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

• (2) For Category B premises, this regulation applies so that the space requirement must be met in relation to any additional rooms for individuals.

Additional requirements – outdoor space

53

The external grounds (or, in the case of Category B premises, any part of the external grounds developed in conjunction with the building of the extension) which are used for the provision of the service in accordance with regulation 44(10) must—

• (a) be accessible to individuals in wheelchairs or with other mobility problems,

• (b) have sufficient and suitable seating, and

• (c) be designed to meet the needs of all individuals including those with physical, sensory and cognitive impairments.

Additional requirements – passenger lift

54

Where the accommodation used for the provision of the service is on more than one floor and this is consistent with the statement of purpose for the service, there must be a passenger lift.

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

Supplies

55

The service provider must ensure that supplies are available of a sufficient quantity and of a suitable type to deliver the service effectively and to meet the care and support needs of the individuals.

Hygiene and infection control

56

• (1) The service provider must have arrangements in place to ensure—

• (a) satisfactory standards of hygiene in the delivery of the service;

• (b) the appropriate disposal of general and clinical waste.

• (2) The service provider must have policies and procedures in place for the control of infection and to minimise the spread of infection and must ensure that the service is provided in accordance with these policies and procedures.

Health and safety

57

The service provider must ensure that any risks to the health and safety of individuals are identified and reduced so far as reasonably practicable.

Medicines

58

• (1) The service provider must have arrangements in place to ensure that medicines are stored and administered safely.

• (2) These arrangements must include the arrangements for—

• (a) maintaining a sufficient supply of medicines;

• (b) the effective ordering, re-ordering, recording, handling and disposal of medicines;

• (c) regular auditing of the storage and administration of medicines.

• (3) The service provider must have a policy and procedures in place in relation to the safe storage and administration of medicines and must ensure that the service is provided in accordance with this policy and these procedures.

PART 15 — Other requirements on service providers

Records

59

• (1) The service provider must keep and maintain the records specified in Part 1 of Schedule 2 in respect of each place at, from or in relation to which the service is provided.

• (2) Where the service provider is registered to provide a care home service, a secure accommodation service or a residential family centre service, the service provider must in addition keep and maintain the records specified in Part 2 of Schedule 2 in respect of each place at which such a service is provided.

• (3) The service provider must—

• (a) ensure that records relating to individuals are accurate and up to date;

• (b) keep all records securely;

• (c) make arrangements for the records to continue to be kept securely in the event the service closes;

• (d) in the case of records about a child accommodated in a care home service provided wholly or mainly for children, ensure that the records are delivered to the placing authority when the service ceases to be provided in respect of the child to whom the records relate;

• (e) make the records available to the service regulator on request;

• (f) retain records relating to adults for three years from the date of the last entry;

• (g) retain records relating to children for fifteen years from the date of the last entry, unless the records are returned to the placing authority in accordance with sub-paragraph (d);

• (h) ensure that individuals who use the service—

• (i) can have access to their records; and

• (ii) are made aware they can access their records.

Notifications

60

• (1) The service provider must notify the service regulator of the events specified in Parts 1 and 2 of Schedule 3.

• (2) Where the service provider is providing a care home service for children, the provider must—

• (a) notify the placing authority of the events specified in Part 3 of Schedule 3;

• (b) notify the local authority for the area in which the home is situated of the events specified in Part 4 of Schedule 3;

• (c) notify the appropriate police officer of the events specified in Part 5 of Schedule 3;

• (d) notify the health board in whose area the home is situated of the events specified in Part 6 of Schedule 3.

• (3) The notifications required by paragraphs (1) and (2) must include details of the event.

• (4) Unless otherwise stated, notifications must be made without delay and in writing.

• (5) Notifications must be made in such manner and in such form as may be required by the service regulator.

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

61

• (1) This regulation applies where the service provider is registered to provide—

• (a) a care home service which provides accommodation to children (referred to in this regulation as “a children's care home service”), or

• (b) a secure accommodation service.

• (2) In this regulation, references to “the accommodation” are references to the place at which a children's care home service or a secure accommodation service is provided.

