Regulation and Inspection of Social Care (Wales) Act 2016

Investigation

125 Duty to investigate

(1) SCW must investigate, or make arrangements for the investigation of, a matter referred under section 119 in respect of a registered person’s fitness to practise.

(2) The person conducting an investigation under this section may, at any stage during the investigation, refer the matter to an interim orders panel.

(3) SCW must by rules make provision about the arrangements for investigations under this section.

(4) Rules made under subsection (3) may, in particular, make provision for—

(a) the registered person to make representations to the person conducting the investigation;

(b) investigations to be carried out by a member of SCW’s staff;

(c) the appointment of one or more individuals for the purpose of conducting an investigation;

(d) the appointment of persons to provide assistance in relation to an investigation.

(5) But rules made under subsection (3) may not provide for an investigation to be carried out by—

(a) a person who is a member of—

(i) SCW,

(ii) the Health and Care Professions Council,

(iii) the Scottish Social Services Council, or

(iv) the Northern Ireland Social Care Council;

(b) a person who is a member of a fitness to practise panel;

(c) a person who is a member of an interim orders panel;

(d) a prescribed person.

126 Powers following an investigation

(1) This section applies where the investigation of a matter relating to a registered person’s fitness to practise has been concluded.

(2) SCW must refer the matter to a fitness to practise panel if it is satisfied that—

(a) there is a realistic prospect of the panel finding that the registered person’s fitness to practise is impaired, and

(b) it is in the public interest to refer the matter.

(3) Where the matter is not referred to a fitness to practise panel, SCW may—

(a) decide to take no further action in respect of the registered person;

(b) give advice to the registered person, or to any other person involved in the investigation, in respect of any matter related to the investigation;

(c) issue a warning to the registered person in respect of future conduct or performance;

(d) agree with the registered person that he or she will comply with such undertakings as SCW thinks appropriate;

(e) grant an application under section 92 by the registered person for his or her entry in the register to be removed by agreement.

127 Notice: referral or disposal

(1) SCW must give notice to the persons listed in subsection (2) of—

(a) the referral of a matter to an interim orders panel under section 125(2);

(b) the referral of a matter to a fitness to practise panel under section 126(2);

(c) the way in which the matter has been disposed of under section 126(3).

(2) The persons are—

(a) the registered person to whom the matter relates, and

(b) where the matter was the subject of an allegation mentioned in section 118(1)(a), the person who made the allegation.

(3) SCW may give notice to any other person of the referral or disposal of a matter under section 126 if satisfied that it is in the public interest to do so.

(4) A notice under this section must give the reasons for the referral.

128 Warnings

(1) Where SCW is proposing to issue a warning to a registered person, SCW must—

(a) notify the registered person of its intention, and

(b) notify that person of the right to request an oral hearing for the purpose of determining whether or not to give a warning.

(2) SCW must by rules make provision about—

(a) the period within which a request for an oral hearing may be made;

(b) the arrangements and procedure for an oral hearing.

(3) SCW must grant a request for an oral hearing if the request is made in accordance with the requirements of rules made under subsection (2).

129 Undertakings

(1) SCW must by rules make provision about the agreement of undertakings under section 126(3)(d).

(2) The rules may, in particular, make provision about—

(a) the procedure to be followed for the agreement of undertakings;

(b) the procedure to be followed in the event of a breach of an undertaking;

(c) the consequences of a breach of an undertaking;

(d) periodic review of a requirement to comply with an undertaking.

130 Mediation

(1) The Welsh Ministers may by regulations provide, or authorise SCW by rules to provide, for arrangements for mediation to be undertaken with any registered person in respect of whom a matter is referred for investigation under section 125.

(2) The regulations may make provision about, or authorise SCW by rules to make provision about—

(a) the circumstances in which mediation may be undertaken, and

(b) the arrangements for undertaking mediation.