The Regulated Services (Registration) (Wales) Regulations 2017

Welsh Statutory Instruments

2017 No. 1098 (W. 278)

Social Care, Wales

The Regulated Services (Registration) (Wales) Regulations 2017

Made

14 November 2017

Coming into force

1 February 2018

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 2016(1).

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 1 E+W GENERAL

Title, commencement and application E+W

1.—(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.

Commencement Information

I1 Reg. 1 in force at 1.2.2018, see reg. 1(1)

Interpretation E+W

2.—(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;

“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.

Commencement Information

I2 Reg. 2 in force at 1.2.2018, see reg. 1(1)

PART 2 E+W Application for Registration as a Service Provider

Information to be provided by an applicant E+W

3.  A person who wants to provide a regulated service(2) 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 [F1 , special school residential 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 [F2 in relation to] 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.

Textual Amendments

F1 Words in reg. 3(b) inserted (31.12.2023) by The Regulated Services (Registration) (Wales) (Amendment) Regulations 2023 (S.I. 2023/1336), regs. 1(2), 2(a)

F2 Words in reg. 3(c) substituted (29.4.2019) by The Regulated Services (Annual Returns and Registration) (Wales) (Amendment) Regulations 2019 (S.I. 2019/233), regs. 1(2), 7

Commencement Information

I3 Reg. 3 in force at 1.2.2018, see reg. 1(1)

[F3 3A.— (1) This regulation applies where the applicant, within the meaning of paragraph (a) of the definition of “applicant” in regulation 2, is an organisation.

(2) An applicant to whom this regulation applies must, in addition to the information specified in regulation 3, provide the Welsh Ministers with the information in paragraph (3).

(3) The applicant must provide, in relation to the persons listed in paragraph (4)—

(a) their full name, date of birth, home address, electronic mail address and telephone number, and

(b) the information listed in paragraphs 13 to 22 of Schedule 1.

(4) The persons in relation to whom the information in paragraph (3) must be provided are—

(a) where the organisation is a body corporate other than a local authority or Local Health Board—

(i) each person who has been appointed as a director of the body corporate,

(ii) each person who has been appointed as a trustee of the body corporate,

(iii) each member of the managing committee of the body corporate,

(b) where the organisation is an unincorporated body, each person who is concerned in the management and control of the body,

(c) where the organisation is a partnership, each partner.]

Textual Amendments

F3 Reg. 3A inserted (1.4.2020) by The Regulation and Inspection of Social Care (Wales) Act 2016 and Regulated Services (Miscellaneous Amendments) Regulations 2020 (S.I. 2020/389), regs. 1(2), 5 (with reg. 7)

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.

Commencement Information

I4 Reg. 4 in force at 1.2.2018, see reg. 1(1)

Form of application E+W

5.  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.

Commencement Information

I5 Reg. 5 in force at 1.2.2018, see reg. 1(1)

PART 3 E+W Application 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) E+W

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 [F4 , special school residential 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 [F5 in relation to] 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.

Textual Amendments

F4 Words in reg. 6(b) inserted (31.12.2023) by The Regulated Services (Registration) (Wales) (Amendment) Regulations 2023 (S.I. 2023/1336), regs. 1(2), 2(b)

F5 Words in reg. 6(c) substituted (29.4.2019) by The Regulated Services (Annual Returns and Registration) (Wales) (Amendment) Regulations 2019 (S.I. 2019/233), regs. 1(2), 8

Commencement Information

I6 Reg. 6 in force at 1.2.2018, see reg. 1(1)

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 [F6 , special school residential 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 [F7 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;

(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.

Textual Amendments

F6 Words in reg. 7(b) inserted (31.12.2023) by The Regulated Services (Registration) (Wales) (Amendment) Regulations 2023 (S.I. 2023/1336), regs. 1(2), 2(c)

F7 Words in reg. 7(c) substituted (29.4.2019) by The Regulated Services (Annual Returns and Registration) (Wales) (Amendment) Regulations 2019 (S.I. 2019/233), regs. 1(2), 9

Commencement Information

I7 Reg. 7 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I8 Reg. 8 in force at 1.2.2018, see reg. 1(1)

Information to be provided by a service provider for variation – section 11(1)(a)(iii) and (iv) E+W

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.

