The Adult Placement Schemes (England) Regulations 2004

Regulation 4(1)

SCHEDULE 1 INFORMATION TO BE INCLUDED IN THE STATEMENT OF PURPOSE

1.  The name and address of the registered provider and of any registered manager.

2.  If the registered provider is not an organisation, his relevant qualifications and experience.

3.  If the registered provider is an organisation, the name and address of the responsible individual and his qualifications and experience.

4.  The relevant qualifications and experience of any registered manager.

5.  The number, relevant qualifications and experience of the staff working for the purposes of the scheme.

6.  The organisational structure of the scheme.

7.  The age-range and sex of the service users in respect of whom the scheme may make placements.

8.  The range of needs that the scheme intends to meet through the making of placements.

9.  The arrangements made for consultation with service users about the operation of the scheme.

10.  The arrangements made so as to ensure that service users whom the scheme has placed can enjoy appropriate contact with their relatives, friends and representatives.

11.  The arrangements for dealing with complaints about the operation of the scheme.

Regulations 8(3), 10(2) and 28

SCHEDULE 2 INFORMATION AND DOCUMENTS IN RESPECT OF PERSONS PROVIDING, MANAGING OR WORKING FOR THE PURPOSES OF A SCHEME (EXCLUDING ADULT PLACEMENT CARERS)

1.  Proof of identity including a recent photograph.

2.  Either—

(a) where the certificate is required for a purpose relating to section 115(5)(ea) of the Police Act 1997 (registration under Part II of the Care Standards Act 2000 as applied by these Regulations(1)), or the position falls within section 115(4) of that Act(2), an enhanced criminal record certificate issued under section 115 of that Act; or

(b) in any other case, a criminal record certificate issued under section 113 of that Act,

including, where applicable, the matters specified in the following provisions, namely section 113(3C)(a) and (b) and section 115(6B)(a) and (b) of that Act(3).

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

4.  Where a person has previously worked in a position whose duties involved work with vulnerable adults, so far as reasonably practicable, verification of the reason why the position ended.

5.  Documentary evidence of any relevant qualification.

6.  A full employment history, together with a satisfactory written explanation of any gaps in employment.

Regulations 16(3) and 22

SCHEDULE 3 INFORMATION AND DOCUMENTS IN RESPECT OF ADULT PLACEMENT CARERS AND OTHERS

1.  Proof of identity including a recent photograph.

2.  Either—

(a) where the position falls within section 115(4) of the Police Act 1997, an enhanced criminal record certificate issued under section 115 of that Act; or

(b) in any other case, a criminal record certificate issued under section 113 of that Act,

including, where applicable, the matters specified in the following provisions, namely section 113(3C)(a) and (b) and section 115(6B)(a) and (b) of that Act.

3.  Two written personal references from persons (not being relatives of the adult placement carer) who have known the adult placement carer for at least 2 years.

4.  A written reference from the last employer if any.

5.  Details of health record.

6.  Details of a check with the local authority in whose area the adult placement carer resides.

7.  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 position ended.

8.  Documentary evidence of any relevant qualification.

9.  A full employment history, together with a satisfactory written explanation of any gaps in employment.

10.  A letter from a mortgage lender or landlord (as the case may be) confirming—

(a) that the adult placement carer has sought and obtained permission to undertake placements where such permission is required by the terms of any mortgage, lease or tenancy agreement; and

(b) that the adult placement carer is not in arrears with his mortgage payments, rent or (where applicable) service charges and that he is not in breach of the terms of his mortgage, lease or tenancy agreement.

11.  A copy of the assessment report in respect of the adult placement carer prepared on behalf of an adult placement scheme.

12.  A written statement as to the suitability of a person for the role and responsibilities of an adult placement carer signed by the chair of the approval panel.

