The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017
PART 1
General
1
Title, commencement, application and interpretation
PART 2
Exceptions
2
Care home services
3
Domiciliary support services
4
Residential family centre services
5
Meaning of family or personal relationship
PART 3
General requirements on service providers
6
Requirements in relation to the provision of the service
7
Requirements in relation to the statement of purpose
8
Requirements in relation to monitoring and improvement
9
Requirements in relation to the responsible individual
10
Requirements in relation to the responsible individual where the service provider is an individual
11
Requirements in relation to the financial sustainability of the service
12
Requirements to provide the service in accordance with policies and procedures
13
Duty of candour
PART 4
Requirements on service providers as to the steps to be taken before agreeing to provide care and support
14
Suitability of the service
PART 5
Requirements on service providers as to the steps to be taken on commencement of the provision of care and support
15
Personal plan
16
Review of personal plan
17
Records of personal plans
18
Provider assessment
PART 6
Requirements on service providers as to the information to be provided to individuals on commencement of the provision of care and support
19
Information about the service
20
Service agreement
PART 7
Requirements on service providers as to the standard of care and support to be provided
21
Standards of care and support - overarching requirements
22
Continuity of care
23
Information
24
Language and communication
25
Respect and sensitivity
PART 8
Requirements on service providers -safeguarding
26
Safeguarding - overarching requirement
27
Safeguarding policies and procedures
28
Supporting individuals to manage their money
29
The appropriate use of control and restraint
30
Prohibition on the use of corporal punishment
31
Deprivation of liberty
32
Interpretation of Part 8
PART 9
Requirements on service providers which only apply where accommodation is provided
33
Access to health and other services
PART 10
Requirements on service providers as to staffing
34
Staffing - overarching requirements
35
Fitness of staff
36
Supporting and developing staff
37
Compliance with employer's code of practice
38
Information for staff
39
Disciplinary procedures
PART 11
Requirements on service providers in respect of domiciliary support services
40
Application of regulations in this Part
41
Delineation of travel time and care time
42
Offering domiciliary care workers on non-guaranteed hours contracts the choice of alternative contractual arrangements
PART 12
Requirements on service providers as to premises, facilities and equipment
43
Overarching requirement
44
Premises – accommodation-based services only
45
Single occupancy and shared rooms - adults
46
Single occupancy and shared rooms – children
47
Premises – all services
48
Facilities and equipment
PART 13
Additional requirements on service providers in respect of premises – new accommodation
49
Application of Part 13
49A
Reconfiguration of premises
49B
(1) This regulation applies to a service provider—
50
Additional requirements – en-suite bathrooms
51
Additional requirements – room sizes
52
Additional requirements – communal space
53
Additional requirements – outdoor space
54
Additional requirements – passenger lift
PART 14
Requirements on service providers as to supplies, hygiene, health and safety and medicines
55
Supplies
56
Hygiene and infection control
57
Health and safety
58
Medicines
PART 15
Other requirements on service providers
59
Records
60
Notifications
61
Notification with respect to children admitted into, or discharged from, a place at which accommodation is provided to children
62
Notification with respect to the death of a child accommodated in a secure children's home
63
Conflicts of interest (including prohibitions)
64
Complaints policy and procedure
65
Whistleblowing
PART 16
Requirements on responsible individuals for ensuring effective management of the service
66
Supervision of management of the service
67
Duty to appoint a manager
68
Fitness requirements for appointment of manager
69
Restrictions on appointing manager for more than one service
70
Duty to report the appointment of manager to service provider
71
Duty to report appointment of manager to the workforce and service regulators
72
Arrangements when manager is absent
73
Visits
PART 17
Requirements on responsible individuals for ensuring effective oversight of the service
74
Oversight of adequacy of resources
75
Other reports to the service provider
76
Engagement with individuals and others
PART 18
Requirements on responsible individuals for ensuring the compliance of the service
77
Duty to ensure there are systems in place to record incidents and complaints
78
Duty to ensure there are systems in place for keeping of records
79
Duty to ensure policies and procedures are up to date
PART 19
Requirements on responsible individuals for monitoring, reviewing and improving the quality of the regulated service
80
Quality of care review
81
Statement of compliance with the requirements as to standards of care and support
PART 20
Other requirements on responsible individuals
82
Support for staff raising concerns
83
Duty of candour
84
Notifications
PART 21
Offences
85
Offences – service providers
86
Offences – responsible individuals
PART 22
Service providers who are liquidated etc. or who have died
87
Appointment of liquidators etc.
88
Death of service provider
PART 23
Regulations under section 21(5) of the Act
89
Designation of responsible individual by Welsh Ministers
SCHEDULE 1
PART 1
Information and documents to be available in respect of persons working in regulated services
1
Proof of identity including a recent photograph.
2
Where required for the purposes of an exempted question in...
3
Where required for the purposes of an exempted question asked...
