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The Local Authority Adoption Services (Wales) Regulations 2019

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PART 1General

Title and commencement

1.—(1) The title of these Regulations is the Local Authority Adoption Services (Wales) Regulations 2019.

(2) These Regulations come into force on 29 April 2019.

Interpretation

2.—(1) In these Regulations—

“the Act” (“y Ddeddf”) means the Adoption and Children Act 2002;

“the 2016 Act” (“Deddf 2016”) means the Regulation and Inspection of Social Care (Wales) Act 2016(1);

“adoption support services” (“gwasanaethau cymorth mabwysiadu”) has the meaning given in section 2(6) of the Act and regulation 3 of the Adoption Support Services (Local Authorities) (Wales) Regulations 2005(2);

“DBS certificate” (“tystysgrif GDG”) means a certificate of a type referred to in paragraph 2 or 3 of Schedule 2;

“Disclosure and Barring Service” (“y Gwasanaeth Datgelu a Gwahardd”) and “DBS” (“GDG”) mean the body formed by section 87(1) of the Protection of Freedoms Act 2012(3);

“employee” (“cyflogai”) has the same meaning as in section 230(1) of the Employment Rights Act 1996(4);

“individual” (“unigolyn”) means, unless the context indicates otherwise—

(a)

a child who may be adopted, their parent or guardian,

(b)

a person wishing to adopt a child, or

(c)

an adopted person, their parent, birth parent or former guardian,

who is receiving support of the type which a local authority adoption service is required to provide in accordance with the Adoption Agencies (Wales) Regulations 2005(5) or the Access to Information (Post-Commencement Adoptions) (Wales) Regulations 2005(6), or

(d)

any person receiving adoption support services;

“local authority adoption service” (“gwasanaeth mabwysiadu awdurdod lleol”) means the discharge by a local authority of the functions under the Act of making or participating in arrangements for the adoption of children or the provision of adoption support services;

“local authority in England” (“awdurdod lleol yn Lloegr”) means—

(a)

a county council in England,

(b)

a district council for an area in England for which there is no county council,

(c)

a London borough council, or

(d)

the Common Council of the City of London;

“reasonable adjustments” (“addasiadau rhesymol”) means such reasonable adjustments as would be required under the Equality Act 2010(7);

“representative” (“cynrychiolydd”) means any person having legal authority, or the consent of the individual, to act on the individual’s behalf;

“the service” (“y gwasanaeth”) means the local authority adoption service;

“service provider” (“darparwr gwasanaeth”) means the local authority providing the local authority adoption service;

“service regulator” (“y rheoleiddiwr gwasanaethau”) means the Welsh Ministers in the exercise of their regulatory functions as defined in section 3(1)(b) of the 2016 Act;

“social care manager” (“rheolwr gofal cymdeithasol”) has the meaning given in section 79(1)(b) of the 2016 Act;

“Social Care Wales” (“Gofal Cymdeithasol Cymru”) has the meaning given in section 67(3) of the 2016 Act;

“staff” (“staff”) includes—

(a)

persons employed by the service provider to work at the service as an employee or a worker, and

(b)

persons engaged by the service provider under a contract for services,

but does not include persons who are allowed to work as volunteers;

“statement of purpose” (“datganiad o ddiben”) means the document containing the information which must be provided in accordance with Schedule 1 for the place in relation to which the service is provided;

“worker” (“gweithiwr”) has the same meaning as in section 230(3) of the Employment Rights Act 1996.

(2) In these Regulations, where used in relation to the support provided to an “individual” as defined in this regulation, “support” includes—

(a)the support which a local authority adoption service is required to provide to individuals in the course of arranging an adoption or after an adoption has been arranged in accordance with the Adoption Agencies (Wales) Regulations 2005 or the Access to Information (Post-Commencement Adoptions) (Wales) Regulations 2005, or

(b)the adoption support services which a local authority provides or arranges to provide(8).

PART 2General requirements on service providers

Requirements in relation to the provision of the service

3.  The service provider must ensure that the service is provided with sufficient care, competence and skill, having regard to the statement of purpose.

Content of statement of purpose

4.  The service provider must prepare a statement of purpose which contains the information listed in Schedule 1.

Requirements in relation to statement of purpose

5.—(1) The service provider must provide the service in accordance with the statement of purpose.

