Regulation and Inspection of Social Care (Wales) Act 2016

1. Introductory Text

2. PART 1 REGULATION OF SOCIAL CARE SERVICES

   1. CHAPTER 1 INTRODUCTION

      1. 1. Overview of Part 1

      2. 2. Meaning of “regulated service”

      3. 3. Other key terms

      4. 4. General objectives

   2. CHAPTER 2 REGISTRATION ETC. OF SERVICE PROVIDERS

      1. Requirement to register

         1. 5. Requirement to register

      2. Application for, variation of and cancellation of registration

         1. 6. Application for registration as a service provider

         2. 7. Grant or refusal of registration as a service provider

         3. 8. Duration of domiciliary support visits

         4. 9. Fit and proper person: relevant considerations

         5. 10. Annual return

         6. 11. Application for variation of registration as a service provider

         7. 12. Grant or refusal of application for variation

         8. 13. Variation without application

         9. 14. Application for cancellation of registration as a service provider

         10. 15. Cancellation without application

      3. Notice requirements

         1. 16. Improvement notices

         2. 17. Notice of decision following improvement notice

         3. 18. Notice of proposal

         4. 19. Notice of decision following notice of proposal

         5. 20. Notice of decision without notice of proposal

      4. Responsible individuals

         1. 21. Responsible individuals

         2. 22. Cancellation of designation of a responsible individual

      5. Urgent action

         1. 23. Urgent cancellation or variation of services or places

         2. 24. Urgent cancellation or variation: notification and appeals

         3. 25. Urgent variation of registration: other conditions

      6. Appeals

         1. 26. Appeals

      7. Regulations and guidance

         1. 27. Regulations about regulated services

         2. 28. Regulations about responsible individuals

         3. 29. Guidance about regulations under sections 27 and 28

         4. 30. Regulations about service providers who are liquidated etc.

         5. 31. Regulations about service providers who have died

   3. CHAPTER 3 INFORMATION AND INSPECTIONS

      1. 32. Power to require information

      2. 33. Inspections and inspectors

      3. 34. Powers of inspector to enter and inspect premises

      4. 35. Powers of inspector to interview and examine persons

      5. 36. Inspection reports

      6. 37. Inspection ratings

   4. CHAPTER 4 GENERAL FUNCTIONS

      1. 38. Register of service providers

      2. 39. Notifying local authorities of certain action taken under this Part

      3. 40. Charging fees

      4. 41. Engagement with the public

      5. 42. Annual report on regulatory functions

   5. CHAPTER 5 OFFENCES AND PENALTIES

      1. 43. Failure to comply with a condition

      2. 44. False descriptions

      3. 45. Failure by service provider to comply with requirements in regulations

      4. 46. Failure by responsible individual to comply with requirements in regulations

      5. 47. False statements

      6. 48. Failure to submit annual return

      7. 49. Failure to provide information

      8. 50. Offences related to inspections

      9. 51. Penalties upon conviction

      10. 52. Penalty notices

      11. 53. Offences by bodies corporate

      12. 54. Offences by unincorporated bodies

      13. 55. Proceedings for offences

   6. CHAPTER 6 LOCAL AUTHORITY SOCIAL SERVICES

      1. 56. Reports by local authorities and general duty of the Welsh Ministers

      2. 57. Reviews, investigations and inspections

      3. 58. Regulation of local authority functions relating to looked after and accommodated children

   7. CHAPTER 7 MARKET OVERSIGHT

      1. 59. Specifying criteria for application of market oversight regime

      2. 60. Determining whether criteria apply to service provider

      3. 61. Assessment of financial sustainability of service provider

      4. 62. Informing local authorities where failure of service provider likely

      5. 63. National market stability report

   8. CHAPTER 8 INTERPRETATION

      1. 64. Interpretation of this Part

3. PART 2 OVERVIEW AND INTERPRETATION OF PARTS 3 TO 8

   1. 65. Overview of Parts 3 to 8

   2. 66. Interpretation of Parts 3 to 8

4. PART 3 SOCIAL CARE WALES

   1. Continuation of the Care Council for Wales and its renaming

      1. 67. Social Care Wales

   2. SCW's objectives

      1. 68. SCW's objectives

   3. Advice and assistance

      1. 69. Advice and assistance in relation to care and support services

      2. 70. Studies as to economy, efficiency etc.