4
Two written references, including a reference from the last employer,...
5
Where a person has previously worked in a position whose...
6
Documentary evidence of any relevant qualification.
7
Where relevant, documentary evidence of registration with Social Care Wales....
8
A full employment history, together with a satisfactory written explanation...
9
Evidence of satisfactory linguistic ability for the purposes of providing...
10
Details of registration with or membership of any professional body....
PART 2
Interpretation of Part 1
11
For the purposes of paragraphs 2 and 3 of Part...
SCHEDULE 2
Records to be kept in respect of regulated services
PART 1
Records to be kept in respect of all regulated services
1
In respect of each individual, records of—
2
A record of any charges by the service provider to...
3
A record of all medicines kept in the service for...
4
A record of all money or other valuables deposited by...
5
A record of the following events that occur in the...
6
A record of every fire practice, drill or test of...
7
A record of all complaints made by individuals or their...
8
A record of all persons working at the service, which...
9
A copy of the duty roster of persons working at...
PART 2
Additional records to be kept in respect of care home services, secure accommodation services and residential family centre services
10
A record of any furniture brought by an individual into...
11
A record of any of the following events that occur...
12
A record of all visitors to the service, including the...
SCHEDULE 3
Notifications by the service provider
PART 1
Notifications to the service regulator in respect of all services
1
Any revision to the statement of purpose, 28 days prior...
2
Service provider (individual or organisation) changes their name.
3
Where, on or after 1 April 2020, the service provider...
3A
Where, on or after 1 April 2020, the service provider...
4
Where the service provider is an individual, the appointment of...
5
Where the service provider is a body corporate or partnership,...
6
Where the service provider is a partnership, death of one...
7
Where the service provider is a partnership, any change in...
8
Expected absence of the responsible individual for 28 days or...
9
The unexpected absence of the responsible individual, no later than...
10
Unexpected absence of the responsible individual for 28 days or...
11
Return from absence of the responsible individual.
12
The responsible individual ceases, or proposes to cease, being the...
13
Any abuse or allegation of abuse in relation to an...
14
Service provider, responsible individual or appointed manager convicted of a...
15
Any allegation of misconduct by a member of staff.
16
Any occurrence of category 3 or 4 pressure damage or...
17
Serious accident or injury to an individual.
18
The outbreak of any infectious disease.
19
Any incident reported to the police.
20
Any events which prevent, or could prevent, the provider from...
21
Where accommodation is provided, the death of an individual and...
22
Any request to a supervisory body in relation to the...
23
The premises are, or are proposed to be, significantly altered...
24
Additional premises are, or are proposed to be acquired.
25
Any proposal to change the address of the principal office,...
25A
Any change of telephone number or electronic mail address for...
PART 2
Additional notifications to the service regulator where care and support is provided to children
26
Any referral to the DBS pursuant to the Safeguarding Vulnerable...
27
Where the service provider, responsible individual or appointed manager is...
28
Instigation and subsequent outcome of any child protection enquiry involving...
29
Any allegation that a child accommodated by the service has...
30
Any incident of child sexual or criminal exploitation or suspected...
31
Any incident where an accommodated child goes missing or has...
PART 3
Notifications to the placing authority where a care home service is provided to children
32
Any abuse or allegation of abuse in relation to a...
33
Serious accident or injury to a child accommodated by the...
34
Any occurrence of category 3 or 4 pressure damage or...
35
The outbreak of any infectious disease.
36
Any incident reported to the police.
37
The death of a child accommodated by the service and...
38
Any referral to the DBS pursuant to the Safeguarding Vulnerable...
39
An allegation that a child accommodated by the service has...
40
Any incident where an accommodated child goes missing or has...
41
Instigation and subsequent outcome of any child protection enquiry involving...
42
Any incident of child sexual or criminal exploitation or suspected...
PART 4
Notifications to the local authority in whose area the home is situated where a care home service is provided to children
43
Death of a child and the circumstances.
44
Any incident of child sexual or criminal exploitation or suspected...
45
Any incident where an accommodated child goes missing or has...
PART 5
Notifications to the appropriate police officer where a care home service is provided to children
46
Any incident of child sexual or criminal exploitation or suspected...
PART 6
Notifications to the health board in whose area the home is situated where a care home service is provided to children
47
The outbreak of any infectious disease.
48
The death of a child and the circumstances.
SCHEDULE 4
Notifications by the responsible individual
1
The appointment of a manager (see regulation 7(1)).
2
The expected absence of the appointed manager for 28 days...
3
The unexpected absence of the appointed manager, no later than...
4
The unexpected absence of appointed manager for 28 days or...
5
Return from absence of appointed manager.
6
Interim arrangements where the manager is absent for longer than...
7
Someone other than the appointed manager is proposing to manage...
8
The 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
Made
12 December 2017
Coming into force
2 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 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.
2016 anaw 2