• (3) The service provider must notify, without delay, the local authority for the area in which the accommodation is located of every admission of a child into the accommodation and every discharge of a child from the accommodation.

• (4) The service provider is not required to notify the local authority in paragraph (3) if that local authority is also the placing authority for the child in question.

• (5) A notification under this regulation must be in writing and must state—

• (a) the child's name and date of birth;

• (b) whether the child is provided with accommodation under section 76 or 77 of the 2014 Act or, in the case a child placed by a local authority in England, whether the child is provided with accommodation under section 20 or 21 of the Children Act 1989;

• (c) whether the child is subject to a care or supervision order under section 31 of the Children Act 1989;

• (d) the contact details for—

• (i) the child's placing authority; and

• (ii) the independent reviewing officer appointed for the child's case; and

• (e) whether the child has a statement of special educational needs or an EHC plan and, if so, details of the local authority with responsibility for maintaining the statement of special educational needs or for the EHC plan.

• (6) In this regulation, “EHC plan” has the meaning given in section 37(2) (education, health and care plans) of the Children and Families Act 2014 .

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

62

• (1) This regulation applies where a child to whom a secure accommodation service is provided dies.

• (2) Any requirements imposed by this regulation apply to the service provider of the secure accommodation service which was providing accommodation to the child at the time of the death.

• (3) If this regulation applies, the service provider must without delay notify—

• (a) the appropriate office of the service regulator;

• (b) the placing authority;

• (c) the local authority in whose area the secure accommodation service is located;

• (d) the Local Health Board in whose area the secure accommodation service is located;

• (e) the Prisons and Probation Ombudsman for England and Wales (“the PPO”); and

• (f) the child's parent or person who has parental responsibility for the child.

• (4) The service provider must allow the PPO to investigate the death by—

• (a) granting the PPO access to—

• (i) the premises of the service, and

• (ii) the service's documents and records;

• (b) allowing the PPO to take away from the premises copies of any documents or records accessed under sub-paragraph (a)(ii) provided that the PPO has secure arrangements for doing so; and

• (c) if they consent, allowing the PPO to interview in private any children, parents (or persons with parental responsibility) or relatives, or persons working at the service.

• (5) A notification under this regulation—

• (a) must include details of—

• (i) the circumstances of the death;

• (ii) the other persons, bodies or organisations (if any) who or which the service provider has notified or proposes to notify; and

• (iii) any actions the service provider has taken or proposes to take as a result of the death;

• (b) must be made or confirmed in writing.

• (6) In this regulation, references to PPO include a person appointed by, or working on behalf of, the PPO for the purposes of an investigation under paragraph (2).

Conflicts of interest (including prohibitions)

63

• (1) The service provider must have effective arrangements in place to identify, record and manage potential conflicts of interest.

• (2) The service provider must ensure that a person having a financial interest in the ownership of a care home service does not act as a medical practitioner for any individual for whom that service is provided.

Complaints policy and procedure

64

• (1) The service provider must have a complaints policy in place and ensure that the service is operated in accordance with that policy.

• (2) The service provider must have effective arrangements in place for dealing with complaints including arrangements for—

• (a) identifying and investigating complaints;

• (b) giving an appropriate response to a person who makes a complaint, if it is reasonably practicable to contact that person;

• (c) ensuring that appropriate action is taken following an investigation;

• (d) keeping records relating to the matters in sub-paragraphs (a) to (c).

• (3) The service provider must provide a summary of complaints, responses and subsequent action to the service regulator within 28 days of being requested to do so.

• (4) The service provider must—

• (a) analyse information relating to complains and concerns; and

• (b) having regard to that analysis, identify any areas for improvement.

Whistleblowing

65

• (1) The service provider must have arrangements in place to ensure that all persons working at the service (including any person allowed to work as a volunteer) are able to raise concerns about matters that may adversely affect the health, safety or well-being of individuals for whom the service is provided.

• (2) These arrangements must include—

• (a) having a whistleblowing policy in place and acting in accordance with that policy, and

• (b) establishing arrangements to enable and support people working at the service to raise such concerns.

• (3) The provider must ensure that the arrangements required under this regulation are operated effectively.