Commencement Information

I9 Reg. 9 in force at 1.2.2018, see reg. 1(1)

Information to be provided by a service provider for variation – section 11(1)(b) E+W

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.

Commencement Information

I10 Reg. 10 in force at 1.2.2018, see reg. 1(1)

Information to be provided by a service provider for variation – section 11(1)(c) E+W

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.

Commencement Information

I11 Reg. 11 in force at 1.2.2018, see reg. 1(1)

Form of application E+W

12.  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.

Commencement Information

I12 Reg. 12 in force at 1.2.2018, see reg. 1(1)

Time limit within which application to vary must be made where there is no designated responsible individual E+W

13.  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.

Commencement Information

I13 Reg. 13 in force at 1.2.2018, see reg. 1(1)

Huw Irranca-Davies

Minister for Children and Social Care, under authority of the Cabinet Secretary for Health and Social Services, one of the Welsh Ministers

14 November 2017

Regulations 3, 6, 7 and 11

SCHEDULE 1 E+W Information 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 E+W

1.  The applicant’s full name, date of birth, home address, electronic mail address and telephone number.

Commencement Information

I14 Sch. 1 para. 1 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I15 Sch. 1 para. 2 in force at 1.2.2018, see reg. 1(1)

3.  Details of the applicant’s employment history, including the name and address of his or her present employer and of any previous employers.

Commencement Information

I16 Sch. 1 para. 3 in force at 1.2.2018, see reg. 1(1)

4.  Details of any business the applicant carries on or has carried on.

Commencement Information

I17 Sch. 1 para. 4 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I18 Sch. 1 para. 5 in force at 1.2.2018, see reg. 1(1)

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 1986(3)); or

(d) has made a composition or arrangement with creditors and has not been discharged in respect of the composition or arrangement.

Commencement Information

I19 Sch. 1 para. 6 in force at 1.2.2018, see reg. 1(1)

Information required about the applicant where the applicant is an organisation E+W

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.

Commencement Information

I20 Sch. 1 para. 7 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I21 Sch. 1 para. 8 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I22 Sch. 1 para. 9 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I23 Sch. 1 para. 10 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I24 Sch. 1 para. 11 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I25 Sch. 1 para. 12 in force at 1.2.2018, see reg. 1(1)

Information required about all applicants E+W

13.  Details of any previous applications for registration as a service provider under the Act.

Commencement Information

I26 Sch. 1 para. 13 in force at 1.2.2018, see reg. 1(1)

14.  Details of any registrations as a service provider under the Act.

Commencement Information

I27 Sch. 1 para. 14 in force at 1.2.2018, see reg. 1(1)

15.  Details of any previous application for registration under Part 2 of the Care Standards Act 2000(4).

Commencement Information

I28 Sch. 1 para. 15 in force at 1.2.2018, see reg. 1(1)

16.  Details of any registrations under Part 2 of the Care Standards Act 2000.

Commencement Information

I29 Sch. 1 para. 16 in force at 1.2.2018, see reg. 1(1)

17.  Details of any previous applications for registration as a service provider under the Health and Social Care Act 2008(5).

Commencement Information

I30 Sch. 1 para. 17 in force at 1.2.2018, see reg. 1(1)

18.  Details of any registrations as a service provider under the Health and Social Care Act 2008.

Commencement Information

I31 Sch. 1 para. 18 in force at 1.2.2018, see reg. 1(1)

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 2010(6).

Commencement Information

I32 Sch. 1 para. 19 in force at 1.2.2018, see reg. 1(1)

20.  Details of any registrations as a person providing a care service under Part 5 of the Public Services Reform (Scotland) Act 2010.

Commencement Information

I33 Sch. 1 para. 20 in force at 1.2.2018, see reg. 1(1)

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 2003(7).