   4. Engagement with the public etc.

      1. 71. Engagement with the public and social care workers

   5. Policy with respect to bringing criminal proceedings

      1. 72. Statement of policy with respect to bringing criminal proceedings

   6. Rules made by SCW under this Act

      1. 73. Rules: general

      2. 74. Rules: fees

   7. Consultation before making rules etc.

      1. 75. Consultation before making rules etc.

   8. Guidance and directions

      1. 76. Guidance

      2. 77. Directions

   9. Default powers of the Welsh Ministers

      1. 78. Default powers of the Welsh Ministers

5. PART 4 SOCIAL CARE WORKERS

   1. Meaning of “social care worker” etc.

      1. 79. Meaning of “social care worker” etc.

   2. The register

      1. 80. The register

      2. 81. Duty to appoint a registrar

   3. Registration in the social worker part or an added part of the register

      1. 82. Application for registration

      2. 83. Registration

      3. 83A. Temporary registration in emergencies involving loss of human life or human illness etc

   4. “Appropriately qualified”

      1. 84. “Appropriately qualified”

      2. 85. Qualifications gained outside Wales – social workers

      3. 85A. Qualifications gained outside Wales – social care managers

   5. Renewal of registration in the social worker part or an added part of the register

      1. 86. Renewal of registration

      2. 87. Lapse of registration

   6. Dealing with applications for registration or renewal

      1. 88. Rules about applications for registration or renewal

      2. 89. Notice of decisions in respect of registration or renewal

   7. Visiting social workers

      1. 90. Visiting social workers from relevant European States

      2. 90A. Visiting social care managers from relevant European States

   8. Information to be contained on the register

      1. 91. Content of the register

   9. Removal of entries from the register

      1. 92. Removal by agreement

      2. 93. Death of a registered person

      3. 94. Entries based on false or misleading information

   10. Restoring an entry to the register

       1. 95. Duty to restore a register entry

       2. 96. Power to restore a register entry

       3. 97. Restoration following fitness to practise proceedings

       4. 98. Restoration proceedings

       5. 99. Review of suspension of right to apply for restoration

       6. 100. Rules about applications under section 96 and 97

   11. Appeals to a registration appeals panel

       1. 101. Appeals against decisions of the registrar

       2. 102. Appeals to the registration appeals panel: procedure

       3. 103. Decisions on appeal to the registration appeals panel

   12. Appeals to the tribunal

       1. 104. Appeals against decisions of a registration appeals panel

       2. 105. Other appeals: decisions made under the General Systems Regulations

   13. Notifying the registrar of changes to information etc.

       1. 106. Duty to notify the registrar of changes to registration information

       2. 107. Requests for information relating to fitness to practise

   14. Duty to publish the register etc.

       1. 108. Publication etc. of the register

       2. 109. Publication of certain registration appeal panel decisions

       3. 110. List of persons removed from the register

   15. Protection of title “social worker” etc.

       1. 111. Use of title “social worker” etc.

6. PART 5 SOCIAL CARE WORKERS: STANDARDS OF CONDUCT, EDUCATION ETC.

   1. 112. Codes of practice

   2. 113. Continuing professional development

   3. 114. Approval of courses etc.