(2) The service provider must—

(a)keep the statement of purpose under review, and

(b)where appropriate, revise the statement of purpose.

(3) Unless paragraph (4) applies, the service provider must notify the persons listed in paragraph (6) of any revision to be made to the statement of purpose at least 28 days before it is to take effect.

(4) This paragraph applies in cases where it is necessary to revise the statement of purpose with immediate effect.

(5) If paragraph (4) applies, the service provider must, without delay, notify the persons listed in paragraph (6) of any revision made to the statement of purpose.

(6) The persons who must be notified of any revision to the statement of purpose in accordance with paragraph (3) or (5) are—

(a)the service regulator;

(b)individuals;

(c)any representatives, unless it is not appropriate to do so or would be inconsistent with the well-being of an individual.

(7) The service provider must provide the up to date statement of purpose to any person on request, unless it is not appropriate to do so or would be inconsistent with the well-being of an individual.

Requirements in relation to monitoring and improvement

6.—(1) The service provider must ensure that there are effective arrangements in place for monitoring, reviewing and improving the quality of the service.

(2) Those arrangements must include arrangements for seeking the views of—

(a)individuals;

(b)any representatives, unless this is not appropriate or would be inconsistent with the individual’s well-being;

(c)any other local authority or local authority in England which has arranged for the provision of adoption support services by the service;

(d)staff,

on the quality of the service and how this can be improved.

(3) When making any decisions on plans for improvement of the quality of the service, the service provider must—

(a)take into account the views of those persons consulted in accordance with paragraph (2), and

(b)have regard to the quality of service report prepared by the manager in accordance with regulation 39(4).

Requirement to appoint a manager

7.—(1) Each service provider must appoint one of its officers to be responsible for the management of the service.

(2) The service provider must immediately give notice in writing to the service regulator of—

(a)the name of the person appointed as manager, and

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

(3) The service provider must notify the service regulator in writing if the person appointed under paragraph (1) ceases to manage the service.

Fitness requirements for appointment of manager

8.—(1) The service provider 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 22(2) (fitness of staff) are met in respect of that person.

Other requirements in relation to the manager

9.—(1) A service provider must ensure that the person who is appointed as the manager—

(a)is supported to carry out their duties effectively, and

(b)undertakes appropriate training.

(2) The service provider must ensure that the manager complies with the requirements of Parts 9 to 12 (duties to be carried out by the manager).

(3) In the event that the service provider has reason to believe that the manager has not complied with a requirement imposed by the regulations in Parts 9 to 12, the service provider must take such action as is necessary to ensure that the requirement is complied with.

(4) The service provider must put suitable arrangements in place to ensure that the service is managed effectively at any time when there is no manager appointed or when the manager is absent from the service.

Requirements to provide the service in accordance with policies and procedures

10.—(1) The service provider must ensure that the following policies and procedures are in place for the service—

(a)safeguarding (see regulation 19);

(b)supporting and developing staff (see regulation 23);

(c)staff discipline (see regulation 25);

(d)complaints (see regulation 31);

(e)whistleblowing (see regulation 32).

(2) The service provider must also have such other policies and procedures in place as are reasonably necessary to support the aims and objectives of the service set out in the statement of purpose.

(3) The service provider must ensure that the content of the policies and procedures which are required to be in place by virtue of paragraphs (1) and (2) is—

(a)appropriate to the needs of individuals for whom support is provided,

(b)consistent with the statement of purpose, and

(c)kept up to date.

(4) The service provider must ensure that the service is provided in accordance with those policies and procedures.

Duty of candour

11.  The service provider must act in an open and transparent way with—

(a)individuals;

(b)any representatives of those individuals.

PART 3Requirements on service providers as to the information to be provided to individuals on commencement of the provision of support

Information about the service

12.—(1) The service provider must prepare a written guide to the service.

(2) The guide must be—

(a)dated, reviewed at least annually and updated as necessary;

(b)in an appropriate language, style, presentation and format, having regard to the statement of purpose for the service;

(c)given to any individual who is receiving support;

(d)made available to others on request, unless this is not appropriate or would be inconsistent with the well-being of an individual.

(3) The guide must contain information about—

(a)how to raise a concern or make a complaint;

(b)the availability of advocacy services;

(c)the role and contact details for the Children’s Commissioner for Wales.

(4) The service provider must ensure that an individual receives such assistance as is necessary to enable the individual to understand the information contained in the guide.