Commencement Information

I34 Sch. 1 para. 21 in force at 1.2.2018, see reg. 1(1)

22.  Details of any registrations under Part 3 of the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003.

Commencement Information

I35 Sch. 1 para. 22 in force at 1.2.2018, see reg. 1(1)

Information required in respect of each individual designated by the applicant to be a responsible individual E+W

23.  Date of birth, telephone number, correspondence address and electronic mail address of each individual designated by the applicant to be a responsible individual.

Commencement Information

I36 Sch. 1 para. 23 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I37 Sch. 1 para. 24 in force at 1.2.2018, see reg. 1(1)

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 1986(8)); or

(d) has made a composition or arrangement with creditors and has not been discharged in respect of the composition or arrangement.

Commencement Information

I38 Sch. 1 para. 25 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I39 Sch. 1 para. 26 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I40 Sch. 1 para. 27 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I41 Sch. 1 para. 28 in force at 1.2.2018, see reg. 1(1)

Information about the service to be provided E+W

29.  Details of the scale of charges that are intended to be payable by service users.

Commencement Information

I42 Sch. 1 para. 29 in force at 1.2.2018, see reg. 1(1)

30.  In the case of a care home service, secure accommodation service [F8 , special school residential 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.

Textual Amendments

F8 Words in Sch. 1 para. 30 inserted (31.12.2023) by The Regulated Services (Registration) (Wales) (Amendment) Regulations 2023 (S.I. 2023/1336), regs. 1(2), 2(d)

Commencement Information

I43 Sch. 1 para. 30 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I44 Sch. 1 para. 31 in force at 1.2.2018, see reg. 1(1)

[F9 31A.   In the case of an adoption service, a fostering service, an adult placement service or an advocacy service, the date on which it is intended to begin providing the service in relation to each place specified in the application.]

Textual Amendments

F9 Sch. 1 para. 31A inserted (29.4.2019) by The Regulated Services (Annual Returns and Registration) (Wales) (Amendment) Regulations 2019 (S.I. 2019/233), regs. 1(2), 10

Information about the accommodation at which the service is to be provided E+W

32.  Where the applicant is seeking to provide a care home service(9), a secure accommodation service(10) [F10 , special school residential service] or a residential family centre service(11)—

(a) the proposed name, address [F11 , electronic mail 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 2005(12);

(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.

Textual Amendments

F10 Words in Sch. 1 para. 32 inserted (31.12.2023) by The Regulated Services (Registration) (Wales) (Amendment) Regulations 2023 (S.I. 2023/1336), regs. 1(2), 2(e)

F11 Words in Sch. 1 para. 32(a) inserted (31.12.2023) by The Register of Service Providers (Prescribed Information and Miscellaneous Amendments) (Wales) Regulations 2023 (S.I. 2023/1325), regs. 1(2), 4

Commencement Information

I45 Sch. 1 para. 32 in force at 1.2.2018, see reg. 1(1)

Information about the offices from which the service is to be provided E+W

33.  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.

Commencement Information

I46 Sch. 1 para. 33 in force at 1.2.2018, see reg. 1(1)

Documents required from the applicant E+W

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 1997(13), 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.

Commencement Information

I47 Sch. 1 para. 34 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I48 Sch. 1 para. 35 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I49 Sch. 1 para. 36 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I50 Sch. 1 para. 37 in force at 1.2.2018, see reg. 1(1)

Documents required in respect of each individual designated by the applicant as a responsible individual. E+W

38.  Evidence of the person’s identity to include a photograph.

Commencement Information

I51 Sch. 1 para. 38 in force at 1.2.2018, see reg. 1(1)

39.  Documentary evidence of all qualifications the applicant has provided details about in paragraph 24 of this Schedule.

Commencement Information

I52 Sch. 1 para. 39 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I53 Sch. 1 para. 40 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I54 Sch. 1 para. 41 in force at 1.2.2018, see reg. 1(1)

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 adults(15).