   4. 115. Inspections in connection with certain courses

   5. 116. Other functions of SCW in respect of education and training

7. PART 6 SOCIAL CARE WORKERS: FITNESS TO PRACTISE

   1. CHAPTER 1 GROUNDS OF IMPAIRMENT

      1. 117. Fitness to practise

   2. CHAPTER 2 PRELIMINARY PROCEDURES

      1. Preliminary consideration of allegations etc.

         1. 118. Referral of allegations etc. of impaired fitness to practise

         2. 119. Preliminary consideration

         3. 120. Eligibility for onward referral

         4. 121. Direct referral to a fitness to practise panel

         5. 122. Notice: ineligibility for onward referral

         6. 123. Notice: onward referral

         7. 124. Notice: referral to an interim orders panel

      2. Investigation

         1. 125. Duty to investigate

         2. 126. Powers following an investigation

         3. 127. Notice: referral or disposal

         4. 128. Warnings

         5. 129. Undertakings

         6. 130. Mediation

      3. Review

         1. 131. Review of decisions by SCW

         2. 132. Cancellation of referral to fitness to practise panel

         3. 133. Referral by SCW for review proceedings

   3. CHAPTER 3 DISPOSAL OF FITNESS TO PRACTISE CASES

      1. 134. Scope and interpretation of Chapter 3

      2. 135. Removal from register on consensual basis

      3. 136. Other consensual disposal by fitness to practise panel: undertakings

      4. 137. Disposals by fitness to practise panel: finding of no impairment

      5. 138. Disposals by fitness to practise panel: finding of impairment

      6. 139. Disposals: further provision about conditional registration and suspension orders

      7. 140. Immediate orders for conditional registration or suspension

      8. 141. Fitness to practise decisions: notification and taking effect

      9. 142. Regulations about disposals by fitness to practise panels

   4. CHAPTER 4 INTERIM ORDERS AND REVIEW OF INTERIM ORDERS

      1. 143. Scope and interpretation of Chapter 4

      2. 144. Interim orders

      3. 145. Appeals against interim orders

      4. 146. Reviews of interim orders: timing

      5. 147. Reviews of interim order: possible decisions

      6. 148. Extension of interim order by the tribunal

      7. 149. Revocation of interim orders

   5. CHAPTER 5 REVIEW PROCEEDINGS

      1. 150. Review proceedings: interpretation and general

      2. 151. Review proceedings

      3. 152. Review of undertakings: disposals by fitness to practise panel

      4. 153. Review of conditional registration orders: disposals by fitness to practise panel

      5. 154. Review of suspension orders: disposals by fitness to practise panel

      6. 155. Review of indefinite suspension orders

      7. 156. Reviews: further provision about conditional registration and suspension orders

      8. 157. Decisions in review cases: notification and taking effect

   6. CHAPTER 6 APPEALS AND REFERRALS TO THE TRIBUNAL

      1. 158. Appeals against decisions of a fitness to practise panel

   7. CHAPTER 7 GENERAL AND SUPPLEMENTARY

      1. 159. Disclosure of information about fitness to practise

      2. 160. Power to require information

      3. 161. Publication of fitness to practise decisions

      4. 162. Guidance about fitness to practise

      5. 163. Suspension: supplementary

      6. 164. Meaning of “registered person” in Part 6

8. PART 7 ORDERS PROHIBITING WORK IN SOCIAL CARE: UNREGISTERED PERSONS

   1. 165. Designation of regulated activity

   2. 166. Conditions for making a prohibition order

   3. 167. Interim prohibition orders

   4. 168. Prohibition orders: supplementary provision

   5. 169. Interim prohibition orders: review

   6. 170. Appeals

   7. 171. Offences

   8. Supplementary provision

      1. 172. List of prohibited persons

      2. 173. Standards of conduct

9. PART 8 SOCIAL CARE WALES: DUTY TO ESTABLISH PANELS ETC.

   1. 174. Duty to establish panels etc.

   2. 175. Proceedings before panels

10. PART 9 CO-OPERATION AND JOINT WORKING BY THE REGULATORY BODIES ETC.

    1. 176. The regulatory bodies

    2. 177. Relevant authorities

    3. 178. Co-operation in the exercise of functions

    4. 179. Joint exercise of functions

    5. 180. Delegating functions to another regulatory body

    6. 181. Sharing information

    7. 182. Sharing information to protect well-being

11. PART 10 MISCELLANEOUS AND GENERAL

    1. 183. Inquiries

    2. 184. Service of documents etc.

12. PART 11 FINAL PROVISIONS

    1. 185. Minor and consequential amendments

    2. 186. Power to make consequential etc. provision

    3. 187. Regulations under this Act

    4. 188. Coming into force

    5. 189. General interpretation

    6. 190. Short title

13. 1. SCHEDULE 1

       REGULATED SERVICES: DEFINITIONS

       1. Care home services

          1. 1. (1) A “care home service” is the provision of accommodation,...

       2. Secure accommodation services

          1. 2. A “secure accommodation service” is the provision of accommodation for...

       3. Residential family centre services

          1. 3. (1) A “residential family centre service” is the provision of...

       4. Adoption services

          1. 4. An “adoption service” is a service provided in Wales by—...

