art. 3(2)(f)

F4 S. 32(1A)(1B) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(2)(b), 29(2); S.I. 2025/1257, art. 3(2)(f)

F5 Words in s. 32(2) substituted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(2)(c), 29(2); S.I. 2025/1257, art. 3(2)(f)

F6 S. 32(5)(6) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(2)(d), 29(2); S.I. 2025/1257, art. 3(2)(f)

Commencement Information

I1 S. 32 in force at 2.4.2018 by S.I. 2017/1326, art. 2(3)(e)

33 Inspections [F7 , investigations] and inspectors E+W

(1) In this Part a reference to an “inspection” is a reference to an inspection—

(a) of the standard of any care and support provided by a service provider in the course of providing a regulated service, measured in relation to any requirements imposed by regulations under section 27(1) as to the standard of care and support to be provided;

(b) of the organisation [F8 , management or] co-ordination of regulated services provided by a service provider.

[F9 (1A) In this Part a reference to an “investigation is a reference to an investigation into whether a person is committing or has committed an offence under this Part.]

(2) Only an individual authorised by the Welsh Ministers (referred to in this Part as an “inspector”) may carry out an inspection [F10 or an investigation].

(3) The Welsh Ministers may by regulations make provision about the qualifications and other conditions to be met by an individual who may be an inspector.

(4) The Welsh Ministers must prepare and publish a code of practice about the manner in which inspections are to be carried out (including the frequency of inspections).

(5) The Welsh Ministers may revise the code and must publish a revised code.

(6) An inspector must have regard to the code when carrying out an inspection.

Textual Amendments

F7 Word in s. 33 heading inserted (1.1.2026) by Health and Social Care (Wales) Act 2025 (asc 1), s. 29(2), Sch. 1 para. 7(6); S.I. 2025/1257, art. 3(1)(c)

F8 Words in s. 33(1)(b) substituted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(4)(a), 29(2); S.I. 2025/1257, art. 3(2)(f)

F9 S. 33(1A) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(4)(b), 29(2); S.I. 2025/1257, art. 3(2)(f)

F10 Words in s. 33(2) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(4)(c), 29(2); S.I. 2025/1257, art. 3(2)(f)

Commencement Information

I2 S. 33 in force at 2.4.2018 by S.I. 2017/1326, art. 2(3)(e)

34 Powers of inspector to enter F11 ... premises E+W

(1) For the purposes of carrying out an inspection [F12 or an investigation], an inspector may enter F13 ... any premises which the inspector has reasonable grounds to believe is (or has been) used—

(a) as a place at or from which a regulated service is (or has been) provided, or

(b) in connection with the provision of a regulated service.

(2) But an inspector may not enter F14 ... premises used wholly or mainly as a private dwelling unless the occupier consents.

(3) Where an inspector enters premises for the purposes of carrying out an inspection [F15 or an investigation], the inspector must, if requested to do so by any person at the premises, produce a document showing the inspector's authorisation under section 33.

(4) [F16 When carrying out an inspection or an investigation,] the inspector may—

(a) examine the state and management of the premises and assess the well-being of any persons accommodated or receiving care and support there;

(b) require—

(i) the manager or any other person who appears to the inspector to be responsible for the day to day management of the service at or from the premises, or

(ii) where the service is no longer being provided, a person who appears to the inspector to have responsibility for the day to day management of the premises,

to produce any documents or records (including medical and other personal records) that the inspector thinks may be relevant to the provision of the regulated service;

(c) inspect and take copies of any documents or records (including medical and other personal records) that the inspector thinks may be relevant to the provision of the regulated service;

(d) seize and remove any document or other thing found at the premises which the inspector has reasonable grounds to believe may be evidence of a failure to comply with any condition or other requirement imposed by virtue of this Part;

(e) require—

(i) the manager or any other person who appears to the inspector to be responsible for the day to day management of the service at or from the premises, or

(ii) where the service is no longer being provided, a person who appears to the inspector to have responsibility for the day to day management of the premises,

to afford the inspector such facilities and assistance as are necessary to enable the inspector to carry out the inspection;

(f) take such measurements and photographs and make such recordings as the inspector thinks necessary for the purpose of carrying out the inspection.

(5) The powers in subsection (4)(b) to (d) include the power to—

(a) gain access to and check the operation of any computer and associated apparatus which the inspector has reasonable grounds to believe is (or has been) used in connection with the documents or records, and

(b) require documents or records to be produced in a form which is legible and portable.

(6) “Premises” includes a vehicle.

Textual Amendments

F11 Words in s. 34 heading omitted (1.1.2026) by virtue of Health and Social Care (Wales) Act 2025 (asc 1), s. 29(2), Sch. 1 para. 7(7); S.I. 2025/1257, art. 3(1)(c)

F12 Words in s. 34(1) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(5)(a)(i), 29(2); S.I. 2025/1257, art. 3(2)(f)

F13 Words in s. 34(1) omitted (1.4.2026) by virtue of Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(5)(a)(ii), 29(2); S.I. 2025/1257, art. 3(2)(f)

F14 Words in s. 34(2) omitted (1.4.2026) by virtue of Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(5)(b), 29(2); S.I. 2025/1257, art. 3(2)(f)

F15 Words in s. 34(3) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(5)(c), 29(2); S.I. 2025/1257, art. 3(2)(f)

F16 Words in s. 34(4) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(5)(d), 29(2); S.I. 2025/1257, art. 3(2)(f)

Commencement Information

I3 S. 34 in force at 2.4.2018 by S.I. 2017/1326, art. 2(3)(e)

35 Powers of inspector to interview and examine persons E+W

(1) If an inspector thinks it necessary or expedient for the purposes of carrying out an inspection [F17 or an investigation], the inspector may require any person to be interviewed by the inspector F18 ....

