The Special School Residential Services (Service Providers and Responsible Individuals) (Wales) Regulations 2024

Provision creating offence	General nature of the offence	Amount of penalty
Regulation 3(3) and (5) of the Special School Residential Services 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 7(3) of the Special School Residential Services Regulations	Contravention of, or failure to comply with, requirements in relation to the financial sustainability of the service	An amount corresponding to level 4 on the standard scale
Regulation 8(1) and (2) of the Special School Residential Services 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 15(1), (2) and (3) of the Special School Residential Services 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 16(1) of the Special School Residential Services 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 31(1) of the Special School Residential Services 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 34(1) of the Special School Residential Services 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 51(1) and (2) of the Special School Residential Services Regulations	Contravention of, or failure to comply with, requirements in relation to records	An amount corresponding to two times level 4 on the standard scale
Regulation 52(1), (2) and (4) of the Special School Residential Services Regulations	Contravention of, or failure to comply with, requirements in relation to notifications	An amount corresponding to two times level 4 on the standard scale
Regulation 58(1) of the Special School Residential Services 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 65(1) and (2) of the Special School Residential Services Regulations	Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources	An amount corresponding to two times level 4 on the standard scale
Regulation 66(1) of the Special School Residential Services 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 71(4) of the Special School Residential Services 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 72(1) of the Special School Residential Services 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 75(1) and (3) of the Special School Residential Services 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

SCHEDULE 1

PART 1 — Information and documents to be available in respect of persons working at the service

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[^f00026], a copy of a valid criminal record certificate issued under section 113A of that Act together with, where applicable and when commenced by the Secretary of State, the information mentioned in section 30A(3) of the Safeguarding Vulnerable Groups Act 2006[^f00027] (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 the workforce regulator.

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 up-date 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 31(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 up-date service, the certificate is valid regardless of when it was issued.

SCHEDULE 2 — Records to be kept by the service provider

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, including any instance of refusal to take medication by 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 or restraint 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 parents or carers 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 that person performs and the number of hours for which that 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.

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.

10

A record of any furniture brought by an individual into the room occupied by that individual.

11

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

• (a) any fire;

• (b) unexplained or unauthorised absence of an individual including—

• (i) the circumstances of the absence;

• (ii) the action taken by staff;

• (iii) the circumstances of the individual’s return and the reasons given by the individual for the absence;

• (iv) any actions taken by the service provider in consequence of the 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

PART 1 — Notifications to the service regulator

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 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 unincorporated body, any change in the persons who are concerned in the management and control of the body.

5

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

6

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.

7

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

8

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

9

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

10

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

11

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.

12

Return from absence of the responsible individual.

13

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

14

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.

15

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

16

Any allegation of misconduct by a member of staff.

17

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

18

Serious accident or injury to an individual.

19

The outbreak of any infectious disease.

20

Any incident reported to the police.

21

Any events which prevent, or could prevent, the provider from continuing to provide the service safely.

22

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

23

Any request to a supervisory body in relation to the application of the deprivation of liberty safeguards in accordance with the Mental Capacity Act 2005[^f00028].

24

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

25

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

26

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

27

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

28

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[^f00029], notice of the offence charged and the place of charge.

29

Instigation and subsequent outcome of any child or adult protection enquiry involving an individual accommodated by the service.

30

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

31

Any incident of sexual or criminal exploitation of an individual or suspected sexual or criminal exploitation of an individual.

32

Any incident where an individual goes missing or has an unexplained absence.

PART 2 — Notifications to the placing authority in relation to a child who is looked after by a local authority and to a parent or carer in relation to other individuals

33

Any abuse or allegation of abuse in relation to the individual that involves the provider or a member of staff.

34

Serious accident or injury to the individual.

35

Any occurrence of category 3 or 4 pressure damage or an unstageable pressure damage sustained by the individual.

36

The outbreak of any infectious disease.

37

Any incident reported to the police relating to the individual.

38

The death of the individual while accommodated by the service and the circumstances.

