The National Care Standards Commission (Registration) Regulations 2001

PART I GENERAL

Citation, commencement and extent

1.—(1) These Regulations may be cited as the National Care Standards Commission (Registration) Regulations 2001 and shall come into force on 1st January 2002.

(2) These Regulations extend to England only.

Interpretation

2.—(1) In these Regulations, unless the context otherwise requires—

“the Act” means the Care Standards Act 2000;

“applicant” means a person seeking to be registered;

“half-way house” means a children’s home in which children aged 16 or over may prepare, or be assisted in preparing, for independent living;

“holding company” has the meaning given to it by section 736 of the Companies Act 1985(1);

“organisation” means a body corporate or any unincorporated association other than a partnership;

“placement plan” has the meaning given to it in regulation 12 (child’s placement plan) of the Children’s Homes Regulations 2001(2);

“registered” means registered under Part II of the Act;

“registered manager” means a person who is registered as the manager of an establishment or agency;

“registered person” means a person who is the registered provider or registered manager in respect of an establishment or agency;

“registered provider” means a person who is registered as a person carrying on an establishment or agency;

“registration” means registration under Part II of the Act;

“relative”, in relation to any person, means—

(a)

the person’s spouse;

(b)

any parent, grandparent, child, grandchild, brother, sister, uncle, aunt, nephew or niece of his or his spouse;

(c)

the spouse of any relative within sub-paragraph (b) of this definition,

and for the purpose of determining any such relationship a person’s step-child shall be treated as his child, and references to “spouse” in relation to any person include a former spouse and a person who is living with the person as husband and wife;

“representative” means, in relation to a service user, a person, other than the registered person or a person employed at or for the purposes of the establishment or agency, who with the service user’s express or implied consent takes an interest in the service user’s health and welfare;

“responsible individual” means an individual who is a director, manager, secretary or other officer of an organisation and is responsible for supervising the management of an establishment or agency;

“responsible person” means—

(a)

where the applicant is an individual—

(i)

the applicant; and

(ii)

if the applicant carries on or intends to carry on the establishment or agency in partnership with others, each partner of his;

(b)

where the applicant is a partnership, each member of the partnership;

(c)

where the applicant is an organisation, the responsible individual;

“service user” means any person who is to be provided with accommodation or services in an establishment, or by an agency;

“statement of purpose” means—

(a)

in relation to a care home, the written statement required to be compiled in relation to the care home in accordance with regulation 4(1) of the Care Homes Regulations 2001(3);

(b)

in relation to a children’s home, the written statement required to be compiled in relation to the children’s home in accordance with regulation 4(1) of the Children’s Homes Regulations 2001(4);

(c)

in relation to an independent hospital, independent clinic, or independent medical agency, the written statement required to be compiled in relation to the independent hospital, independent clinic, or independent medical agency in accordance with regulation 5(1) of the Private and Voluntary Health Care (England) Regulations 2001(5);

(d)

in relation to an establishment or agency of any other description, a statement of the aims and objectives of the establishment or agency;

“subsidiary” has the meaning given to it by section 736 of the Companies Act 1985.

(2) In these Regulations, unless the context otherwise requires, references to an establishment or agency are to be construed as references—

(a) in the case of an applicant, to the establishment or agency in respect of which he is seeking to be registered;

(b) in the case of a registered person, to the establishment or agency in respect of which he is registered.

(3) In these Regulations, a reference—

(a) to a numbered regulation or Schedule is to the regulation in, or Schedule to, these Regulations bearing that number;

(b) in a regulation or Schedule to a numbered paragraph is to the paragraph in that regulation or Schedule bearing that number;

(c) in a paragraph to a lettered or numbered sub-paragraph is to the sub-paragraph in that paragraph bearing that letter or number.

PART II APPLICATIONS FOR REGISTRATION

Information and documents to be provided by an applicant

3.—(1) An application for registration shall—

(a) be in writing on a form approved by the Commission;

(b) be sent or delivered to the Commission;

(c) be accompanied by a recent photograph of the responsible person, of whom the photograph shall be a true likeness;

(d) give the information that the applicant is required to provide in accordance with paragraphs (2) to (4).

(2) A person who is seeking to be registered as a person who carries on an establishment or agency shall provide to the Commission—

(a) full information in respect of the matters listed in Parts I and II of Schedule 1;

(b) the documents listed in paragraphs 1 to 3 and 5 to 9 of Schedule 2;

(c) the documents listed in paragraphs 4 and 10 of Schedule 2, except where any certificate or information on any matters referred to in those paragraphs is not available to an individual because any provision of the Police Act 1997(6) has not been brought into force.