       5. Fostering services

          1. 5. A “fostering service” means any service provided in Wales by...

       6. Adult placement services

          1. 6. (1) An “adult placement service” means a service carried on...

       7. Advocacy services

          1. 7. (1) An “advocacy service” is a service specified for the...

       8. Domiciliary support services

          1. 8. (1) A “domiciliary support service” is the provision of care...

       9. Interpretation

          1. 9. In this Schedule— “hospital” (“ysbyty”) means— a health service hospital...

    2. SCHEDULE 2

       SOCIAL CARE WALES

       1. PART 1 STATUS

          1. Status

             1. 1. (1) SCW is not to be regarded as a servant...

       2. PART 2 MEMBERSHIP

          1. Members

             1. 2. (1) SCW is to consist of— (a) a member to...

          2. Remuneration etc. of members

             1. 3. (1) SCW may pay to its members such remuneration, expenses...

          3. Term of office

             1. 4. A person appointed as a member of SCW holds office...

          4. Resignation

             1. 5. (1) The chairing member may resign by giving written notice...

          5. Dismissal

             1. 6. (1) The Welsh Ministers may by written notice dismiss the...

       3. PART 3 GENERAL POWERS

          1. Committees

             1. 7. (1) SCW may establish committees. (2) Committees established under sub-paragraph...

          2. Delegation

             1. 8. (1) SCW may arrange for any of its functions to...

          3. Supplementary powers

             1. 9. SCW may do anything which is calculated to facilitate, or...

       4. PART 4 PROCEEDINGS ETC.

          1. Procedure

             1. 10. (1) SCW is to regulate its own procedure (including quorum);...

          2. Application of seal

             1. 11. (1) SCW may have a seal. (2) The application of...

          3. Evidence

             1. 12. A document purporting to be duly executed under the seal...

       5. PART 5 CHIEF EXECUTIVE AND OTHER STAFF

          1. Chief executive and other staff

             1. 13. (1) SCW must appoint a chief executive.

       6. PART 6 FINANCIAL MATTERS AND ANNUAL REPORTS ETC.

          1. Payments by the Welsh Ministers

             1. 14. The Welsh Ministers may make payments to SCW of such...

          2. Accounting officer

             1. 15. (1) The chief executive is to act as SCW's accounting...

          3. Accounts and audit

             1. 16. (1) SCW must for each financial year—

          4. Annual reports etc.

             1. 17. (1) No later than 30 November after the end of...

    3. SCHEDULE 3

       MINOR AND CONSEQUENTIAL AMENDMENTS

       1. PART 1 REGULATION OF SERVICES

          1. Care Standards Act 2000

             1. 1. The Care Standards Act 2000 (c.14) is amended as follows....

             2. 2. In section 1— (a) in subsection (1), at the end...

             3. 3. In section 3— (a) in subsection (1), after “establishment” insert...

             4. 4. In section 4— (a) in subsection (2), after “establishment” insert...

             5. 5. In section 5— (a) in subsection (1)(b), for “in any...

             6. 6. In section 8(6)— (a) in paragraph (a), for “section 5(b)”...

             7. 7. In section 14(2), after paragraph (f) insert—

             8. 8. In section 22— (a) in subsection (1), for paragraph (b)...

             9. 9. In section 22B— (a) in subsection (1), for “registration authority”...

             10. 10. In section 23, after subsection (1) insert—

             11. 11. In section 30A— (a) in subsection (1), after “agency” insert...

             12. 12. Section 36A is repealed.

             13. 13. In section 42— (a) for subsection (2) substitute—

             14. 14. In section 43, after subsection (1) insert—

             15. 15. In section 50(1), for “registration authority” substitute “ CIECSS ”....

             16. 16. Section 79(3) is repealed.

          2. Health and Social Care (Community Health and Standards) Act 2003

             1. 17. The Health and Social Care (Community Health and Standards) Act...

             2. 18. Chapter 6 of Part 2 (social services: functions of the...

             3. 19. In section 142, in paragraph (a)— (a) in sub-paragraph (i),...

             4. 20. In section 143(2), paragraph (b) is repealed.

          3. Public Audit (Wales) Act 2004

             1. 21. The Public Audit (Wales) Act 2004 (c.23) is amended as...

