2017 No. 1292 (W. 298)
The Regulated Services (Penalty Notices) (Wales) Regulations 2017
Made
Laid before the National Assembly for Wales
Coming into force
The Welsh Ministers, in exercise of the powers conferred by sections 52(1) and (6) and 187(1) of the Regulation and Inspection of Social Care (Wales) Act 20161, make the following Regulations:
Title, commencement and application1
1
The title of these Regulations is the Regulated Services (Penalty Notices) (Wales) Regulations 2017.
2
These Regulations come into force on 2 April 2018.
3
These Regulations apply in relation to Wales.
Interpretation2
In these Regulations—
“the Act” (“y Ddeddf”) means the Regulation and Inspection of Social Care (Wales) Act 2016;
“the Service Providers Regulations” (“y Rheoliadau Darparwyr Gwasanaethau”) means the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 20172;
“offence” (“trosedd”) means a prescribed offence;
“payment period” (“cyfnod talu”) has the meaning given in regulation 5;
“penalty notice” (“hysbysiad cosb”) means a penalty notice given pursuant to section 52 of the Act;
“recipient” (“derbynnydd”) means a person to whom a penalty notice is given in accordance with section 52 of the Act;
“service regulator” (“rheoleiddiwr gwasanaethau”) means the Welsh Ministers.
Prescribed offences3
Amount of penalty4
The amount of the penalty to be paid for each offence is specified in the third column of the table in the Schedule.
Period for payment of the penalty5
The time by which the penalty specified in a penalty notice is to be paid is the end of the period of 28 days beginning with the date of receipt of the notice (“payment period”).
Payment of the penalty6
1
Payment of the penalty specified in a penalty notice must be made to the service regulator by the method specified in the notice.
2
In any proceedings a certificate purporting to be signed by or on behalf of the service regulator stating that payment of a penalty was or was not received by the date specified in the certificate is evidence of the facts stated.
Period during which proceedings may not be instituted7
1
Where a recipient is given a penalty notice, proceedings for the offence to which the notice relates may not be instituted against the recipient before the expiry of the payment period.
2
Section 184 of the Act5 applies to a penalty notice as it applies to a notice required to be given under the Act.
Withdrawal of penalty notice8
1
The service regulator may withdraw a penalty notice by giving written notice of the withdrawal to the recipient if—
a
the service regulator determines that—
i
it ought not to have been given, or
ii
it ought not to have been given to the person named as the recipient; or
b
it appears to the service regulator that the notice contains material errors.
2
A penalty notice may be withdrawn in accordance with paragraph (1) whether or not the payment period has expired, and whether or not the penalty has been paid.
3
Where a penalty notice has been withdrawn in accordance with paragraph (1), the service regulator must repay any amount paid by way of penalty in pursuance of that notice to the person who paid it.
4
Except as provided in paragraph (5), no proceedings may be instituted or continued against a recipient for the offence to which the penalty notice relates where the notice has been withdrawn in accordance with paragraph (1).
5
Where a penalty notice has been withdrawn under paragraph (1)(b), proceedings may be instituted or continued for the offence in connection with which that penalty notice was given if a further penalty notice in respect of the offence has been given and the penalty has not been paid before the expiry of the payment period.
Content of penalty notice9
1
A penalty notice must give such details of the circumstances alleged to constitute the offence as seem to the service regulator to be reasonably required to give the recipient information about it.
2
A penalty notice must state—
a
the name and address of the recipient;
b
the amount of the penalty;
c
the payment period;
d
that payment within that period will discharge any liability for the offence;
e
the period within which proceedings in respect of the offence to which the notice relates will not be brought;
f
the consequences of the penalty not being paid before the expiry of the period for paying it;
g
the person to whom and the address at which the penalty may be paid and to which any correspondence about the penalty notice may be sent;
h
the means by which payment of the penalty may be made;
i
the grounds on which the penalty notice may be withdrawn.
Records10
The service regulator must keep a record of any penalty notices given, which must include—
a
a copy of each penalty notice given;
b
a record of all payments made and the dates upon which they were received;
c
details of any penalty notice which was withdrawn and the grounds for its withdrawal;
d
details of whether the recipient was prosecuted for the offence for which the penalty notice was given.
SCHEDULEPrescribed offences
Provision creating offence | General nature of the offence | Amount of penalty |
|---|---|---|
Section 47 of the Act | Making false statements | An amount corresponding to two and a half times level 4 on the standard scale(1) |
Section 48 of the Act | Failure to submit an annual return | An amount corresponding to level 4 on the standard scale |
Section 49 of the Act | Failure to provide information | An amount corresponding to level 4 on the standard scale |
Regulation 7(3) and (5) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the statement of purpose | An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 11(3) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the financial position of the service | An amount corresponding to level 4 on the standard scale |
Regulation 12(1) and (2) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements to have in place specified policies and procedures | An amount corresponding to level 4 on the standard scale |
Regulation 19(1), (2) and (3) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information about the service | An amount corresponding to two times level 4 on the standard scale |
Regulation 20(1) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of a service agreement | An amount corresponding to level 4 on the standard scale |
Regulation 35(1) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the fitness of staff | An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 38(1) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information for staff | An amount corresponding to two times level 4 on the standard scale |
Regulation 59(1), (2) and (3) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the making and maintenance of records | An amount corresponding to two times level 4 on the standard scale |
Regulation 60(1), (2) and (4) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to notifications to the service regulator | An amount corresponding to two times level 4 on the standard scale |
Regulation 67(1) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager | An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 74(1) and (2) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report the adequacy of resources | An amount corresponding to two times level 4 on the standard scale |
Regulation 75(1) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider | An amount corresponding to two times level 4 on the standard scale |
Regulation 80(4) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review | An amount corresponding to two times level 4 on the standard scale |
Regulation 81(1) of the Service Providers Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support | An amount corresponding to two times level 4 on the standard scale |
Regulation 84(1) and (3) of the Service Providers Regulations | Contravention of, or failure to comply with requirements in relation to the responsible individual’s duty to make notifications to the service regulator | An amount corresponding to two times level 4 on the standard scale |
(1) See section 37 of the Criminal Justice Act 1982 (c. 48) (“the 1982 Act”); at the date of the coming into force of these Regulations, level 4 on the standard scale is set at £2,500 (this figure may be increased by virtue of an amendment to the 1982 Act). | ||
(This note is not part of the Order)