[F19 (1A) An inspector may require an interview under subsection (1) to be carried out in private.]

(2) But an inspector [F20 —

(a) may not interview a person falling within subsection (3) without the person’s consent, and

(b) may not interview a person (“P”) for the purpose of inquiring whether P has committed an offence unless—

(i) P is informed of the purpose of the interview;

(ii) P is given the opportunity to obtain legal representation.]

(3) The following persons fall within this subsection—

(a) a person to whom the service provider provides (or has provided) care and support;

(b) an individual with parental responsibility for the person;

(c) a relative of the person;

(d) the person's carer;

(e) a donee of a lasting power of attorney over the person.

(4) An inspector may [F21 for the purposes of carrying out an inspection] examine in private a person to whom the service provider provides (or has provided) care and support if—

(a) the inspector is a registered medical practitioner or registered nurse,

(b) the inspector thinks the examination is necessary or expedient for the purposes of assessing the effect of any such care and support on the well-being of the person, and

(c) the person consents to the examination.

(5) For the purposes of subsections (1) and (4), an interview or examination is to be treated as conducted in private despite the presence of a third party if—

(a) the person being interviewed or examined wants the third party to be present and the inspector does not object, or

(b) the inspector wants the third party to be present and the person being interviewed or examined consents.

(6) Where an inspector conducts an interview or examination under this section, the inspector must, if requested to do so by—

(a) the person being interviewed or examined, or

(b) an individual accompanying that person,

produce a document showing the inspector's authorisation under section 33 and, in the case of an examination, a document showing that the inspector is a registered medical practitioner or registered nurse.

(7) In this section—

• “carer” (“gofalwr”) has the meaning given by section 3 of the 2014 Act;

• “child” (“plentyn”) means a person who is aged under 18;

• “donee of a lasting power of attorney” (“rhoddai atwrneiaeth arhosol”) has the same meaning as in Part 1 of the Mental Capacity Act 2005 (c.9);

• “parental responsibility” (“cyfrifoldeb rhiant”) has the meaning given by section 3 of the Children Act 1989 (c.41);

• “relative” (“perthynas”), in relation to a person, means that person's parent, grandparent, child, grandchild, brother, half-brother, sister, half-sister, uncle, aunt, nephew or niece (including any person who is or has been in that relationship by virtue of a marriage or civil partnership or an enduring family relationship).

Textual Amendments

F17 Words in s. 35(1) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(6)(a)(i), 29(2); S.I. 2025/1257, art. 3(2)(f)

F18 Words in s. 35(1) omitted (1.4.2026) by virtue of Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(6)(a)(ii), 29(2); S.I. 2025/1257, art. 3(2)(f)

F19 S. 35(1A) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(6)(b), 29(2); S.I. 2025/1257, art. 3(2)(f)

F20 Words in s. 35(2) substituted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(6)(c), 29(2); S.I. 2025/1257, art. 3(2)(f)

F21 Words in s. 35(4) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(6)(d), 29(2); S.I. 2025/1257, art. 3(2)(f)

Commencement Information

I4 S. 35 in force at 2.4.2018 by S.I. 2017/1326, art. 2(3)(e)

36 Inspection reports E+W

(1) As soon as is reasonably practicable after an inspection has been carried out, the Welsh Ministers must prepare a report of the inspection and send a copy of it to the service provider.

(2) A report must [F22 , to the extent that the Welsh Ministers consider proportionate,] include—

(a) an assessment of the standard of any care and support provided (or which had been provided) by the service provider, measured in relation to any requirements imposed by regulations under section 27(1) as to the standard of care and support to be provided,

(b) an assessment of the effect of any such care and support on the well-being of persons to whom the care and support is (or had been) provided,

(c) an assessment of the organisation and co-ordination of regulated services provided (or which had been provided) by the service provider, and

(d) if regulations are made under section 37, a rating of the service provider.

(3) The Welsh Ministers must—

(a) publish each report prepared under subsection (1);

(b) ensure that copies are made available for inspection at such places and by such means as the Welsh Ministers think appropriate;

(c) send a copy of a report prepared under subsection (1) to any person who requests one.

[F23 (3A) But a requirement in subsection (3) does not apply where the Welsh Ministers consider that fulfilling the requirement would be inappropriate having regard to the best interests of a person whose care and support is assessed in the report.]

Textual Amendments

F22 Words in s. 36(2) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(7)(a), 29(2); S.I. 2025/1257, art. 3(2)(f)

F23 S. 36(3A) inserted (1.4.2026) by Health and Social Care (Wales) Act 2025 (asc 1), ss. 17(7)(b), 29(2); S.I. 2025/1257, art. 3(2)(f)

Commencement Information

I5 S. 36 in force at 2.4.2018 by S.I. 2017/1326, art. 2(3)(e)

37 Inspection ratings E+W

(1) The Welsh Ministers may by regulations make provision about ratings that may be given in relation to the quality of care and support provided by a service provider who has been inspected.

(2) Regulations under subsection (1)—

(a) may make provision requiring a service provider to display a rating included in a report prepared under section 36(1) in such manner, and at such place, as the regulations may specify,

(b) may specify criteria to be applied when arriving at a rating, and

(c) must include provision for a service provider to appeal against a rating included in a report prepared under section 36(1).

(3) Before making regulations under subsection (1) the Welsh Ministers must consult any persons they think appropriate.

(4) But the requirement to consult does not apply to regulations which—

(a) amend other regulations made under that subsection, and

(b) do not, in the opinion of the Welsh Ministers, effect any substantial change in the provision made by the regulations to be amended.

Commencement Information

I6 S. 37 in force at 2.4.2018 by S.I. 2017/1326, art. 2(3)(e)