             2. 22. In section 41(6) (co-operation between the Auditor General for Wales...

             3. 23. In section 42(4) (co-operation between the Auditor General for Wales...

          4. Children Act 2004

             1. 24. In section 30 of the Children Act 2004 (c.31) (inspection...

          5. Public Services Ombudsman (Wales) Act 2005

             1. 25. The Public Services Ombudsman (Wales) Act 2005 (c.10) is amended...

             2. 26. In section 34R (meaning of “care home” and “care home...

             3. 27. In section 42(4A) (meaning of “former care home provider”), for...

          6. Safeguarding Vulnerable Groups Act 2006

             1. 28. In paragraph 1 of Schedule 4 to the Safeguarding Vulnerable...

          7. Social Services and Well-being (Wales) Act 2014

             1. 29. The 2014 Act is amended as follows.

             2. 30. In section 1 (overview)— (a) in subsection (9)—

             3. 31. Section 183 (publicising advocacy services in care homes) is repealed....

             4. 32. In section 188(1) (definitions for the purposes of sections 185...

             5. 33. In section 189 (provider failure: temporary duty on local authority)—...

             6. 34. In section 190(1) (provider failure: exception to temporary duty), for...

             7. 35. In section 191 (provider failure: supplementary)— (a) in subsection (6),...

             8. 36. In section 197(1) (definitions)— (a) in the definition of “care...

       2. PART 2 SOCIAL CARE WALES

          1. Mental Health Act 1983

             1. 37. The Mental Health Act 1983 (c.20) is amended as follows....

             2. 38. In section 114A (approval of courses for mental health professionals:...

             3. 39. In section 130H(7)(b) (independent mental health advocates for Wales: supplementary...

          2. Care Standards Act 2000

             1. 40. The Care Standards Act 2000 (c.14) is amended as follows....

             2. 41. The following provisions are repealed— (a) sections 56 (the register)...

             3. 42. In section 55 (interpretation)— (a) for subsections (2), (3) and...

             4. 43. In section 67 (functions of the appropriate Minister)—

             5. 44. In Schedule 2A (persons subject to review by the Children's...

          3. Adoption and Children Act 2002

             1. 45. The Adoption and Children Act 2002 (c.38) is amended as...

             2. 46. In section 10(2) (management etc. of agencies), for “section 56(1)...

          4. Public Audit (Wales) Act 2004

             1. 47. The Public Audit (Wales) Act 2004 (c.23) is amended as...

             2. 48. In section 41 (studies for improving economy etc. in services),...

          5. Public Services Ombudsman (Wales) Act 2005

             1. 49. The Public Services Ombudsman (Wales) Act 2005 (c.10) is amended...

             2. 50. In Schedule 3 (listed authorities), for “The Care Council for...

          6. Commissioner for Older People (Wales) Act 2006

             1. 51. The Commissioner for Older People (Wales) Act 2006 (c.30) is...

             2. 52. In Schedule 2 (persons whose functions are subject to review...

          7. Safeguarding Vulnerable Groups Act 2006

             1. 53. The Safeguarding Vulnerable Groups Act 2006 (c.47) is amended as...

             2. 54. In section 41 (registers: power to refer information to the...

             3. 55. In Part 3 of Schedule 3 (barred lists: supplementary provision)—...

             4. 56. In Part 2 of Schedule 4 (regulated activity in relation...

          8. Health and Social Care Act 2008

             1. 57. The Health and Social Care Act 2008 (c.14) is amended...

             2. 58. The following provisions are repealed— (a) section 124 (regulation of...

       3. PART 3 MISCELLANEOUS

          1. Public Services Ombudsman (Wales) Act 2005

             1. 59. In section 33 of the Public Services Ombudsman (Wales) Act...

          2. Social Services and Well-being (Wales) Act 2014

             1. 60. The 2014 Act is amended as follows.

             2. 61. In the Welsh text of section 21(3)(b) (duty to assess...

             3. 62. In section 42 (duty to meet support needs of a...

             4. 63. In the Welsh text of section 46(3) (exception for persons...

             5. 64. In the Welsh text of section 147(3) (departure from requirements...

             6. 65. In section 197(1) (general interpretation), in the definition of “voluntary...