Commencement Information

I55 Sch. 1 para. 42 in force at 1.2.2018, see reg. 1(1)

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 day(16) and where applicable, the information mentioned in section 30A(3) of the Safeguarding Vulnerable Groups Act 2006 (provision of barring information on request).

Commencement Information

I56 Sch. 1 para. 43 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I57 Sch. 1 para. 44 in force at 1.2.2018, see reg. 1(1)

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 [F12 ;]

[F13 (c) any person who is a member of the managing committee of the body corporate.]

Textual Amendments

F12 Semicolon in Sch. 1 para. 45(b) substituted (1.4.2020) by The Regulation and Inspection of Social Care (Wales) Act 2016 and Regulated Services (Miscellaneous Amendments) Regulations 2020 (S.I. 2020/389), regs. 1(2), 6(a)(i) (with reg. 7)

F13 Sch. 1 para. 45(c) inserted (1.4.2020) by The Regulation and Inspection of Social Care (Wales) Act 2016 and Regulated Services (Miscellaneous Amendments) Regulations 2020 (S.I. 2020/389), regs. 1(2), 6(a)(ii) (with reg. 7)

Commencement Information

I58 Sch. 1 para. 45 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I59 Sch. 1 para. 46 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I60 Sch. 1 para. 47 in force at 1.2.2018, see reg. 1(1)

48.  In relation to an applicant who is an unincorporated body, a signed [F14 declaration] 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.

Textual Amendments

F14 Word in Sch. 1 para. 48 substituted (1.4.2020) by The Regulation and Inspection of Social Care (Wales) Act 2016 and Regulated Services (Miscellaneous Amendments) Regulations 2020 (S.I. 2020/389), regs. 1(2), 6(b) (with reg. 7)

Commencement Information

I61 Sch. 1 para. 48 in force at 1.2.2018, see reg. 1(1)

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.

Commencement Information

I62 Sch. 1 para. 49 in force at 1.2.2018, see reg. 1(1)

Regulations 4 and 8

SCHEDULE 2 E+W Information required to be contained in a statement of purpose

Commencement Information

I63 Sch. 2 in force at 1.2.2018, see reg. 1(1)

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;

[F15 (ea) in the case of an adoption service, a fostering service, an adult placement service or an advocacy 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;]

[F16 (eb) in the case of a special school residential service, a description of how the arrangements for the provision of education and the arrangements for the provision of the residential service are coordinated;]

(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 [F17 , special school residential 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.

Textual Amendments

F15 Sch. 2(ea) inserted (29.4.2019) by The Regulated Services (Annual Returns and Registration) (Wales) (Amendment) Regulations 2019 (S.I. 2019/233), regs. 1(2), 11

F16 Sch. 2(eb) inserted (31.12.2023) by The Regulated Services (Registration) (Wales) (Amendment) Regulations 2023 (S.I. 2023/1336), regs. 1(2), 2(f)

F17 Words in Sch. 2(k) inserted (31.12.2023) by The Regulated Services (Registration) (Wales) (Amendment) Regulations 2023 (S.I. 2023/1336), regs. 1(2), 2(g)

EXPLANATORY NOTE

(This note is not part of the Regulations)

These Regulations are made under sections 6 and 11 of the Regulation and Inspection of Social Care (Wales) Act 2016 (“the Act”) and apply in relation to Wales.

Section 6(1) of the Act sets out the information that must be contained in an application for registration as a service provider of a regulated service. “Regulated service” is defined in section 2 of the Act as a care home service; a secure accommodation service; a residential family centre service; an adoption service; a fostering service; an adult placement service; an advocacy service or a domiciliary support service.

Section 6(1)(d) of the Act enables the Welsh Ministers to prescribe additional information that must be contained in an application for registration. Regulations 3 and 4 specify the additional information that is to be provided by an applicant for registration. This includes the information listed in Schedule 1 together with a statement of purpose which contains the information described in Schedule 2. A statement of purpose must be provided for each place at, from or in relation to which a regulated service is to be provided.

Section 6(2) of the Act provides that the application for registration must be in the prescribed form. Regulation 5 makes provision that requires an application to be in the form of an on-line application, which is accessed from the relevant pages of the Welsh Government’s website.