(3) A person who is seeking to be registered as a manager in respect of an establishment or agency shall provide to the Commission—

(a) full information in respect of each of the matters listed in Part I of Schedule 3;

(b) the documents listed in paragraphs 9 to 11 of that Schedule;

(c) the documents listed in paragraphs 12 and 13 of that Schedule, except where any certificate or information on any matters referred to in those paragraphs is not available to the person because any provision of the Police Act 1997 has not been brought into force.

(4) A person who is seeking to be registered in respect of an establishment or agency of a description specified in column (1) below shall provide to the Commission full information in respect of each of the matters listed in the Schedule specified in the corresponding entry in column (2) below.

(1)	(2)
Establishment or agency	Schedule
Care home	Schedule 4
Children’s home	Schedule 5
Independent hospital, independent clinic, or independent medical agency	Schedule 6

(5) If the Commission so requests, the applicant shall provide full information to the Commission in respect of the matters listed in Part III of Schedule 1 in relation to any person specified for this purpose by the Commission who works, or is intended to work, at the establishment or for the purposes of the agency.

(6) The applicant shall provide to the Commission any other information or documents that it may reasonably require in relation to his application for registration.

Convictions

4.  Where the Commission asks the responsible person for details of any criminal convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders Act 1974(7) and informs him at the time the question is asked that by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975(8) spent convictions are to be disclosed, he shall supply in writing to the Commission details of any spent convictions that he has.

Interview

5.  The responsible person shall attend an interview for the purpose of enabling the Commission to determine whether the applicant is fit to carry on or manage the establishment or agency in respect of which the applicant seeks to be registered.

Notice of changes

6.  The applicant shall give notice in writing to the Commission of any change specified below which occurs after the application for registration is made and before it is determined—

(a) any change of the name or address of the applicant or any responsible person;

(b) where the applicant is a partnership, any change of membership of the partnership;

(c) where the applicant is an organisation, any change of director, manager, secretary or other person responsible for the management of the organisation.

Information as to staff engaged after application made

7.—(1) Where an applicant applies for registration as a person who carries on an establishment or agency, and before the application is determined, engages a person to work at the establishment or for the purposes of the agency, he shall, in respect of each person so engaged—

(a) obtain the information specified in paragraphs 16 and 17 of Schedule 1 and, except where paragraph (2) applies, the documents specified in paragraph 10 of Schedule 2, in relation to the position in which the person is to work;

(b) provide to the Commission, if it so requests, any of the information or documents which he is required to obtain under paragraph (a).

(2) This paragraph applies where any certificate or information on any matters referred to in paragraph 10 of Schedule 2 is not available to an individual because any provision of the Police Act 1997 has not been brought into force.

PART III CERTIFICATES OF REGISTRATION

Registers

8.—(1) The Commission shall keep a register in respect of each description of establishment or agency specified in section 4(8)(a) or (9)(a) of the Act, other than that of voluntary adoption agency.

(2) Each register shall contain, in relation to each establishment or agency in respect of which a person’s application for registration has been granted—

(a) the particulars specified in Part I of Schedule 7; and

(b) the particulars specified in respect of the register in Part II of that Schedule.

Contents of certificate

9.  Where the Commission is required to issue a certificate of registration it shall ensure that the certificate contains the following particulars—

(a) the name, address and telephone number of the Commission;

(b) the name and address of the person who has been registered as the person who carries on the establishment or agency;

(c) where the person is an organisation, the name of the responsible individual;

(d) the name of the person registered as the manager of the establishment or agency;

(e) the description of the establishment or agency by reference to the description of establishment or agency specified in section 4(8)(a) or (9)(a) of the Act;

(f) where the registration is subject to any condition, details of the condition including any requirement in the condition as to—

(i) the facilities or services that are to be provided;

(ii) the number of service users for whom accommodation or services may be provided;

(iii) the description of persons to whom facilities or services are to be provided;

(iv) any period of time within which the condition is to be fulfilled;

(v) the number and description of persons to be working at any specified place and time;

(g) the date of registration;

(h) a statement that if an establishment or agency is not carried on in accordance with the relevant requirements and conditions the registration is liable to be cancelled by the Commission;

(i) a statement that the certificate relates only to the person to whom it is issued by the Commission and is not capable of being transferred to another person.

Return of certificate

10.  If the registration of a person in respect of an establishment or agency is cancelled, he shall, not later than the day on which the decision or order cancelling the registration takes effect, return the certificate of registration to the Commission by—

(a) delivering it to the Commission; or

(b) sending it to the Commission by registered post or by recorded delivery.

Offence

11.—(1) A failure to comply with regulation 10 shall be an offence.

(2) The Commission shall not bring proceedings against a person in respect of any failure to comply with that regulation unless—

(a) notice has been given to him in accordance with paragraph (3);

(b) the period specified in the notice, beginning with the date of the notice, has expired; and

(c) the person fails to comply with that regulation.