39

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

40

Any incident where the individual goes missing or has an unexplained absence while accommodated at the service.

41

Any record of control or restraint in relation to the individual which is required under regulation 51 and paragraph 5(g) of Schedule 2.

42

Instigation and subsequent outcome of any child or adult protection enquiry concerning the individual in relation to events which occurred while the individual was accommodated at the service.

43

Any incident of sexual or criminal exploitation or suspected sexual or criminal exploitation of the individual.

PART 3 — Notifications to the local authority in whose area the service is situated

44

Death of an individual and the circumstances.

45

Any incident of sexual or criminal exploitation or suspected sexual or criminal exploitation of an individual.

46

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

PART 4 — Notifications to the appropriate police officer

47

Any incident of sexual or criminal exploitation or suspected sexual or criminal exploitation of an individual.

PART 5 — Notifications to the health board in whose area the service is situated

48

The outbreak of any infectious disease.

49

The death of an individual and the circumstances.

SCHEDULE 4 — Notifications by the responsible individual

1

The appointment of a manager in accordance with regulation 58(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 the 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 the appointed manager.

6

Interim arrangements where the appointed 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

Julie Morgan — Deputy Minister for Social Services under the authority of the Minister for Health and Social Services, one of the Welsh Ministers — 18 March 2024

Explanatory note

(This note is not part of the Regulations)

EXPLANATORY NOTE

The Regulated Services (Special School Residential Services) (Wales) Regulations 2023 prescribe a special school residential service as a type of regulated service which is regulated under Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016 (“the Act”) so that persons providing this type of service are required to register under the Act.

In accordance with powers in section 27 of the Act, these Regulations impose requirements on providers of a special school residential service, including requirements as to the standard of care and support to be provided.

In accordance with powers in section 28 of the Act, these Regulations impose requirements on responsible individuals in relation to a place in respect of which the individual is designated.

These Regulations also provide for offences in the event of failure by a service provider or a responsible individual to comply with specified requirements.

Guidance has been published about how service providers and responsible individuals may comply with the requirements imposed by these Regulations (including how providers may meet any standards for the provision of a special school residential service) and section 29 of the Act requires service providers and responsible individuals to have regard to this guidance.

As well as placing requirements on service providers, these Regulations also place requirements on other persons: on the “appointed person” in the event of the insolvency of the service provider and on the personal representatives of the deceased in the event of the death of a service provider who is an individual.

Part 1 of the Regulations contains definitions of certain terms used in the Regulations.

Part 2 covers general requirements on the service provider as to the way the service is provided, including requirements in relation to the statement of purpose, the arrangements for monitoring and improvement, the support to be provided to the responsible individual, the steps to be taken to ensure the financial sustainability of the service and the policies and procedures which must be in place.

Part 3 covers the requirements as to the steps to be taken before the service provider agrees to provide care and support to an individual. A service provider must not agree to provide care and support unless they have first determined that the service is suitable to meet the individual’s needs. Regulation 10 sets out the steps that must be taken and the matters which must be taken into account when making this determination. Where there is no local authority care and support plan in place, the steps to be taken include carrying out an assessment of the individual’s needs.

Part 4 covers the requirements as to the steps to be taken once the service provider has agreed to provide care and support to an individual. Before the commencement of such provision, the provider must prepare an initial personal plan which, among other things, sets out how on a day-to-day basis the individual’s needs will be met. Within 7 days of the commencement of the provision, the service provider must carry out a detailed assessment of how the individual’s care and support needs can best be met and this assessment then prompts a review of the initial personal plan.

Part 4 also makes provision for the review of personal plans and the keeping and sharing of records of the personal plan.

Part 5 deals with the requirements as to the information to be provided to individuals on the commencement of the provision of care and support. Regulation 15 requires that this information must be in the form of a written guide and sets out detailed requirements about the guide, including its contents and format. More detail of the information it is expected the guide would usually contain is in the guidance issued under section 29 of the Act.

Part 6 contains requirements as to the standard of care and support to be provided. These include overarching requirements as well as more detailed requirements relating to continuity of care, the provision of information, meeting individual’s language and communication needs and treating individuals with respect and sensitivity.

