The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017

1Title, commencement, application and interpretation

PART 2Exceptions

2Care home services

3Domiciliary support services

4Residential family centre services

5Meaning of family or personal relationship

PART 3General requirements on service providers

6Requirements in relation to the provision of the service

7Requirements in relation to the statement of purpose

8Requirements in relation to monitoring and improvement

9Requirements in relation to the responsible individual

10Requirements in relation to the responsible individual where the service provider is an individual

11Requirements in relation to the financial sustainability of the service

12Requirements to provide the service in accordance with policies and procedures

13Duty of candour

PART 4Requirements on service providers as to the steps to be taken before agreeing to provide care and support

14Suitability of the service

PART 5Requirements on service providers as to the steps to be taken on commencement of the provision of care and support

15Personal plan

16Review of personal plan

17Records of personal plans

18Provider assessment

PART 6Requirements on service providers as to the information to be provided to individuals on commencement of the provision of care and support

19Information about the service

20Service agreement

PART 7Requirements on service providers as to the standard of care and support to be provided

21Standards of care and support - overarching requirements

22Continuity of care

24Language and communication

25Respect and sensitivity

PART 8Requirements on service providers -safeguarding

26Safeguarding - overarching requirement

27Safeguarding policies and procedures

28Supporting individuals to manage their money

29The appropriate use of control and restraint

30Prohibition on the use of corporal punishment

31Deprivation of liberty

32Interpretation of Part 8

PART 9Requirements on service providers which only apply where accommodation is provided

33Access to health and other services

PART 10Requirements on service providers as to staffing

34Staffing - overarching requirements

35Fitness of staff

36Supporting and developing staff

37Compliance with employer's code of practice

38Information for staff

39Disciplinary procedures

PART 11Requirements on service providers in respect of domiciliary support services

40Application of regulations in this Part

41Delineation of travel time and care time

42Offering domiciliary care workers on non-guaranteed hours contracts the choice of alternative contractual arrangements

PART 12Requirements on service providers as to premises, facilities and equipment

43Overarching requirement

44Premises – accommodation-based services only

45Single occupancy and shared rooms - adults

46Single occupancy and shared rooms – children

47Premises – all services

48Facilities and equipment

PART 13Additional requirements on service providers in respect of premises – new accommodation

49Application of Part 13

49AReconfiguration of premises

49B(1) This regulation applies to a service provider—

50Additional requirements – en-suite bathrooms

51Additional requirements – room sizes

52Additional requirements – communal space

53Additional requirements – outdoor space

54Additional requirements – passenger lift

PART 14Requirements on service providers as to supplies, hygiene, health and safety and medicines

56Hygiene and infection control

57Health and safety

PART 15Other requirements on service providers

60Notifications

61Notification with respect to children admitted into, or discharged from, a place at which accommodation is provided to children

62Notification with respect to the death of a child accommodated in a secure children's home

63Conflicts of interest (including prohibitions)

64Complaints policy and procedure

65Whistleblowing

PART 16Requirements on responsible individuals for ensuring effective management of the service

66Supervision of management of the service

67Duty to appoint a manager

68Fitness requirements for appointment of manager

69Restrictions on appointing manager for more than one service

70Duty to report the appointment of manager to service provider

71Duty to report appointment of manager to the workforce and service regulators

72Arrangements when manager is absent

PART 17Requirements on responsible individuals for ensuring effective oversight of the service

74Oversight of adequacy of resources

75Other reports to the service provider

76Engagement with individuals and others

PART 18Requirements on responsible individuals for ensuring the compliance of the service

77Duty to ensure there are systems in place to record incidents and complaints

78Duty to ensure there are systems in place for keeping of records

79Duty to ensure policies and procedures are up to date

PART 19Requirements on responsible individuals for monitoring, reviewing and improving the quality of the regulated service

80Quality of care review

81Statement of compliance with the requirements as to standards of care and support

PART 20Other requirements on responsible individuals

82Support for staff raising concerns

83Duty of candour

84Notifications

PART 21Offences

85Offences – service providers

86Offences – responsible individuals

PART 22Service providers who are liquidated etc. or who have died

87Appointment of liquidators etc.

88Death of service provider

PART 23Regulations under section 21(5) of the Act

89Designation of responsible individual by Welsh Ministers

PART 1Information and documents to be available in respect of persons working in regulated services

1Proof of identity including a recent photograph.

2Where required for the purposes of an exempted question in...

3Where required for the purposes of an exempted question asked...

4Two written references, including a reference from the last employer,...

5Where a person has previously worked in a position whose...

6Documentary evidence of any relevant qualification.

7Where relevant, documentary evidence of registration with Social Care Wales....

8A full employment history, together with a satisfactory written explanation...

9Evidence of satisfactory linguistic ability for the purposes of providing...

10Details of registration with or membership of any professional body....