(3) Where the Commission considers that the person has failed to comply with regulation 10, it may serve a notice on the person specifying—

(a) in what respect in its opinion the person has failed or is failing to comply with the requirements of that regulation;

(b) what action, in the opinion of the Commission, the person should take so as to comply with that regulation; and

(c) the period, not exceeding three months, within which the person should take action.

PART IV CONDITIONS AND REPORTS

Application for variation or removal of a condition

12.—(1) In this regulation—

“application” means an application by the registered person under section 15(1)(a) of the Act for the variation or removal of a condition in relation to his registration;

“proposed effective date” means the date requested by the registered person as the date on which the variation or removal applied for is to take effect.

(2) An application shall be—

(a) made in writing on a form approved by the Commission;

(b) sent or delivered to the Commission not less than six weeks before the proposed effective date or such shorter period (if any) before that date as may be agreed with the Commission;

(c) accompanied by the information specified in paragraph (3);

(d) accompanied by a fee of such amount as may be prescribed in relation to the variation or removal applied for by any regulation made under section 15(3) of the Act.

(3) The following information is specified—

(a) the proposed effective date;

(b) the registered person’s reasons for making the application;

(c) details of changes that the registered person proposes to make in relation to the establishment or agency as a consequence of the variation or removal applied for, including details of—

(i) proposed structural changes to the premises that are used as an establishment or for the purposes of an agency;

(ii) additional staff, facilities or equipment, or changes in management that are required to ensure that the proposed changes are carried into effect.

(4) The registered person shall provide the Commission with any other information or any documents that it may reasonably require in relation to his application.

Report as to financial viability

13.  If it appears to the registered person that the establishment or agency is likely to cease to be financially viable at any time within the next following six months, the registered person shall give a report to the Commission of the relevant circumstances.

PART V CANCELLATION OF REGISTRATION

Cancellation of registration

14.  The following grounds are specified for the purposes of section 14(1)(d) of the Act as grounds on which the Commission may cancel the registration of a person in respect of an establishment or agency—

(a) he has failed to pay at the time prescribed under subsection (3) of section 16 of the Act the annual fee payable by him by virtue of that subsection;

(b) he has in relation to any application by him—

(i) for registration; or

(ii) for the variation or removal of a condition in relation to his registration,

made a statement which is false or misleading in a material respect or provided false information;

(c) the establishment or agency has ceased to be financially viable, or is likely to cease to be so within the next six months.

Application for cancellation of registration

15.—(1) In this regulation—

“application for cancellation” means an application by the registered person under section 15(1)(b) of the Act for the cancellation of his registration;

“notice of application for cancellation” means a notice by the registered person stating that he has made, or intends to make, an application for cancellation;

“proposed effective date” means the date requested by the registered person as the date on which the cancellation applied for is to take effect.

(2) An application for cancellation shall be—

(a) made in writing on a form approved by the Commission;

(b) sent or delivered to the Commission not less than three months before the proposed effective date or such shorter period (if any) before that date as may be agreed with the Commission;

(c) accompanied by the information specified in paragraph (4).

(3) If the registered person makes an application for cancellation he shall not more than seven days thereafter give notice of application for cancellation to each of the persons specified in paragraph (4)(d), other than a person to whom he has given such notice within three months before he made the application for cancellation.

(4) The following information is specified—

(a) the proposed effective date;

(b) a statement as to the arrangements (if any) that have been made by the registered person to ensure that on and after—

(i) the date of application for cancellation; and

(ii) the proposed effective date,

service users will continue to be provided with similar accommodation (if any) and services as those provided to them in the establishment or by the agency at the date on which the application for cancellation is made;

(c) the registered person’s reasons for making the application for cancellation;

(d) particulars of any notice of application for cancellation that has been given to any of the following persons—

(i) service users;

(ii) persons who appear to the registered person to be representatives of service users;

(iii) the local authority and Health Authority in whose areas the establishment or the premises used by the agency are situated;

(e) where the registered person has not given notice of application for cancellation to—

(i) each service user;

(ii) in respect of each service user, a person who appears to the registered person to be a representative of that service user; and

(iii) each of the bodies specified in sub-paragraph (4)(d)(iii),

a statement as to whether there were any circumstances which prevented the registered person from giving, or made it impracticable for him to give, notice of application for cancellation to any of the persons or bodies referred to in heads (i) to (iii) of this sub-paragraph before the date on which he applied for cancellation;

(f) where the registered person has applied for cancellation less than three months before the proposed effective date, a report as to whether the establishment or agency has ceased, or is likely to cease within the next following twelve months, to be financially viable.

(5) The registered person shall provide the Commission with any other information or any documents that it may reasonably require in relation to his application for cancellation.

Signed by authority of the Secretary of State for Health

Jacqui Smith

Minister of State,

Department of Health

11th December 2001