Regulation 22 and 25

SCHEDULE 4 RECORDS TO BE KEPT BY A SCHEME

Records

1.  The following information or documents in respect of each adult whom the scheme has placed—

(a) full name and address;

(b) date of birth;

(c) sex;

(d) marital status;

(e) next of kin;

(f) ethnic origin where the person agrees to provide that information;

(g) the assessment referred to in regulation 20(1);

(h) the service user’s plan;

(i) the placement agreement;

(j) the date that the placement commenced and, where applicable, ceased.

2.  A record of all persons working for the purposes of the scheme, which shall include the following matters—

(a) full name;

(b) sex;

(c) ethnic origin where the person agrees to provide that information;

(d) date of birth;

(e) home address;

(f) qualifications relevant to, and experience of, work involving vulnerable adults;

(g) written confirmation that the information referred to in Schedule 2 is available in relation to the person;

3.  A record of all persons with whom the scheme has placed an adult including—

(a) full name;

(b) sex;

(c) ethnic origin where the person agrees to provide that information;

(d) date of birth;

(e) where relevant, the address of the premises to which the placement relates;

(f) qualifications relevant to, and experience of, work involving vulnerable adults;

(g) a copy of the placement agreement;

(h) a record of the monitoring undertaken in respect of the placement under regulation 14;

(i) written confirmation that the information referred to in Schedule 3 is available in relation to the adult placement carer.

(j) a copy of the carer agreement.

4.  A record of—

(a) all accidents that have occurred during the course of placements made by the scheme involving service users;

(b) any use of physical restraint upon a relevant adult placed by the scheme;

(c) any allegation of abuse, neglect or other harm made by or in relation to a relevant adult whom the scheme has placed; and

(d) any complaint made in relation to the scheme or to an adult placement carer working for the purposes of the scheme.

Regulation 40

SCHEDULE 5 Modification of the Care Standards Act 2000 in respect of persons carrying on and managing adult placement schemes

Modification of section 11 of the Act

1.  In section 11 (requirement to register)—

(a) in subsection (1)—

(i) after the word “description” on the first occasion where it occurs, insert “or an adult placement scheme”; and

(ii) after the word “description” on the second occasion where it occurs, insert “or as an adult placement scheme”;

(b) in subsection (2)—

(i) after the word “agency” on the first occasion where it occurs, insert “or adult placement scheme”; and

(ii) after the word “agency” on the second occasion where it occurs, insert “or adult placement scheme (as the case may be)”;

(c) in subsection (6)—

(i) in paragraph (a), after the word “agency” insert “or adult placement scheme”; and

(ii) for paragraph (b) substitute—

“(b) in the case of a conviction in relation to an establishment or agency, the conviction is a second or subsequent conviction of the offence and the earlier conviction, or one of the earlier convictions, was of an offence in relation to an establishment or agency of the same description; or

(c) in the case of a conviction in relation to an adult placement scheme, the conviction is a second or subsequent conviction of the offence.”.

Modification of section 12 of the Act

2.  In section 12 (applications for registration)—

(a) in subsection (3), after the word “agency” insert “or of an adult placement scheme”; and

(b) in subsection (4), after the word “agency” insert “or adult placement scheme”.

Modification of section 13 of the Act

3.  In section 13 (grant or refusal of registration)—

(a) in subsection (1), after the word “agency” insert “or adult placement scheme”; and

(b) in subsection (2), after the word “agency” insert “or adult placement scheme”.

Modification of section 14 of the Act

4.  In section 14(1) (cancellation of registration)—

(a) in paragraph (b), after the word “agency” insert “or adult placement scheme”; and

(b) in paragraph (c), after the word “agency” insert “or adult placement scheme”

Modification of section 17 of the Act

5.  In section 17 (notice of proposals)—

(a) in subsection (1), after the word “agency” insert “or adult placement scheme”; and

(b) in subsection (4), after the word “agency” insert “or adult placement scheme”.

