Regulation 24
SCHEDULE 1E+W
PART 1 E+WInformation and documents to be available in respect of persons working in regulated services
1. Proof of identity including a recent photograph.E+W
Commencement Information
I1Sch. 1 para. 1 in force at 29.4.2019, see reg. 1(2)
2. Where required for the purposes of an exempted question in accordance with section 113A(2)(b) of the Police Act 1997 M1, a copy of a valid 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) of the Safeguarding Vulnerable Groups Act 2006 (provision of barring information on request).E+W
3. 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 a valid enhanced criminal record certificate issued under section 113B of that Act together with, where applicable, suitability information relating to children (within the meaning of section 113BA(2) of that Act) or suitability information relating to vulnerable adults (within the meaning of section 113BB(2) of that Act).E+W
Commencement Information
I3Sch. 1 para. 3 in force at 29.4.2019, see reg. 1(2)
4. Two written references, including a reference from the last employer, if any.E+W
Commencement Information
I4Sch. 1 para. 4 in force at 29.4.2019, see reg. 1(2)
5. Where a person has previously worked in a position whose duties involved work with children or vulnerable adults, so far as reasonably practicable, verification of the reason why the employment or position ended.E+W
Commencement Information
I5Sch. 1 para. 5 in force at 29.4.2019, see reg. 1(2)
6. Documentary evidence of any relevant qualification.E+W
Commencement Information
I6Sch. 1 para. 6 in force at 29.4.2019, see reg. 1(2)
7. Where relevant, documentary evidence of registration with SCW.E+W
Commencement Information
I7Sch. 1 para. 7 in force at 29.4.2019, see reg. 1(2)
8. A full employment history, together with a satisfactory written explanation of any gaps in employment.E+W
Commencement Information
I8Sch. 1 para. 8 in force at 29.4.2019, see reg. 1(2)
9. Evidence of satisfactory linguistic ability for the purposes of providing advocacy to those individuals for whom the worker is to provide it.E+W
Commencement Information
I9Sch. 1 para. 9 in force at 29.4.2019, see reg. 1(2)
10. Details of registration with or membership of any professional body.E+W
Commencement Information
I10Sch. 1 para. 10 in force at 29.4.2019, see reg. 1(2)
PART 2 E+WInterpretation of Part 1
11. For the purposes of paragraphs 2 and 3 of Part 1 of this Schedule—E+W
(a)if the person to whom the certificate relates is not registered with the DBS update service, a certificate is only valid if—
(i)it has been issued in response to an application by the service provider in accordance with regulation 24(3) or (6); and
(ii)no more than three years have elapsed since the certificate was issued;
(b)if the person to whom the certificate relates is registered with the DBS update service, the certificate is valid regardless of when it was issued.
Commencement Information
I11Sch. 1 para. 11 in force at 29.4.2019, see reg. 1(2)
Regulation 31
SCHEDULE 2E+WRecords to be kept
1. In respect of each individual, records of—E+W
(a)advocacy plans and revised advocacy plans,
(b)correspondence, reports and records in relation to the matters for which advocacy is provided and the outcome.
Commencement Information
I12Sch. 2 para. 1 in force at 29.4.2019, see reg. 1(2)
2. A record of any charges by the service provider to individuals for the provision of advocacy and any additional services.E+W
Commencement Information
I13Sch. 2 para. 2 in force at 29.4.2019, see reg. 1(2)
3. A record of all complaints made by individuals or their representatives or by persons working at the service about the operation of the service, and the action taken by the service provider in respect of any such complaint.E+W
Commencement Information
I14Sch. 2 para. 3 in force at 29.4.2019, see reg. 1(2)
4. A record of all persons working at the service, which must include the following matters—E+W
(a)the person's full name, address, date of birth, qualifications and experience,
(b)a copy of the person's birth certificate and passport (if any),
(c)a copy of each reference obtained in respect of the person,
(d)the dates on which the person commences and ceases to be so employed,
(e)the position the person holds at the service, the work the person performs and the number of hours for which the person is employed each week,
(f)records of disciplinary action and any other records in relation to the person's employment,
(g)a record of the date of a DBS certificate and whether there was any action taken as a result of the content of the certificate.
Commencement Information
I15Sch. 2 para. 4 in force at 29.4.2019, see reg. 1(2)
Regulation 32
SCHEDULE 3E+WNotifications by the service provider
1. Any revision to the statement of purpose, 28 days prior to the revised statement of purpose coming into effect.E+W
Commencement Information
I16Sch. 3 para. 1 in force at 29.4.2019, see reg. 1(2)
2. Service provider (individual or organisation) changes their name.E+W
Commencement Information
I17Sch. 3 para. 2 in force at 29.4.2019, see reg. 1(2)
[F13. Where, on or after 1 April 2020, the service provider is a body corporate, any change in the—E+W
(a)directors,
(b)trustees, or
(c)members of the managing committee,
of the body corporate.]