• (4) When a concern is raised, the service provider must ensure that—

• (a) the concern is investigated;

• (b) appropriate steps are taken following an investigation;

• (c) a record is kept of both the above.

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

Supervision of management of the service

66

The responsible individual must supervise the management of the service, which includes taking the steps described in regulations 64, 72 and 73.

Duty to appoint a manager

67

• (1) The responsible individual must appoint a person to manage the service. But this requirement does not apply if the conditions in paragraph (2) or (3) apply.

• (2) The conditions are—

• (a) the service provider is an individual;

• (b) the service provider proposes to manage the service;

• (c) the service provider is fit to manage the service;

• (d) the service provider is registered as a social care manager with Social Care Wales; and

• (e) the service regulator agrees to the service provider managing the service.

• (3) The conditions are—

• (a) the service provider is a partnership, body corporate or unincorporated body;

• (b) the service provider is registered to provide a care home service or residential family centre service at no more than two locations or is registered to provide a domiciliary support service in relation to no more than two areas;

• (c) the service provider proposes that the individual designated as the responsible individual for the service is to be appointed to manage the service;

• (d) that individual is fit to manage the service;

• (e) that individual is registered as a social care manager with Social Care Wales; and

• (f) the service regulator agrees to that individual managing the service.

• (4) For the purposes of paragraph (2)(c), the service provider is not fit to manage the service unless the requirements of regulation 35(2) (fitness of staff) are met in respect of the service provider.

• (5) The duty in paragraph (1) is not discharged if the person appointed to manage the service is absent for a period of more than three months.

Fitness requirements for appointment of manager

68

• (1) The responsible individual must not appoint a person to manage the service unless that person is fit to do so.

• (2) For the purposes of paragraph (1), a person is not fit to manage the service unless the requirements of regulation 35(2) (fitness of staff) are met in respect of that person.

Restrictions on appointing manager for more than one service

69

• (1) The responsible individual must not appoint a person to manage more than one service, unless paragraph (2) applies.

• (2) This paragraph applies if—

• (a) the service provider has applied to the service regulator for permission to appoint a manager for more than one service, and

• (b) the service regulator is satisfied that the proposed management arrangements—

• (i) will not have an adverse impact on the health or well-being of individuals, and

• (ii) will provide reliable and effective oversight of each service.

Duty to report the appointment of manager to service provider

70

On the appointment of a manager in accordance with regulation 67(1), the responsible individual must give notice to the service provider of—

• (a) the name of the person appointed, and

• (b) the date on which the appointment is to take effect.

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

71

• (1) On the appointment of a manager in accordance with regulation 67(1), the responsible individual must give notice to the workforce and service regulators of—

• (a) the name, date of birth and Social Care Wales registration number of the person appointed, and

• (b) the date on which the appointment is to take effect.

• (2) In a case where the service provider is an individual and the service regulator has agreed to the service provider managing the service, the service provider must give notice to the workforce regulator of—

• (a) the name, date of birth and Social Care Wales registration number of the service provider, and

• (b) the date from which the service provider is to manage the service.

Arrangements when manager is absent

72

• (1) The responsible individual must put suitable arrangements in place to ensure that the service is managed effectively at any time when there is no manager or when the manager is not present at the service.

• (2) If there is no manager or the manager is not present at the service for a period of more than 28 days, the responsible individual must—

• (a) notify the service provider and the service regulator, and

• (b) inform them of the arrangements which have been put in place for the effective management of the service.

Visits

73

• (1) In the case of care home services, secure accommodation services and residential family centre services , the responsible individual must—

• (a) visit each place in respect of which the responsible individual is designated, and

• (b) meet with staff and individuals at each such place.

• (2) In the case of a domiciliary support service, the responsible individual must—

• (a) meet with members of staff who are employed to provide a regulated service at, from or in relation to each place in respect of which the responsible individual is designated, and

• (b) meet with individuals for whom a regulated service is being provided at, from or in relation to each such place.

• (3) The frequency of such visits and meetings is to be determined by the responsible individual having regard to the statement of purpose but must be at least every three months.

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

Oversight of adequacy of resources

74

• (1) The responsible individual must report to the service provider on the adequacy of the resources available to provide the service in accordance with the requirements on service providers in Parts 3 to 15 of these Regulations.

