Regulation 4(2)(b)(c)
1. The responsible person’s birth certificate.
2. Certificates or other suitable evidence relating to the responsible person’s professional or technical qualifications, so far as such qualifications are relevant to providing services for persons for whom services are to be provided at the establishment.
3.—(1) Subject to sub-paragraph (2), a report by a general medical practitioner as to whether the responsible person is physically and mentally fit to carry on an establishment of the same description as the establishment.
(2) Where the responsible person is unable to obtain the report referred to in sub-paragraph (1), a statement by the responsible person as to the state of his or her physical and mental health..
4. The following documents in relation to the responsible person—
(a)a criminal record certificate—
(i)which has been issued under section 113 of the Police Act 1997(1); and
(ii)the application for which was countersigned by the National Assembly, including, where applicable, the matters specified in section 113(3A)(a) and (b) and (3C)(a) and (b) of that Act;
(b)an enhanced criminal records certificate—
(i)which has been issued under section 115 of that Act; and
(ii)the application for which was countersigned by the National Assembly,
including, where applicable, the matters specified in section 115(6A) (a) and (b) and (6B) (a) and (b) of that Act.
5. Where the applicant is an organisation, copies of the last two annual reports it was required to produce.
6. Where the organisation is a subsidiary of a holding company, the name and address of the registered or principal office and the last two annual reports (if any) of the holding company and of any other subsidiary of that holding company.
7. The last annual accounts (if any) of the establishment.
8. Except where the applicant is a local authority or NHS trust, a reference from a bank expressing an opinion as to the applicant’s financial standing.
9. A certificate of insurance for the applicant in respect of liability which may be incurred by him or her in relation to the establishment in respect of death, injury, public liability, damage or other loss.
10.—(1) A statement confirming that—
(a)the documents specified in sub-paragraph (2) have been issued—
(i)in the case of any applicant, to every person, other than the applicant, who works, or is intended to work, for the purposes of the establishment; and
(ii)where the applicant is an organisation, to the responsible individual, and
(b)the applicant will make the documents so issued available for inspection by the National Assembly if the National Assembly so requires.
(2) The following documents are specified—
(a)if the position in which the person works, or is intended to work, for the purposes of the establishment falls within section 113 (3B) of the Police Act 1997, either—
(i)if the position falls within section 115(3) of that Act, an enhanced criminal record certificate issued to the person under section 115 of that Act; or
(ii)in any other case, a criminal record certificate issued to the person under section 113 of that Act,
including the matters specified in, as the case may be, section 115(6A)(a) and (b) or 113(3A)(a) and (b) of that Act;
(b)if the position in which the person works, or is intended to work, for the purposes of the establishment falls within section 113(3D) of the Police Act 1997, either—
(i)if the position falls within section 115(4) of that Act, an enhanced criminal record certificate issued to the person under section 115 of that Act; or
(ii)in any other case, a criminal record certificate issued to the person under section 113 of that Act,
including the matters specified in, as the case may be, section 115(6B)(a) and (b) or 113(3C)(a) and (b) of that Act;
(c)if the position in which the person works, or is intended to work, for the purposes of the establishment does not fall within section 113(3B) or (3D) of the Police Act 1997, a criminal record certificate issued to the person under section 113 of that Act.
1997 c. 50. Sections 113(3A) and 115(6A) were added by section 8(1) and (2) of the Protection of Children Act 1999 (c. 14) and amended by section 104 and 116 of, and paragraph 25(1) and (2) of Schedule 4 to, the Care Standards Act 2000 (c. 14). Sections 113(3C) and 115(6B) are to be added to the Police Act 1997 by section 90(1) and (2) of the Care Standards Act 2000 on a date to be appointed.