Service agreement

13.—(1) The service provider must ensure that every individual who receives support is given a signed copy of any agreement relating to—

(a)the support provided to the individual;

(b)any other services provided to the individual.

(2) The service provider must ensure that the individual receives such assistance as is necessary to enable the individual to understand the information contained in any such agreement.

PART 4Requirement on service providers as to the standards of support to be provided

Standards of support – overarching requirements

14.—(1) The service provider must ensure that support is provided in a way which protects, promotes and maintains the safety and well-being of individuals.

(2) The service provider must ensure that support is provided in a way which—

(a)maintains good personal and professional relationships with individuals and staff, and

(b)encourages and assists staff to maintain good personal and professional relationships with individuals.

Information

15.—(1) The service provider must put arrangements in place to ensure that an individual has the information they need to make or participate in assessments, plans and day to day decisions about the way support is provided to them.

(2) Information provided must be available in the appropriate language, style, presentation and format, having regard to—

(a)the nature of the service as described in the statement of purpose;

(b)the level of the individual’s understanding and ability to communicate;

(c)in the case of a child, the child’s age.

(3) The service provider must ensure that the individual receives such assistance as is necessary to enable them to understand the information provided.

Language and communication

16.  The service provider must take reasonable steps to meet the language and communication needs of an individual.

Respect and sensitivity

17.—(1) The service provider must ensure that individuals are treated with respect and sensitivity.

(2) This includes, but is not limited to—

(a)respecting the individual’s privacy and dignity;

(b)respecting the individual’s rights to confidentiality;

(c)promoting the individual’s autonomy and independence;

(d)having regard to any relevant protected characteristics (as defined in section 4 of the Equality Act 2010(9)) of the individual.

PART 5Requirements on service providers – safeguarding

Safeguarding - overarching requirement

18.  The service provider must provide the service in a way which ensures that individuals are safe and are protected from abuse, neglect and improper treatment.

Safeguarding policies and procedures

19.—(1) The service provider must have policies and procedures in place—

(a)for the prevention of abuse, neglect and improper treatment, and

(b)for responding to any allegation or evidence of abuse, neglect or improper treatment.

(2) In this regulation, such policies and procedures are referred to as safeguarding policies and procedures.

(3) The service provider must ensure that their safeguarding policies and procedures are operated effectively.

(4) In particular, where there is an allegation or evidence of abuse, neglect or improper treatment, the service provider must—

(a)act in accordance with their safeguarding policies and procedures,

(b)take immediate action to ensure the safety of all individuals for whom support is provided,

(c)make appropriate referrals to other agencies, and

(d)keep a record of any evidence or the substance of any allegation, any action taken and any referrals made.

Interpretation of Part 5

20.  In this Part—

“abuse” (“camdriniaeth”) means physical, sexual, psychological, emotional or financial abuse and, in relation to a child, any other harm.

For the purposes of this definition—

(a)

“financial abuse” (“camdriniaeth ariannol”) includes—

(i)

having money or other property stolen;

(ii)

being defrauded;

(iii)

being put under pressure in relation to money or other property;

(iv)

having money or other property misused;

(b)

“harm” (“niwed”) has the same meaning as in section 197(1) of the 2014 Act(10);

“improper treatment” (“triniaeth amhriodol”) includes discrimination or unlawful restraint, including inappropriate deprivation of liberty under the terms of the Mental Capacity Act 2005(11);

“neglect” (“esgeulustod”) has the same meaning as in section 197(1) of the 2014 Act.

PART 6Requirements on service providers as to staffing

Staffing - overarching requirements

21.—(1) The service provider must ensure that at all times a sufficient number of suitably qualified, trained, skilled, competent and experienced staff are deployed to work at the service, having regard to—

(a)the statement of purpose for the service,

(b)the individuals’ need for support,

(c)assisting individuals to meet their need for support,

(d)the need to safeguard and promote the health and welfare of children, and

(e)the requirements of these Regulations.

(2) The service provider must ensure that suitable arrangements are made for the support and development staff.

Fitness of staff

22.—(1) The service provider must not—

(a)employ a person under a contract of employment to work at the service unless that person is fit do so;

(b)allow a volunteer to work at the service unless that person is fit to do so;

(c)allow any other person to work at the service in a position in which that person may, in the course of duties, have regular contact with individuals who are receiving support or with other persons who are vulnerable unless that person is fit to do so.