Modification of section 19

6.  In section 19(1) (notice of decisions), after the word “agency” insert “or adult placement scheme”.

Modification of section 20

7.  In section 20 (urgent procedure for cancellation etc.)—

(a) in subsection (1)(a)(i), after the word “agency” insert “or adult placement scheme”;

(b) in subsection (5), after the word “agency” insert “or adult placement scheme”; and

(c) in subsection (6)(a) and (b), after the word “agency” insert “or adult placement scheme”.

Modification of section 21

8.  In section 21 (appeals to the tribunal), in subsection (5)(a) and (c), after the word “agency” insert “or adult placement scheme”.

Modification of section 23

9.  In section 23 (national minimum standards), in subsection (1), after the word “agencies” insert “or adult placement schemes”.

Modification of section 24

10.  In section 24 (failure to comply with conditions), after the word “agency” on both occasions where it occurs, insert “or adult placement scheme”.

Modification of section 26 of the Act

11.  In section 26 (false descriptions of establishments and agencies)—

(a) in subsection (1), after the word “description” in both places where it occurs, insert “or an adult placement scheme”; and

(b) in subsection (3), after the word “agency”, on both occasions where it occurs, insert “or adult placement scheme”.

Modification of section 28 of the Act

12.  In section 28 (failure to display certificate of registration)—

(a) in subsection (1)—

(i) after the word “agency” on the first occasion where it occurs, insert “or adult placement scheme”; and

(ii) after the word “agency” on the second occasion where it occurs, insert “or at any premises from which the adult placement scheme is carried on”; and

(b) in subsection (2), after the word “agency” insert “or adult placement scheme”.

Modification of section 31

13.  In section 31 (inspections by persons authorised by registration authority)—

(a) in subsection (1), after the word “agency” on both occasions where it occurs, insert “or adult placement scheme”;

(b) in subsection (2), after the word “agency” insert “or adult placement scheme”;

(c) in subsection (3)(c), after the word “agency” insert “or adult placement scheme”;

(d) in subsection (3)(e), after the word “there” insert “, or in the case of an adult placement scheme, any person provided with care or support under such a scheme,”; and

(e) in subsection (4)(a), after the word “agency” insert “or adult placement scheme”.

Modification of section 32

14.  In section 32 (inspections: supplementary)—

(a) in subsection (4), after the word “agency” on both occasions where it occurs, insert “or adult placement scheme”;

(b) in subsection (5), after the word “agency” on both occasions where it occurs, insert “or adult placement scheme”; and

(c) in subsection (8), after the word “agency” insert “or adult placement scheme”.

Modification of section 34

15.  In section 34(3) (liquidators etc.)—

(a) in the definition of “relevant company”, after the word “agency” insert “or adult placement scheme”; and

(b) in the definition of “relevant individual”, after the word “agency” insert “or adult placement scheme”.

Modification of section 35

16.  In section 35(1)(a) (death of registered person), after the word “agency” insert “or adult placement scheme”.

Modification of section 37

17.  In section 37 (service of documents)—

(a) in subsection (1), after the word “agency” insert “or adult placement scheme”; and

(b) in subsection (2)—

(i) after the word “agency” on the first occasion where it occurs, insert “or adult placement scheme”; and

(ii) at the end, insert “or the premises from which the adult placement scheme is carried on”.

Regulation 41

SCHEDULE 6 AMENDMENT OF THE CARE HOMES REGULATIONS 2001

1.  The Care Homes Regulations 2001(4) are amended in accordance with the following provisions of this Schedule.

2.  In regulation 3(1) (excepted establishments)—

(a) at the end of sub-paragraph (e), the word “or” is omitted;

(b) in sub-paragraph (g)(iii), for the word “birthday.” substitute “birthday; or”; and

(c) after sub-paragraph (g) add—

“(h) all the persons who are provided with care or support are the subject of placement agreements made under the Adult Placement Schemes (England) Regulations 2004.”.

3.  Regulations 45 (adult placements), 46 (modification of regulations in respect of adult placement carers) and 47 (modification of regulations in respect of adult placement carer providing short term break for service user)(5), are omitted.