• (2) Such reports must be made on a quarterly basis.

• (3) But this requirement does not apply where the service provider is an individual.

Other reports to the service provider

75

• (1) The responsible individual must, without delay, report to the service provider—

• (a) any concerns about the management or provision of the service;

• (b) any significant changes to the way the service is managed or provided;

• (c) any concerns that the service is not being provided in accordance with the statement of purpose for the service.

• (2) But this requirement does not apply where the service provider is an individual.

Engagement with individuals and others

76

• (1) The responsible individual must put suitable arrangements in place for obtaining the views of—

• (a) the individuals who are receiving care and support,

• (b) any representatives of those individuals,

• (c) in the case of a child who is provided with accommodation, the placing authority,

• (d) service commissioners, and

• (e) staff employed at the service, on the quality of care and support provided and how this can be improved.

• (2) The responsible individual must report the views obtained to the service provider so that these views can be taken into account by the service provider when making any decisions on plans for improvement of the quality of care and support provided by the service.

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

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

77

The responsible individual must ensure that there are effective systems in place to record incidents, complaints and matters on which notifications must be made in accordance with regulations 60 to 62 and 84.

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

78

The responsible individual must ensure that there are effective systems in place in relation to the keeping of records, which include systems for ensuring the accuracy and completeness of records which are required to be kept by regulation 59.

Duty to ensure policies and procedures are up to date

79

The responsible individual must put suitable arrangements in place to ensure that the service provider's policies and procedures are kept up to date, having regard to the statement of purpose.

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

Quality of care review

80

• (1) The responsible individual must put suitable arrangements in place to establish and maintain a system for monitoring, reviewing and improving the quality of care and support provided by the service.

• (2) The system established under paragraph (1) must make provision for the quality of care and support to be reviewed as often as required but at least every six months.

• (3) As part of any review undertaken, the responsible individual must make arrangements for—

• (a) considering the outcome of the engagement with individuals and others, as required by regulation 76;

• (b) analysing the aggregated data on incidents, notifiable incidents, safeguarding matters, whistleblowing, concerns and complaints;

• (c) reviewing any action taken in relation to complaints;

• (d) considering the outcome of any audit of the accuracy and completeness of records.

• (4) On completion of a review of the quality of care and support in accordance with this regulation, the responsible individual must prepare a report to the service provider which must include—

• (a) an assessment of the standard of care and support provided, and

• (b) recommendations for the improvement of the service.

• (5) But the requirement in paragraph (4) does not apply where the service provider is an individual.

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

81

• (1) The responsible individual must prepare the statement required to be included in the annual return under section 10(2)(b) of the Act, in so far as it relates to the place or places in respect of which the responsible individual has been designated.

• (2) When preparing the statement, the responsible individual must have regard to the assessment of the standard of care and support which is contained in a report prepared in accordance with regulation 80(4).

PART 20 — Other requirements on responsible individuals

Support for staff raising concerns

82

The responsible individual must ensure that the provider's whistleblowing policy is being complied with and that the arrangements to enable and support people working at the service to raise such concerns are being operated effectively.

Duty of candour

83

The responsible individual must act in an open and transparent way with—

• (a) individuals who are receiving care and support;

• (b) any representatives of those individuals;

• (c) in the case of a child who is provided with accommodation, the placing authority.

Notifications

84

• (1) The responsible individual must notify the service regulator of the events specified in Schedule 4

• (2) The notifications required by paragraph (1) must include details of the event.

• (3) Unless otherwise stated, notifications must be made without delay and in writing.

• (4) Notifications must be made in such manner and in such form as may be required by the service regulator.

PART 21 — Offences

Offences – service providers

85

• (1) It is an offence for a service provider to fail to comply with a requirement of any of the provisions specified in paragraph (2) .

• (2) The provisions specified for the purposes of paragraph (1) are the provisions of regulations 7(3), 7(5), 11(3), 12(1), 12(2), 19(1), 19(2), 19(3), 20(1), 35(1), 38(1), 59(1), 59(2), 59(3), 60(1), 60(2), 60(4), 61(3) and 62(3).