Section 11(1) of the Act sets out the circumstances in which a service provider must apply to vary a registration. Section 11(3) sets out the information that must be contained in an application for variation of registration. Section 11(3)(a)(iii) enables the Welsh Ministers to prescribe other information that must be contained in an application to vary registration. Regulations 6 to 9 specify the information that is to be provided on an application to vary registration.

Regulations 6, 7 and 8 set out the further information that is required in respect of an application to vary made pursuant to section 11(1)(a)(i) and (ii) of the Act – that is where a provider either wants to provide a regulated service which the provider is not already registered to provide or where a provider wants to provide a regulated service at, from, or in relation to a place which is not already specified in the provider’s registration in relation to that service. The further information required includes the information listed in Schedule 1 together with a statement of purpose which contains the information described in Schedule 2. A statement of purpose must be provided for each place at, from or in relation to which a regulated service is to be provided.

Regulation 9 sets out the further information that is required in respect of an application to vary made pursuant to section 11(1)(a)(iii) of the Act – that is where a service provider wants to cease to provide a regulated service.

Regulation 10 sets out the further information that is required in respect of an application to vary made pursuant to section 11(1)(b) of the Act – that is where a service provider wants a condition imposed under section 7(3)(b), 12(2) or 13(1) of the Act to be varied or removed.

Regulation 11 sets out the further information that is required in respect of an application to vary made pursuant to section 11(1)(c) of the Act – that is where a service provider wants to designate a different responsible individual in respect of a place or is required to designate a responsible individual because there is no such individual designated in respect of a place at, from or in relation to which the provider provides a regulated service. The further information required is the information listed in paragraphs 23 to 28 and paragraphs 38 to 49 of Schedule 1.

Section 11(3)(b) of the Act provides that an application for variation of registration must be in the prescribed form. Regulation 12 makes provision that requires an application for variation to be in the form of an on-line application, which is accessed from the relevant pages of the Welsh Government’s website.

Section 11(2) of the Act places a duty on the Welsh Ministers to prescribe in regulations a time limit within which an application for variation of a provider’s registration must be made in circumstances where there is no responsible individual designated in respect of a place at, from or in relation to which the provider provides a regulated service. Regulation 13 prescribes that time limit as being 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.

The Welsh Ministers’ Code of Practice on the carrying out of Regulatory Impact Assessments was considered in relation to these Regulations. As a result, a regulatory impact assessment has been prepared as to the likely costs and benefits of complying with these Regulations. A copy can be obtained from the Department of Health and Social Services, Welsh Government, Cathays Park, Cardiff, CF10 3NQ.

(1)

2016 anaw 2.

(2)

See section 2 of and Schedule 1 to the Act for the definition of “regulated service”.

(3)

1986 c. 45.

(4)

2000 c. 14.

(5)

2008 c.14.

(6)

2010 asp 8.

(7)

S.I. 2003/431 (N.I. 9).

(8)

1986 c. 45.

(9)

See section 2(1)(a) of and paragraph 1 of Schedule 1 to the Act for the definition of “care home service”.

(10)

See section 2(1)(b) of and paragraph 2 of Schedule 1 to the Act for the definition of “secure accommodation service”.

(11)

See section 2(1)(c) of and paragraph 3 of Schedule 1 to the Act for the definition of “residential family centre service”.

(12)

S.I. 2005/1541, to which there are amendments not relevant to these Regulations.

(13)

1997 c. 50.

(14)

2006 c. 47. Sections 30 to 32 of the Safeguarding Vulnerable Groups Act 2006 as originally enacted are to be replaced by new sections 30A and 30B as a result of the substitutions made by section 72(1) of the Protection of Freedoms Act 2012 (c. 9). Section 72(1) is to be commenced on a day to be appointed.

(15)

See paragraph 34(e) of this Schedule for the meaning of “suitability information relating to children or adults”.

(16)

See paragraph 34(f) of this Schedule for the meaning of “the appointed day”.