Regulation 42

SCHEDULE 7 AMENDMENT OF THE NATIONAL CARE STANDARDS COMMISSION(6) (REGISTRATION) REGULATIONS 2001

1.  The National Care Standards Commission (Registration) Regulations 2001(7) are amended in accordance with the following provisions of this Schedule.

2.—(1) In regulation 2 (interpretation)—

(a) in paragraph (1)—

(i) in the definition of “the Act”, at the end, add “or that Act as applied by the Care Standards Act 2000 (Extension of the Application of Part 2 to Adult Placement Schemes) (England) Regulations 2004(8)”;

(ii) after the definition of “the Act”, insert—

““adult placement scheme” has the same meaning as in the Adult Placement Schemes (England) Regulations 2004;”;

(iii) in the definition of “statement of purpose” insert—

“(cf) in relation to an adult placement scheme, the written statement to be compiled in accordance with regulation 4 of the Adult Placement Schemes (England) Regulations 2004;”.

(b) in paragraph (3), at the end, add—

“(d) to an agency shall include a reference to an adult placement scheme, and accordingly in relation to a scheme—

(i) reference to a registered provider carrying on an agency shall include reference to a registered provider carrying on an adult placement scheme;

(ii) reference to a registered manager managing an agency shall include reference to a registered manager managing an adult placement scheme; and

(iii) reference to a service user shall include reference to a service user who is placed under an adult placement scheme.”.

3.  For regulation 8(1) (registers), substitute—

“(1) The Commission shall keep a register in respect of—

(a) each description of establishment or agency specified in section 4(8)(a) or (9)(a) of the Act; and

(b) adult placement schemes.”.

4.  In regulation 9 (contents of certificate), in paragraph (e), after the words “by reference” insert “, where applicable,”.

5.  In Schedule 1 (information to be supplied on an application for registration as a person who carries on an establishment or agency), in paragraph 4(9), after the words “unless otherwise provided in these Regulations”, insert “, and except where the applicant is applying for registration as the provider of an adult placement scheme and is a local authority or a National Health Service body”.

6.  In Schedule 7 (particulars to be recorded in the registers kept by the commission)—

(a) in paragraph 6(a), the entry entitled “care home providing adult placement” is omitted; and

(b) in paragraph 9—

(i) in the heading, for the words “nursing agencies and fostering agencies” substitute “nursing agencies, fostering agencies and adult placement schemes”; and

(ii) after paragraph (d) add—

“(e) adult placement schemes, the code APS.”.

Regulation 43

SCHEDULE 8 AMENDMENT OF THE COMMISSION FOR SOCIAL CARE INSPECTION (FEES AND FREQUENCY OF INSPECTIONS) REGULATIONS 2004

1.  The Commission for Social Care Inspection (Fees and Frequency of Inspections) Regulations 2004(10) are amended in accordance with the following provisions of this Schedule.

2.  In regulation 2(1) (interpretation)—

(a) in the definition of “the Act”, at the end, add—

“or that Act as applied by the Care Standards Act 2000 (Extension of the Application of Part 2 to Adult Placement Schemes) (England) Regulations 2004”;

(b) for the definition of “adult placement home” substitute—

““adult placement scheme” has the same meaning as in the Adult Placement Schemes (England) Regulations 2004(11);”;

(c) for the definition of “registered manager” substitute—

““registered manager” in relation to an establishment, agency or an adult placement scheme means a person who is registered under Part 2 of the Act as the manager of the establishment, agency or adult placement scheme;”;

(d) for the definition of “registered person” substitute—

““registered person” means any person who is the registered provider or registered manager in respect of an establishment, agency or adult placement scheme;”;

(e) for the definition of “registered provider” substitute—

““registered provider” in relation to an establishment, agency or adult placement scheme means a person who is registered under Part 2 of the Act as the person carrying on the establishment, agency or adult placement scheme;”;