Part 7 contains specific requirements in relation to ensuring individuals are safe and protected from abuse, neglect and improper treatment. As well as requiring policies and procedures to be in place in relation to safeguarding and the appropriate use of control and restraint, the regulations in this Part place specific requirements as to the action to be taken in the event of an allegation or evidence of abuse.

Part 8 contains requirements as to staffing, which include general requirements as to the deployment of sufficient numbers of staff.

Part 8 also contains specific requirements as to the fitness of individuals working at the service. The fitness requirements include a requirement for specific information and documents to be available, as set out in Schedule 1. Persons employed to manage the regulated service must be registered with Social Care Wales, the workforce regulator. Persons employed to work in roles where they provide care and support to individuals must also be registered with Social Care Wales within six months of commencing their employment.

Other requirements contained in Part 8 include requirements relating to supporting and developing staff, providing information to staff and the operation of a disciplinary procedure. To ensure that employees report incidents of abuse to an appropriate person, the regulations in this Part require the provider’s disciplinary procedure to provide that a failure to report would be grounds for disciplinary proceedings.

Part 9 covers requirements as to premises, facilities and equipment.

Part 10 sets out additional requirements which apply to service providers if the premises which are to be used for the provision of the service fall into one of three categories: a new or converted building; an extension to a building which is used for the purpose of providing an existing special school residential service; a building which was used for the purpose of providing a special school residential service registered by another service provider but is unoccupied at the time of the service provider’s registration.

The additional requirements in Part 10 set out more specific environmental standards, including standards as to en-suite bathrooms, room sizes and the amount of communal space.

Part 11 sets out requirements as to supplies, hygiene, health and safety and medicines.

Part 12 contains miscellaneous requirements on service providers, including requirements as to the keeping of records and the making of notifications to the service regulator and other bodies. Schedule 2 sets out the records which are required to be kept and Schedule 3 sets out the specific notifications which are required to be made.

Part 12 also contains requirements on the service provider to have a complaints policy and a whistleblowing policy in place.

Parts 13 to 17 contain the requirements imposed on responsible individuals. The regulations in these Parts are made under section 28 of the Act.

Part 13 sets out requirements on responsible individuals which relate to the effective management of the service. The responsible individual has a general duty to supervise the management of the service (regulation 57) and specific duties to appoint a fit person to manage the service (regulations 58 and 59), to put arrangements in place for the management of the service when the manager is absent (regulation 63) and to visit the places where the service is being provided (regulation 64).

Part 14 contains requirements on responsible individuals for ensuring the effective oversight of the service. By placing these requirements on the responsible individual, the regulations in this Part ensure that a person of an appropriately senior level in the organisation is accountable for service quality and compliance. The responsible individual is required to make reports to the service provider on the adequacy of resources (regulation 65) and on other matters (regulation 66). The responsible individual is required to make arrangements for engagement with individuals and others so that their views on the quality of care and support provided can be taken into account by the service provider (regulation 67).

Part 15 sets out the requirements on the responsible individual for ensuring the compliance of the service with other requirements, including requirements as to the recording of incidents and complaints (regulation 68) and the keeping of records (regulation 69). The responsible individual must also put arrangements in place for ensuring that the provider’s policies and procedures are kept up to date (regulation 70).

Part 16 sets out the requirements on the responsible individual in relation to monitoring, reviewing and improving the quality of care and support provided, including making a report to the service provider.

Part 17 sets out other requirements on the responsible individual, including requirements to make certain notifications to the service regulator, contained in Schedule 4.

Part 18 deals with offences. Regulation 76 is made under the powers in section 45 of the Act and provides that failure of a service provider to comply with the requirements of specified provisions in these Regulations is an offence. There is a further qualification which applies in the case of a service provider’s failure to comply with certain requirements. In these cases, the regulation provides that this is only an offence if the failure to comply results in individuals being exposed to avoidable harm or significant risk of such harm or suffering a loss of money or property as a result of theft, misuse or misappropriation.

