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

1. Introductory Text

2. PART 1 General

   1. 1. Title, commencement, application and interpretation

3. PART 2 Exceptions

   1. 2. Care home services

   2. 3. Domiciliary support services

   3. 4. Residential family centre services

   4. 5. Meaning of family or personal relationship

4. PART 3 General requirements on service providers

   1. 6. Requirements in relation to the provision of the service

   2. 7. Requirements in relation to the statement of purpose

   3. 8. Requirements in relation to monitoring and improvement

   4. 9. Requirements in relation to the responsible individual

   5. 10. Requirements in relation to the responsible individual where the service provider is an individual

   6. 11. Requirements in relation to the financial sustainability of the service

   7. 12. Requirements to provide the service in accordance with policies and procedures

   8. 13. Duty of candour

5. PART 4 Requirements on service providers as to the steps to be taken before agreeing to provide care and support

   1. 14. Suitability of the service

6. PART 5 Requirements on service providers as to the steps to be taken on commencement of the provision of care and support

   1. 15. Personal plan

   2. 16. Review of personal plan

   3. 17. Records of personal plans

   4. 18. Provider assessment

7. PART 6 Requirements on service providers as to the information to be provided to individuals on commencement of the provision of care and support

   1. 19. Information about the service

   2. 20. Service agreement

8. PART 7 Requirements on service providers as to the standard of care and support to be provided

   1. 21. Standards of care and support - overarching requirements

   2. 22. Continuity of care

   3. 23. Information

   4. 24. Language and communication

   5. 25. Respect and sensitivity

9. PART 8 Requirements on service providers -safeguarding

   1. 26. Safeguarding - overarching requirement

   2. 27. Safeguarding policies and procedures

   3. 28. Supporting individuals to manage their money

   4. 29. The appropriate use of control and restraint

   5. 30. Prohibition on the use of corporal punishment

   6. 31. Deprivation of liberty

   7. 32. Interpretation of Part 8

10. PART 9 Requirements on service providers which only apply where accommodation is provided

    1. 33. Access to health and other services

11. PART 10 Requirements on service providers as to staffing

    1. 34. Staffing - overarching requirements

    2. 35. Fitness of staff

    3. 36. Supporting and developing staff

    4. 37. Compliance with employer’s code of practice

    5. 38. Information for staff

    6. 39. Disciplinary procedures

12. PART 11 Requirements on service providers in respect of domiciliary support services

    1. 40. Application of regulations in this Part

    2. 41. Delineation of travel time and care time

    3. 42. Offering domiciliary care workers on non-guaranteed hours contracts the choice of alternative contractual arrangements

13. PART 12 Requirements on service providers as to premises, facilities and equipment

    1. 43. Overarching requirement

    2. 44. Premises – accommodation-based services only

    3. 45. Single occupancy and shared rooms - adults

    4. 46. Single occupancy and shared rooms – children

    5. 47. Premises – all services

    6. 48. Facilities and equipment

14. PART 13 Additional requirements on service providers in respect of premises – new accommodation

    1. 49. Application of Part 13

    2. 50. Additional requirements – en-suite bathrooms

    3. 51. Additional requirements – room sizes

    4. 52. Additional requirements – communal space

    5. 53. Additional requirements – outdoor space

    6. 54. Additional requirements – passenger lift

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

    1. 55. Supplies

    2. 56. Hygiene and infection control

    3. 57. Health and safety

    4. 58. Medicines

16. PART 15 Other requirements on service providers

    1. 59. Records

    2. 60. Notifications

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

    4. 62. Notification with respect to the death of a child accommodated in a secure children’s home

    5. 63. Conflicts of interest (including prohibitions)

    6. 64. Complaints policy and procedure

    7. 65. Whistleblowing

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

    1. 66. Supervision of management of the service

    2. 67. Duty to appoint a manager

    3. 68. Fitness requirements for appointment of manager

    4. 69. Restrictions on appointing manager for more than one service

    5. 70. Duty to report the appointment of manager to service provider

    6. 71. Duty to report appointment of manager to the workforce and service regulators

    7. 72. Arrangements when manager is absent

    8. 73. Visits

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

    1. 74. Oversight of adequacy of resources

    2. 75. Other reports to the service provider

    3. 76. Engagement with individuals and others

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

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

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

    3. 79. Duty to ensure policies and procedures are up to date

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

    1. 80. Quality of care review

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

21. PART 20 Other requirements on responsible individuals

    1. 82. Support for staff raising concerns

    2. 83. Duty of candour

    3. 84. Notifications

22. PART 21 Offences

    1. 85. Offences – service providers

    2. 86. Offences – responsible individuals

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

    1. 87. Appointment of liquidators etc.

    2. 88. Death of service provider

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

    1. 89. Designation of responsible individual by Welsh Ministers

25. Signature

26. 1. SCHEDULE 1

       1. PART 1 Information and documents to be available in respect of persons working in regulated services

          1. 1. Proof of identity including a recent photograph.

          2. 2. Where required for the purposes of an exempted question in...

          3. 3. Where required for the purposes of an exempted question asked...