(2) For the purposes of paragraph (1), a person is not fit to work at the service unless—

(a)the person is of suitable integrity and good character;

(b)the person has the qualifications, skills, competence and experience necessary for the work that person is to perform;

(c)the person is able by reason of their health, after reasonable adjustments are made, to properly perform the tasks which are intrinsic to the work for which that person is employed or engaged;

(d)the person has provided full and satisfactory information or documentation, as the case may be, in respect of each of the matters specified in Part 1 of Schedule 2 and this information or documentation is available at the service for inspection by the service regulator;

(e)where the person is employed by the service provider to manage the service, from 1 April 2022, the person is registered as a social care manager with Social Care Wales.

(3) An appropriate DBS certificate must be applied for by, or on behalf of the service provider, for the purpose of assessing the suitability of a person for the post referred to in paragraph (1). But this requirement does not apply if the person working at the service is registered with the Disclosure and Barring Service update service (referred to in this regulation as “the DBS update service”).

(4) Where a person being considered for a post referred to in paragraph (1) is registered with the DBS update service, the service provider must check the person’s DBS certificate status for the purpose of assessing the suitability of that person for that post.

(5) Where a person appointed to a post referred to in paragraph (1) is registered with the DBS update service, the service provider must check the person’s DBS certificate status at least annually.

(6) Where a person appointed to a post referred to in paragraph (1) is not registered with the DBS update service, the service provider must apply for a new DBS certificate in respect of that person within three years of the issue of the certificate applied for in accordance with paragraph (3) and thereafter further such applications must be made at least every three years.

(7) If any person working at the service is no longer fit to work at the service as a result of one or more of the requirements in paragraph (2) not being met, the service provider must—

(a)take necessary and proportionate action to ensure that the relevant requirements are complied with;

(b)where appropriate, inform—

(i)the relevant regulatory or professional body;

(ii)the Disclosure and Barring Service.

Supporting and developing staff

23.—(1) The service provider must have a policy in place for the support and development of staff.

(2) The service provider must ensure that any person working at the service (including a person allowed to work as a volunteer)—

(a)receives an induction appropriate to their role;

(b)is made aware of their own responsibilities and those of other staff;

(c)receives appropriate supervision and appraisal;

(d)receives core training appropriate to the work to be performed by them;

(e)receives specialist training as appropriate;

(f)receives support and assistance to obtain such further training as is appropriate to the work they perform.

(3) The service provider must ensure that any person employed to work at the service as a manager is supported to maintain their registration with Social Care Wales.

Information for staff

24.—(1) The service provider must ensure that all persons working at the service (including any person allowed to work as a volunteer) are provided with information about the service and the way it is provided.

(2) The service provider must ensure that there are arrangements in place to make staff aware of any codes of practice about the standards of conduct expected of social care workers, which are required to be published by Social Care Wales under section 112(1)(a) of the 2016 Act.

Disciplinary procedures

25.—(1) The service provider must put in place and operate a disciplinary procedure.

(2) The disciplinary procedure must include—

(a)provision for the suspension, and the taking of action short of suspension, of an employee, in the interests of the safety or well-being of individuals;

(b)provision that a failure on the part of an employee to report an incident of abuse, or suspected abuse, to an appropriate person, is grounds on which disciplinary proceedings may be instituted.

(3) For the purpose of paragraph (2)(b), an appropriate person is—

(a)the service provider,

(b)an officer of the service regulator,

(c)an officer of the local authority for the area where the service is provided,

(d)in the case of an incident of abuse or suspected abuse of a child, an officer of the National Society for the Prevention of Cruelty to Children, or

(e)a police officer,

as the case may be.

PART 7Requirements on service providers as to premises

Overarching requirement

26.  The service provider must ensure that the premises are suitable for the service, having regard to the statement of purpose for the service.

Adequacy of premises

27.  The service provider must ensure that the premises used for the operation of the service have adequate facilities for—

(a)the supervision of staff;

(b)the secure storage of records.

PART 8Other requirements on service providers

Records

28.—(1) The service provider must keep and maintain the records specified in Part 1 of Schedule 3.