Regulation 77 provides that it is an offence for the responsible individual to fail to comply with the requirements of specified provisions in these Regulations. This regulation is made under section 46 of the Act.

Part 19 sets out specific requirements which apply when the service provider is insolvent or when a service provider who is an individual has died. In these circumstances, the regulations in this Part place specific notification duties on the appointed person (in the case of insolvency) or the personal representatives (in the case of the death of a service provider who is an individual). Regulation 79 enables the personal representatives to act in the capacity of the service provider and the Act is modified so that in these circumstances the personal representatives are not required to register and one of the personal representatives can be designated as the responsible individual in respect of a place where the service is provided.

Part 20 (regulation 80) specifies the circumstances in which the Welsh Ministers (instead of a service provider) may designate an individual to be a responsible individual, despite the eligibility requirements of section 21(2) of the Act not being met in respect of the individual. This regulation is made under section 21(5) of the Act.

Part 21 makes amendments to two existing sets of Regulations to incorporate amendments relating to special school residential services. The amendment to the Regulated Services (Annual Returns) (Wales) Regulations 2017 amends regulation 5 to include reference to special school residential services. The amendments to the Regulated Services (Penalty Notices) (Wales) Regulations 2019 set out which offences for breaches of requirements imposed by these Regulations can be the subject of a penalty notice issued by Welsh Ministers under section 52 of the Act.

The Welsh Ministers’ Code of Practice on the carrying out of Regulatory Impact Assessments was considered in relation to these Regulations. As a result a regulatory impact assessment has been prepared as to the likely costs and benefits of complying with these Regulations. A copy can be obtained from the Department of Health and Social Services, Welsh Government, Cathays Park, Cardiff CF10 3NQ and is published on www.gov.wales.

Footnotes

[^f00001]: Section 10(2)(a)(ix) refers to “prescribed” information and section 52(1) refers to offences which are “prescribed”. Section 189 of the Regulation and Inspection of Social Care (Wales) Act 2016 (anaw 2) defines “prescribed” as meaning “prescribed by regulations made by the Welsh Ministers”.

[^f00002]: 2016 anaw 2.

[^f00003]: References in the 2016 Act to “the National Assembly for Wales” now have effect as a reference to Senedd Cymru by virtue of section 150A(2) of the Government of Wales Act 2006 (c. 32).

[^f00004]: 2014 anaw 4.

[^f00005]: 2012 c. 9.

[^f00006]: 1997 c. 50.

[^f00007]: 1996 c. 18.

[^f00008]: 1989 c. 41.

[^f00009]: 1996 c. 56.

[^f00010]: 2010 c. 15.

[^f00011]: S.I. 2023/1327 (W. 238).

[^f00012]: Regulation 3 of S.I. 2017/1098 (W. 278) requires a person who wants to provide a special school residential service to provide a statement of purpose for each place at which the service is to be provided.

[^f00013]: 1996 c. 18.

[^f00014]: S.I. 2015/1818 (W. 261).

[^f00015]: 2010 c. 15.

[^f00016]: 1999 c. 8.

[^f00017]: 2005 c. 9.

[^f00018]: S.I. 2002/253.

[^f00019]: S.I. 2002/254.

[^f00020]: 1989 c. 41.

[^f00021]: 2014 c. 6.

[^f00022]: 2018 anaw 2.

[^f00023]: 1996 c. 56.

[^f00024]: S.I. 2017/1097 (W. 277), amended by S.I. 2019/233 (W. 52), S.I. 2020/486 (W. 111), S.I. 2021/395 (W. 126) and S.I. 2022/476 (W. 118).

[^f00025]: S.I. 2019/887 (W. 159).

[^f00026]: 1997 c. 50.

[^f00027]: 2006 c. 47. Section 30A(3) is inserted by section 72(1) of the Protection of Freedoms Act 2012 (c. 9) which is not yet in force.

[^f00028]: 2005 c. 9.

[^f00029]: S.I. 2009/37.