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

          5. 5. Where a person has previously worked in a position whose...

          6. 6. Documentary evidence of any relevant qualification.

          7. 7. Where relevant, documentary evidence of registration with Social Care Wales....

          8. 8. A full employment history, together with a satisfactory written explanation...

          9. 9. Evidence of satisfactory linguistic ability for the purposes of providing...

          10. 10. Details of registration with or membership of any professional body....

       2. PART 2 Interpretation of Part 1

          1. 11. For the purposes of paragraphs 2 and 3 of Part...

    2. SCHEDULE 2

       Records to be kept in respect of regulated services

       1. PART 1 Records to be kept in respect of all regulated services

          1. 1. In respect of each individual, records of—

          2. 2. A record of any charges by the service provider to...

          3. 3. A record of all medicines kept in the service for...

          4. 4. A record of all money or other valuables deposited by...

          5. 5. A record of the following events that occur in the...

          6. 6. A record of every fire practice, drill or test of...

          7. 7. A record of all complaints made by individuals or their...

          8. 8. A record of all persons working at the service, which...

          9. 9. A copy of the duty roster of persons working at...

       2. PART 2 Additional records to be kept in respect of care home services, secure accommodation services and residential family centre services

          1. 10. A record of any furniture brought by an individual into...

          2. 11. A record of any of the following events that occur...

          3. 12. A record of all visitors to the service, including the...

    3. SCHEDULE 3

       Notifications by the service provider

       1. PART 1 Notifications to the service regulator in respect of all services

          1. 1. Any revision to the statement of purpose, 28 days prior...

          2. 2. Service provider (individual or organisation) changes their name.

          3. 3. Where the service provider is a company, any change in...

          4. 4. Where the service provider is an individual, the appointment of...

          5. 5. Where the service provider is a body corporate or partnership,...

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

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

          8. 8. Expected absence of the responsible individual for 28 days or...

          9. 9. The unexpected absence of the responsible individual, no later than...

          10. 10. Unexpected absence of the responsible individual for 28 days or...

          11. 11. Return from absence of the responsible individual.

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

          13. 13. Any abuse or allegation of abuse in relation to an...

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

          15. 15. Any allegation of misconduct by a member of staff.

          16. 16. Any occurrence of a category 3 or 4 pressure ulcer,...

          17. 17. Serious accident, injury to or illness of an individual.

          18. 18. The outbreak of any infectious disease.

          19. 19. Any incident reported to the police.

          20. 20. Any events which prevent, or could prevent, the provider from...

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

          22. 22. Any request to a supervisory body in relation to the...

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

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

          25. 25. Any proposal to change the address of the principal office,...

       2. PART 2 Additional notifications to the service regulator where care and support is provided to children

          1. 26. Any referral to the DBS pursuant to the Safeguarding Vulnerable...

          2. 27. Where the service provider, responsible individual or appointed manager is...

          3. 28. Instigation and subsequent outcome of any child protection enquiry involving...

          4. 29. Any allegation that a child accommodated by the service has...

          5. 30. Incident of child sexual exploitation or suspected child sexual exploitation....

          6. 31. Any incident where an accommodated child goes missing or has...

       3. PART 3 Notifications to the placing authority where a care home service is provided to children

          1. 32. Any abuse or allegation of abuse in relation to a...

          2. 33. Serious accident, injury to or illness of a child accommodated...

          3. 34. Any occurrence of a category 3 or 4 pressure ulcer,...

          4. 35. The outbreak of any infectious disease.

          5. 36. Any incident reported to the police.

          6. 37. The death of a child accommodated by the service and...

          7. 38. Any referral to the DBS pursuant to the Safeguarding Vulnerable...

          8. 39. An allegation that a child accommodated by the service has...

          9. 40. Any incident where an accommodated child goes missing or has...

          10. 41. Instigation and subsequent outcome of any child protection enquiry involving...

          11. 42. Any incident of child sexual exploitation or suspected child exploitation....

       4. PART 4 Notifications to the local authority in whose area the home is situated where a care home service is provided to children

          1. 43. Death of a child and the circumstances.

          2. 44. Any incident of child sexual exploitation or suspected child exploitation....

          3. 45. Any incident where an accommodated child goes missing or has...

       5. PART 5 Notifications to the appropriate police officer where a care home service is provided to children

          1. 46. Any incident of child sexual exploitation or suspected child exploitation....

       6. PART 6 Notifications to the health board in whose area the home is situated where a care home service is provided to children

          1. 47. The outbreak of any infectious disease.

          2. 48. The death of a child and the circumstances.

    4. SCHEDULE 4

       Notifications by the responsible individual

       1. 1. The appointment of a manager (see regulation 7(1)).

       2. 2. The expected absence of the appointed manager for 28 days...

       3. 3. The unexpected absence of the appointed manager, no later than...

       4. 4. The unexpected absence of appointed manager for 28 days or...

       5. 5. Return from absence of appointed manager.

       6. 6. Interim arrangements where the manager is absent for longer than...

       7. 7. Someone other than the appointed manager is proposing to manage...

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

27. Explanatory Note