(f) in the definition of “service user”—

(i) at the end of paragraph (a), the word “or” is omitted;

(ii) in paragraph (b), after the word “school;” insert “or”; and

(iii) after paragraph (b), add—

“(c) in relation to an adult placement scheme, an adult who is or may be placed by the provider of a scheme;”;

(g) in the definition of “small establishment”, the words “,other than an adult placement home,” are omitted;

(h) after the definition of “small establishment” add—

““small scheme” means an adult placement scheme carried on by a registered provider who—

(a)

employs no more than two members of staff, including registered persons, at any one time; and

(b)

who has entered into carer agreements with no more than 50 adult placement carers at any one time.”.

3.  In regulation 3 (registration fees)—

(a) in paragraph (1)(a), after the words “in sub-paragraph (b),” insert “or an adult placement scheme,”;

(b) in paragraph (2)—

(i) the words “or an adult placement home” are omitted; and

(ii) after the words “a small agency”, insert “or an adult placement scheme is a small scheme”;

(c) in paragraph (3)—

(i) for the words “a person who manages an establishment or agency other than a small establishment or an adult placement home or a small agency” substitute “a person who manages an establishment, agency or adult placement scheme other than a small establishment, agency or adult placement scheme”; and

(ii) in sub-paragraph (a), after the words “in sub-paragraph (b),” insert “or an adult placement scheme”.

4.  In regulation 4 (variation fees)—

(a) in paragraph (1)(a), after the words “sub-paragraph (b),” insert “or an adult placement scheme,”; and

(b) in paragraph (2), for the words “or an adult placement home or an agency is a small agency” substitute “, the agency is a small agency or the adult placement scheme is a small scheme”.

5.  In regulation 5 (annual fees)—

(a) in paragraph (1)—

(i) after the words “an establishment or agency” insert “or an adult placement scheme”;

(ii) for sub-paragraph (b) substitute—

“(b) shall be payable—

(i) except in relation to an adult placement scheme, for the year beginning 1st April 2004 and subsequent years in accordance with column (5); and

(ii) in relation to an adult placement scheme, in accordance with column (5).”;

(iii) in the Table, in column (1) of the heading, after the words “local authority fostering service” add “, or adult placement scheme”; and

(iv) after the entry in the Table entitled “(i) Local authority fostering service” insert—

(j) Adult placement scheme

£1,440

on the date on which the certificate is issued, and thereafter on the anniversary of that date.

(b) in paragraph (2), the words “which is an adult placement home, or a care home” are omitted; and

(c) after paragraph (4), insert—

“(4A) In the case of an adult placement scheme which is a small scheme, the annual fee shall be 50% of the flat rate specified in column (2).”.

6.  In regulation 6 (frequency of inspections)—

(a) in paragraph (1), after the words “for the purposes of an agency,” insert “or an adult placement scheme”;

(b) in paragraph (4), after the words “establishment or agency” insert “or an adult placement scheme”.

Regulation 44

SCHEDULE 9 AMENDMENT OF THE DOMICILIARY CARE AGENCIES REGULATIONS 2002

1.  For regulation 3 of the Domiciliary Care Agencies Regulations 2002 (excepted undertakings)(12), substitute—

“3.   For the purposes of the Act, an undertaking is excepted from the definition of “domiciliary care agency” in section 4(3) of the Act if—

(a) the undertaking is carried on by an individual who—

(i) carries it on otherwise than in partnership with others;

(ii) is not employed by an organisation to carry it on; and

(iii) does not employ any other person for the purpose of the undertaking; or

(b) it is an adult placement scheme as defined in regulation 2 of the Adult Placement Schemes (England) Regulations 2004.”.

Regulation 45

SCHEDULE 10 TRANSITIONAL AND SAVINGS PROVISIONS

1.  In this Schedule “relevant date” means the date on which these Regulations come into force.

2.—(1) This paragraph applies to persons who, by virtue of the provisions of the Act and these Regulations, are required to be registered under Part 2 of the Act, but who immediately prior to the relevant date were not required to be so registered.