• (3) A service provider commits an offence if the provider fails to comply with a requirement of any of the provisions specified in paragraph (4) and such failure results in—

• (a) avoidable harm (whether of a physical or psychological nature) to an individual,

• (b) an individual being exposed to a significant risk of such harm occurring, or

• (c) in a case of theft, misuse or misappropriation of money or property, any loss by an individual of the money or property concerned.

• (4) The provisions specified for the purposes of paragraph (3) are the provisions of regulations 6, 7(1), 12(5), 14(1), 14(3), 15(1), 15(3), 15(5), 16(1), 16(5), 18(1), 18(6), 18(7), 21(1), 21(2), 22, 26, 33(2), 34(1), 34(2) and 34(3).

Offences – responsible individuals

86

• (1) It is an offence for the responsible individual to fail to comply with a requirement of any of the provisions specified in paragraph (2) .

• (2) The provisions specified for the purposes of paragraph (1) are the provisions of regulations 67(1), 68(1), 71(1), 71(2), 73(1), 73(2), 73(3), 74(1), 74(2), 75(1), 80(4), 81(1), 84(1) and 84(3).

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

Appointment of liquidators etc.

87

• (1) An appointed person must—

• (a) without delay, give written notification to the service regulator of their appointment and the reasons for their appointment;

• (b) within 28 days of their appointment, notify the service regulator of their intentions regarding the future operation of the service.

• (2) In this regulation—

• “appointed person” (“person a benodir”) has the same meaning as in section 30 of the Act;

• “the service” (“y gwasanaeth”) means the regulated service or services which the service provider to which the appointment relates is registered to provide.

Death of service provider

88

• (1) Where a service provider who is an individual has died, the personal representatives of the individual must—

• (a) without delay, give written notification of the death to the service regulator;

• (b) within 28 days of the death, notify the service regulator of their intentions regarding the future operation of the service.

• (2) The personal representatives of the individual may act in the capacity of the service provider for a period not exceeding 28 days or for such longer period (not exceeding one year) as the service regulator may agree.

• (3) Where the personal representatives are acting in the capacity of the service provider in accordance with paragraph (2), Part 1 of the Act applies with the following modifications—

• (a) section 5 (requirement to register) does not apply;

• (b) in section 21(2) (responsible individuals) after paragraph (a) insert—

(aa) where the personal representatives of a service provider who has died are acting in the capacity of the service provider, be one of the personal representatives;

• (4) In this regulation, “the service” means the regulated service or services which the service provider who has died was registered to provide at the time of their death.

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

Designation of responsible individual by Welsh Ministers

89

The Welsh Ministers (instead of a service provider) may designate an individual to be a responsible individual, despite the requirements of section 21(2) of the Act not being met in respect of the individual, in the following circumstances—

• (a) the service provider is an individual who has died and the personal representatives of the service provider have notified the service regulator that they do not intend to make an application under section 11(1)(c) of the Act;

• (b) the service provider is an individual and they have notified the service regulator—

• (i) that they are no longer able to comply with their duties as a responsible individual, and

• (ii) the reasons for this being the case;

• (c) the service provider is a corporate body or partnership and they have notified the service regulator—

• (i) that the individual designated by the service provider as the responsible individual is no longer able to comply with their duties as a responsible individual,

• (ii) the reasons for this being the case, and

• (iii) that there is no other individual who is eligible to be a responsible individual and who is able to comply with the duties of a responsible individual.

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 accordance with section 113A(2)(b) of the Police Act 1997 , 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).

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).

4

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

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.

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 of any gaps in employment.

9

Evidence of satisfactory linguistic ability for the purposes of providing care and support to those individuals for whom the worker is to provide care and support.

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 1 of this Schedule—

• (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 34(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.

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—

• (a) all relevant assessments;

• (b) personal plans;

• (c) reviews of personal plans;

• (d) care and support plans;

• (e) reviews of care and support plans;

• (f) care provided, including daily records or records of specific care interventions;

• (g) correspondence, reports and records in relation to additional support provided by education, health and other allied services.

2

A record of any charges by the service provider to individuals for the provision of care and support and any additional services.