(2) The service provider must—

(a)ensure that records specified in Part 1 of Schedule 3 are accurate and up to date;

(b)keep the records securely;

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

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

(e)where an adoption order has been made in relation to a child, retain records relating to the child and the child’s adopter for at least 100 years from the date of the adoption order;

(f)where adoption support services are provided to an individual, retain records relating to the individual for at least 100 years from the date of the last entry;

(g)in a case which does not fall within sub-paragraph (e) or (f) retain—

(i)records relating to adults for 3 years from the date of the last entry;

(ii)records relating to children for 15 years from the date of the last entry;

(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

29.—(1) The service provider must notify the service regulator of the events specified in paragraphs 1 and 2 of Schedule 4.

(2) The service provider must notify the local authority for the area in which the child is placed for adoption of the event specified in paragraph 1 of Schedule 4.

(3) The notifications required by paragraphs (1) and (2) of this regulation 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.

Conflicts of interest

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

Complaints policy and procedure

31.—(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, and

(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 any subsequent action taken to the service regulator within 28 days of being requested to do so.

(4) The service provider must—

(a)analyse information relating to complaints and concerns, and

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

Whistleblowing

32.—(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 persons 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 service 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, and

(c)a record is kept relating to the matters in sub-paragraphs (a) and (b).

PART 9Requirements on managers for ensuring effective oversight of the service

Oversight of adequacy of resources

33.—(1) The manager must report to the service provider on the adequacy of the resources available to provide the service in accordance with the requirements of these Regulations.

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

Other reports to the service provider

34.  The manager must, without delay, report to the service provider—

(a)any concerns about the provision of the service,

(b)any significant changes to the way the service is managed or provided, and

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

Engagement with individuals and others

35.—(1) The manager must put suitable arrangements in place for obtaining the views of—

(a)individuals,

(b)any representatives of those individuals,

(c)staff employed at the service, and

(d)any other local authority or local authority in England,

on the quality of support provided and how this can be improved.

(2) The manager must report on the views obtained 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 support provided by the service.

PART 10Requirements on managers for ensuring the compliance of the service

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

36.  The manager must ensure that there are effective systems in place to record incidents, complaints and matters on which notifications must be made in accordance with regulation 29.

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

37.  The manager must ensure that there are effective systems in place in relation to the records, which include systems for ensuring the accuracy and completeness of records which must be kept in accordance with regulation 28.

Duty to ensure policies and procedures are up to date

38.  The manager 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 for the service.

PART 11Requirements on managers for monitoring, reviewing and improving the quality of the service

Quality of service review

39.—(1) The manager must put suitable arrangements in place to establish and maintain a system for monitoring, reviewing and improving the quality of the service.

(2) The system established under paragraph (1) must make provision for the quality of the service to be reviewed as often as required but at least every 6 months.

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

(a)considering the outcome of the engagement with individuals and others, as required by regulation 35 (engagement with individuals and others);

(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 service in accordance with this regulation, the manager must prepare a report to the service provider which must include—

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

(b)recommendations for the improvement of the service.

PART 12Other requirements on managers

Support for raising concerns

40.  The manager must ensure that the service 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

41.  The manager must act in an open and transparent way with—

(a)individuals, and

(b)any representatives of those individuals.

PART 13Other requirements on service providers

Prospective and approved adopters

42.  The service provider must—

(a)have written plans on its strategy to recruit sufficient number of adopters;

(b)have comprehensive plans for preparation and approval processes for adopters contained within its policies and procedures;

(c)provide prospective adopters with written information about the adoption process including information about—

(i)the policy and procedures in respect of the adoption process;

(ii)arrangements for the assessment of and the provision of adoption support services;

(iii)the Adoption Register for Wales and any other relevant national adoption register;

(iv)local and regional arrangements;

(d)provide assistance where disruption of a placement has occurred or is in danger of occurring, which includes the use of mediation and meetings.

PART 14Miscellaneous amendment

Amendment to the Adoption Support Services (Local Authorities) (Wales) Regulations 2005

43.—(1) The Adoption Support Services (Local Authorities) (Wales) Regulations 2005(12) are amended as follows.

(2) In regulation 5—

(a)after paragraph (1)(b) insert—

(bb)an individual falling within regulation 3(e) of the Regulated Adoption Services (Service Providers and Responsible Individuals) (Wales) Regulations 2019(13).;

(b)in paragraph (2), omit the words from “but in relation to” to the end.

Julie Morgan

Deputy Minister for Health and Social Services under authority of the Minster for Health and Social Services, one of the Welsh Ministers

17 February 2019

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