(2) Where paragraph (1) applies, a person who immediately prior to the relevant date was carrying on or managing an adult placement scheme, may continue to carry on or manage the scheme—

(a) during a period of 12 months beginning on the relevant date; and

(b) if, within that period, an application is made to the CSCI for registration under Part 2 of the Act,

until that application is finally disposed of or withdrawn.

(3) Where paragraph (2) applies, section 11(1), (2), (5) and (6) of the Act shall not apply to such a person.

(4) In this regulation “finally disposed of” means the date 28 days following the grant or refusal of registration and, if an appeal is made, the date when the appeal is finally determined or abandoned.

3.—(1) This paragraph applies where, immediately prior to the relevant date, a person was the registered provider (“the adult placement carer”) in respect of a care home providing an adult placement.

(2) Where paragraph (1) applies—

(a) the amendments set out in Schedules 5 to 7 of these Regulations shall not have effect in relation to the adult placement carer until the date on which the provider of an adult placement scheme with whom the adult placement carer has entered into a carer agreement to provide a placement for a service user is registered with the CSCI under Part 2 of the Act; and

(b) the provisions of the Care Homes Regulations 2001 shall continue in force in relation to that adult placement carer until that date.

4.—(1) This paragraph applies where—

(a) at any time after the relevant date, an adult placement carer wishes to enter, or has entered, into a carer agreement with the provider of an adult placement scheme to provide a placement (“the placement”) for a service user;

(b) the provider of that adult placement scheme has not applied to be registered under Part 2 of the Act; and

(c) the adult placement carer has not entered into a carer agreement to provide a placement with the provider of another adult placement scheme who is registered under Part 2 of the Act.

(2) Where paragraph (1) applies—

(a) the amendments set out in Schedules 5 to 7 of these Regulations shall not have effect in relation to the adult placement carer until the date on which the provider of the adult placement scheme with whom he has entered into a carer agreement to provide the placement is registered with the CSCI under Part 2 of the Act; and

(b) the provisions of the Care Homes Regulations 2001 shall apply in relation to that adult placement carer until that date.

5.  Where an appeal under section 21 of the Act (appeals to the tribunal) is made by a registered provider in respect of a care home providing an adult placement against a decision of the CSCI—

(a) before the relevant date but where the appeal has not been determined by that date; or

(b) on or after the relevant date but within the time limit specified in section 21 of the Act,

the appeal shall be dealt with in accordance with the relevant provisions of the Protection of Children and Vulnerable Adults and Care Standards Tribunal Regulations 2002(13).

(1)

Section 115(5)(ea) is inserted by the Care Standards Act 2000, section 104.

(2)

A position is within section 115(4) if it is of a kind specified in regulations and involves regularly caring for, training, supervising or being in sole charge of persons aged 18 or over.

(3)

Sections 113(3C) and 115(6B) are added to the Police Act 1997 by section 90 of the Care Standards Act 2000 on a date to be appointed.

(4)

S.I. 2001/3965 as amended by S.I. 2002/865, S.I. 2003/534, 1703 and 2323.

(5)

Regulation 47 was inserted by S.I. 2003/1845.

(6)

The National Care Standards Commission was abolished by section 44 of the Health and Social Care (Community Health and Standards) Act 2003 (c. 43), and its functions have been transferred to the CSCI and the CHAI.

(7)

S.I. 2001/3969 as amended by S.I. 2002/865 and S.I. 2003/369.

(8)

S.I. 2004/1972.

(9)

Paragraph 4 of Schedule 1 was amended by S.I. 2003/1845.

(10)

S.I. 2004/662.

(11)

S.I. 2004/1972.

(12)

S.I. 2002/3214 as amended by S.I. 2003/2323.

(13)

S.I. 2002/816 ( to which there are amendments which are not relevant to this paragraph).