3

A record of all medicines kept in the service for each individual and the date and time on which they were administered to the individual.

4

A record of all money or other valuables deposited by the individual for safekeeping or received on the individual's behalf, which must include a record of—

• (a) the date on which the money or valuables were deposited or received;

• (b) the date on which any money or valuables were—

• (i) returned to the individual, or

• (ii) used, at the request of the individual, on their behalf;

• (c) where applicable, the purpose for which the money or valuables were used;

• (d) the written acknowledgment of the return of the money or valuables.

5

A record of the following events that occur in the service—

• (a) any serious accident or injury which is significantly detrimental to the well-being of an individual;

• (b) the outbreak of infectious disease in the service;

• (c) any theft or burglary;

• (d) any safeguarding referral made in respect of an individual;

• (e) falls and consequent treatment provided to an individual;

• (f) incidence of pressure damage and of consequent treatment provided to an individual;

• (g) date and circumstances of any measures of control, restraint or discipline used on an individual.

6

A record of every fire practice, drill or test of fire equipment (including fire alarm equipment) conducted in the service and of any action taken to remedy defects in the fire equipment.

7

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.

8

A record of all persons working at the service, which must include the following matters—

• (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 he or she performs and the number of hours for which he or she 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.

9

A copy of the duty roster of persons working at the service, and a record of whether the roster was actually worked as intended.

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 the room occupied by him or her.

11

A record of any of the following events that occur in the service—

• (a) any fire;

• (b) unexplained or unauthorised absence;

• (c) death of an individual.

12

A record of all visitors to the service, including the names of visitors and the persons they are visiting.

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 to the revised statement of purpose coming into effect.

2

Service provider (individual or organisation) changes their name.

3

Where, on or after 1 April 2020, the service provider is a body corporate, any change in the—

• (a) directors,

• (b) trustees, or

• (c) members of the managing committee,

of the body corporate.

4

Where the service provider is an individual, the appointment of a trustee in bankruptcy in relation to that individual.

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 body corporate or partnership.

6

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

7

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

8

Expected absence of the responsible individual for 28 days or more, 7 days prior to commencement of the absence.

9

The unexpected absence of the responsible individual, no later than 7 days after the commencement of the absence.

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.

11

Return from absence of the responsible individual.

12

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

13

Any abuse or allegation of abuse in relation to an individual that involves the service provider and/or a member of staff and/or a volunteer.

14

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

15

Any allegation of misconduct by a member of staff.

16

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

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 continuing to provide the service safely.

21

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

22

Any request to a supervisory body in relation to the application of the deprivation of liberty safeguards (DOLS).

23

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

24

Additional premises are, or are proposed to be acquired.

25

Any proposal to change the address of the principal office, 28 days prior to the change taking place.

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 Groups Act 2006.

27

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 , notice of the offence charged and the place of charge.

28

Instigation and subsequent outcome of any child protection enquiry involving a child accommodated by the service.

29

Any allegation that a child accommodated by the service has committed a serious offence.

30

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

31

Any incident where an accommodated child goes missing or has an unexplained absence.

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 child accommodated by the service that involves the provider or a member of staff.

33

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

34

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

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 the circumstances.

38

Any referral to the DBS pursuant to the Safeguarding Vulnerable Groups Act 2006.

39

An allegation that a child accommodated by the service has committed a serious offence.

40

Any incident where an accommodated child goes missing or has an unexplained absence.

41

Instigation and subsequent outcome of any child protection enquiry involving a child accommodated by the service.

42

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

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 child sexual or criminal exploitation.

45

Any incident where an accommodated child goes missing or has an unexplained absence.

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 child sexual or criminal exploitation.

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 or more, 7 days prior to the commencement of the absence.

3

The unexpected absence of the appointed manager, no later than 7 days after the commencement of the absence.

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.

5

Return from absence of appointed manager.

6

Interim arrangements where the manager is absent for longer than 28 days.

7

Someone other than the appointed manager is proposing to manage or is managing the service.

8

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

Signed

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 — 2017-12-12

Explanatory note

(This note is not part of the Regulations)

Footnotes

Editorial notes