Textual Amendments
F1Sch 3. paras. 3, 3A substituted for Sch. 3 para. 3 (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), 9(a)
[F13A. Where, on or after 1 April 2020, the service provider is an unincorporated body, any change in the persons who are concerned in the management and control of the body.]E+W
Textual Amendments
F1Sch 3. paras. 3, 3A substituted for Sch. 3 para. 3 (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), 9(a)
4. Where the service provider is an individual, the appointment of a trustee in bankruptcy in relation to that individual.E+W
Commencement Information
I18Sch. 3 para. 4 in force at 29.4.2019, see reg. 1(2)
5. Where the service provider is a body corporate or partnership, the appointment of a receiver, manager, liquidator or provisional liquidator in relation to that [F2body corporate] or partnership.E+W
Textual Amendments
F2Words in Sch. 3 para. 5 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), 9(b)
Commencement Information
I19Sch. 3 para. 5 in force at 29.4.2019, see reg. 1(2)
6. Where the service provider is a partnership, death of one of the partners.E+W
Commencement Information
I20Sch. 3 para. 6 in force at 29.4.2019, see reg. 1(2)
7. Where the service provider is a partnership, any change in the partners.E+W
Commencement Information
I21Sch. 3 para. 7 in force at 29.4.2019, see reg. 1(2)
8. Expected absence of the responsible individual for 28 days or more, 7 days prior to commencement of the absence.E+W
Commencement Information
I22Sch. 3 para. 8 in force at 29.4.2019, see reg. 1(2)
9. The unexpected absence of the responsible individual, no later than 7 days after the commencement of the absence.E+W
Commencement Information
I23Sch. 3 para. 9 in force at 29.4.2019, see reg. 1(2)
10. Unexpected absence of the responsible individual for 28 days or more, where no prior notification has been given, immediately on the expiry of 28 days following the commencement of the absence.E+W
Commencement Information
I24Sch. 3 para. 10 in force at 29.4.2019, see reg. 1(2)
11. Return from absence of the responsible individual.E+W
Commencement Information
I25Sch. 3 para. 11 in force at 29.4.2019, see reg. 1(2)
12. The responsible individual ceases, or proposes to cease, being the responsible individual for the service.E+W
Commencement Information
I26Sch. 3 para. 12 in force at 29.4.2019, see reg. 1(2)
13. Any abuse or allegation of abuse in relation to an individual that involves the service provider and/or a member of staff.E+W
Commencement Information
I27Sch. 3 para. 13 in force at 29.4.2019, see reg. 1(2)
14. Service provider, responsible individual or appointed manager convicted of a criminal offence.E+W
Commencement Information
I28Sch. 3 para. 14 in force at 29.4.2019, see reg. 1(2)
15. Any allegation of misconduct by a member of staff.E+W
Commencement Information
I29Sch. 3 para. 15 in force at 29.4.2019, see reg. 1(2)
16. Any incident reported to the police.E+W
Commencement Information
I30Sch. 3 para. 16 in force at 29.4.2019, see reg. 1(2)
17. Any events which prevent, or could prevent, the provider from continuing to provide the service safely.E+W
Commencement Information
I31Sch. 3 para. 17 in force at 29.4.2019, see reg. 1(2)
18. Any proposal to change the address of the principal office, 28 days prior to the change taking place.E+W
Commencement Information
I32Sch. 3 para. 18 in force at 29.4.2019, see reg. 1(2)
[F318A. Any change of telephone number or electronic mail address for the service.]E+W
Textual Amendments
19. Any referral to the DBS pursuant to the Safeguarding Vulnerable Groups Act 2006 M2.E+W
20. Where the service provider, responsible individual or appointed manager is charged with any offence specified in the Schedule to the Safeguarding Vulnerable Groups Act 2006 (Prescribed Criteria and Miscellaneous Provisions) Regulations 2009 M3, notice of the offence charged and the place of charge.E+W
21. Incident of child sexual or criminal exploitation or suspected child sexual or criminal exploitation.E+W
Commencement Information
I35Sch. 3 para. 21 in force at 29.4.2019, see reg. 1(2)
Regulation 54
SCHEDULE 4E+WNotifications by the responsible individual
1. The appointment of a manager (see regulation 41).E+W
Commencement Information
I36Sch. 4 para. 1 in force at 29.4.2019, see reg. 1(2)
2. The expected absence of the appointed manager for 28 days or more, 7 days prior to the commencement of the absence.E+W
Commencement Information
I37Sch. 4 para. 2 in force at 29.4.2019, see reg. 1(2)
3. The unexpected absence of the appointed manager, no later than 7 days after the commencement of the absence.E+W
Commencement Information
I38Sch. 4 para. 3 in force at 29.4.2019, see reg. 1(2)
4. The unexpected absence of appointed manager for 28 days or more where no prior notification has been given, immediately on the expiry of 28 days following the commencement of the absence.E+W
Commencement Information
I39Sch. 4 para. 4 in force at 29.4.2019, see reg. 1(2)
5. Return from absence of appointed manager.E+W
Commencement Information
I40Sch. 4 para. 5 in force at 29.4.2019, see reg. 1(2)
6. Interim arrangements where the manager is absent for longer than 28 days.E+W
Commencement Information
I41Sch. 4 para. 6 in force at 29.4.2019, see reg. 1(2)
7. Someone other than the appointed manager is proposing to manage or is managing the service.E+W
Commencement Information
I42Sch. 4 para. 7 in force at 29.4.2019, see reg. 1(2)
8. The appointed manager ceases, or proposes to cease, managing the service.E+W
Commencement Information
I43Sch. 4 para. 8 in force at 29.4.2019, see reg. 1(2)