PART 2Interpretation of Part 1

11For the purposes of paragraphs 2 and 3 of Part...

SCHEDULE 2Records to be kept in respect of regulated services

PART 1Records to be kept in respect of all regulated services

1In respect of each individual, records of—

2A record of any charges by the service provider to...

3A record of all medicines kept in the service for...

4A record of all money or other valuables deposited by...

5A record of the following events that occur in the...

6A record of every fire practice, drill or test of...

7A record of all complaints made by individuals or their...

8A record of all persons working at the service, which...

9A copy of the duty roster of persons working at...

PART 2Additional records to be kept in respect of care home services, secure accommodation services and residential family centre services

10A record of any furniture brought by an individual into...

11A record of any of the following events that occur...

12A record of all visitors to the service, including the...

SCHEDULE 3Notifications by the service provider

PART 1Notifications to the service regulator in respect of all services

1Any revision to the statement of purpose, 28 days prior...

2Service provider (individual or organisation) changes their name.

3Where, on or after 1 April 2020, the service provider...

3AWhere, on or after 1 April 2020, the service provider...

4Where the service provider is an individual, the appointment of...

5Where the service provider is a body corporate or partnership,...

6Where the service provider is a partnership, death of one...

7Where the service provider is a partnership, any change in...

8Expected absence of the responsible individual for 28 days or...

9The unexpected absence of the responsible individual, no later than...

10Unexpected absence of the responsible individual for 28 days or...

11Return from absence of the responsible individual.

12The responsible individual ceases, or proposes to cease, being the...

13Any abuse or allegation of abuse in relation to an...

14Service provider, responsible individual or appointed manager convicted of a...

15Any allegation of misconduct by a member of staff.

16Any occurrence of category 3 or 4 pressure damage or...

17Serious accident or injury to an individual.

18The outbreak of any infectious disease.

19Any incident reported to the police.

20Any events which prevent, or could prevent, the provider from...

21Where accommodation is provided, the death of an individual and...

22Any request to a supervisory body in relation to the...

23The premises are, or are proposed to be, significantly altered...

24Additional premises are, or are proposed to be acquired.

25Any proposal to change the address of the principal office,...

25AAny change of telephone number or electronic mail address for...

PART 2Additional notifications to the service regulator where care and support is provided to children

26Any referral to the DBS pursuant to the Safeguarding Vulnerable...

27Where the service provider, responsible individual or appointed manager is...

28Instigation and subsequent outcome of any child protection enquiry involving...

29Any allegation that a child accommodated by the service has...

30Any incident of child sexual or criminal exploitation or suspected...

31Any incident where an accommodated child goes missing or has...

PART 3Notifications to the placing authority where a care home service is provided to children

32Any abuse or allegation of abuse in relation to a...

33Serious accident or injury to a child accommodated by the...

34Any occurrence of category 3 or 4 pressure damage or...

35The outbreak of any infectious disease.

36Any incident reported to the police.

37The death of a child accommodated by the service and...

38Any referral to the DBS pursuant to the Safeguarding Vulnerable...

39An allegation that a child accommodated by the service has...

40Any incident where an accommodated child goes missing or has...

41Instigation and subsequent outcome of any child protection enquiry involving...

42Any incident of child sexual or criminal exploitation or suspected...

PART 4Notifications to the local authority in whose area the home is situated where a care home service is provided to children

43Death of a child and the circumstances.

44Any incident of child sexual or criminal exploitation or suspected...

45Any incident where an accommodated child goes missing or has...

PART 5Notifications to the appropriate police officer where a care home service is provided to children

46Any incident of child sexual or criminal exploitation or suspected...

PART 6Notifications to the health board in whose area the home is situated where a care home service is provided to children

47The outbreak of any infectious disease.

48The death of a child and the circumstances.

SCHEDULE 4Notifications by the responsible individual

1The appointment of a manager (see regulation 7(1)).

2The expected absence of the appointed manager for 28 days...

3The unexpected absence of the appointed manager, no later than...

4The unexpected absence of appointed manager for 28 days or...

5Return from absence of appointed manager.

6Interim arrangements where the manager is absent for longer than...

7Someone other than the appointed manager is proposing to manage...

8The appointed manager ceases, or proposes to cease, managing the...

2017 No. 1264 (W. 295)

Social Care, Wales

The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017

Made12 December 2017

Coming into force2 April 2018

The Welsh Ministers make the following Regulations in exercise of the powers conferred by sections 2(3), 21(5), 27, 28, 30, 31, 45, 46, 186(1) and 187(1) of the Regulation and Inspection of Social Care (Wales) Act 2016 M1 and having consulted such persons as they think appropriate, as required by sections 27(4)(a) and 28(4) of that Act.

A draft of these Regulations was laid before the National Assembly for Wales under section 187(2)(b), (f), (g), (j) and (k) of that Act and has been approved by a resolution of the National Assembly for Wales.