Regulations 28 and 36

SCHEDULE 1 E+W

PART 1 E+W Information and documentation to be available in respect of adult placement carers and persons working at the service

1.  Proof of identity including a recent photograph. E+W

Commencement Information

I1 Sch. 1 para. 1 in force at 29.4.2019, see reg. 1(2)

2.  Where required for the purposes of an exempted question in accordance with section 113A(2)(b) of the Police Act 1997 M1 , a copy of a valid criminal record certificate issued under section 113A of that Act together with, after the appointed day and where applicable, the information mentioned in section 30A(3) of the Safeguarding Vulnerable Groups Act 2006 M2 (provision of barring information on request). E+W

Commencement Information

I2 Sch. 1 para. 2 in force at 29.4.2019, see reg. 1(2)

Marginal Citations

M1 1997 c. 50.

M2 2006 c. 47.

3.  Where required for the purposes of an exempted question asked for a prescribed purpose under section 113B(2)(b) of the Police Act 1997, a copy of a valid enhanced criminal record certificate issued under section 113B of that Act together with, where applicable, suitability information relating to vulnerable adults (within the meaning of section 113BB(2) of that Act). E+W

Commencement Information

I3 Sch. 1 para. 3 in force at 29.4.2019, see reg. 1(2)

4.  Two written references, including a reference from the last employer, if any. E+W

Commencement Information

I4 Sch. 1 para. 4 in force at 29.4.2019, see reg. 1(2)

5.  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 employment or position ended. E+W

Commencement Information

I5 Sch. 1 para. 5 in force at 29.4.2019, see reg. 1(2)

6.  Documentary evidence of any relevant qualification. E+W

Commencement Information

I6 Sch. 1 para. 6 in force at 29.4.2019, see reg. 1(2)

7.  Where relevant, documentary evidence of registration with SCW. E+W

Commencement Information

I7 Sch. 1 para. 7 in force at 29.4.2019, see reg. 1(2)

8.  A full employment history, together with a satisfactory written explanation of any gaps in employment. E+W

Commencement Information

I8 Sch. 1 para. 8 in force at 29.4.2019, see reg. 1(2)

9.  Evidence of satisfactory linguistic ability for the purposes of providing care and support to those individuals for whom the worker or adult placement carer is to provide care and support. E+W

Commencement Information

I9 Sch. 1 para. 9 in force at 29.4.2019, see reg. 1(2)

10.  Details of registration with or membership of any professional body. E+W

Commencement Information

I10 Sch. 1 para. 10 in force at 29.4.2019, see reg. 1(2)

PART 2 E+W Interpretation of Part 1

11.  For the purposes of paragraphs 2 and 3 of Part 1 of this Schedule— E+W

(a) if the person to whom the certificate relates is not registered with the DBS update service, a certificate is only valid if—

(i) it has been issued in response to an application by the service provider in accordance with regulation 28(3) or (6), or 36(3) or (6), and

(ii) no more than three years have elapsed since the certificate was issued;

(b) if the person to whom the certificate relates is registered with the DBS update service, the certificate is valid regardless of when it was issued.

Commencement Information

I11 Sch. 1 para. 11 in force at 29.4.2019, see reg. 1(2)

Regulation 40

SCHEDULE 2 E+W Records to be kept in respect of services

Records to be kept E+W

1.  In respect of each adult placement carer, records of—

(a) full name;

(b) sex;

(c) date of birth;

(d) address;

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

(f) a copy of the carer agreement;

(g) a copy of any relevant individual placement agreements;

(h) a record of the monitoring undertaken in respect of the placement.

Commencement Information

I12 Sch. 2 para. 1 in force at 29.4.2019, see reg. 1(2)

2.  In respect of each individual, records of— E+W

(a) all relevant assessments;

(b) care and support plans;

(c) personal plans;

(d) reviews of personal plans.

Commencement Information

I13 Sch. 2 para. 2 in force at 29.4.2019, see reg. 1(2)

3.  A record of any charges by the service provider to individuals for the provision of care and support and any additional services. E+W

Commencement Information

I14 Sch. 2 para. 3 in force at 29.4.2019, see reg. 1(2)

4.  Where applicable, a record of all medicines kept by the adult placement carer for each individual and the date and time on which they were administered to the individual. E+W

Commencement Information

I15 Sch. 2 para. 4 in force at 29.4.2019, see reg. 1(2)

5.  A record of all money or other valuables deposited by the individual with the adult placement carer for safekeeping or received on the individual's behalf, which must include a record of— E+W

(a) the date on which the money or valuables were deposited or received;

(b) the date on which any money or valuables were—

(i) returned to the individual, or

(ii) used, at the request of the individual, on their behalf;

(c) where applicable, the purpose for which the money or valuables were used;

(d) the written acknowledgment of the return of the money or valuables.

Commencement Information

I16 Sch. 2 para. 5 in force at 29.4.2019, see reg. 1(2)

6.  A record of the following events that occur in the home of the adult placement carer— E+W

(a) any serious accident or injury which is significantly detrimental to the well-being of an individual;

(b) any theft or burglary;

(c) any safeguarding referral made in respect of an individual;

(d) date and circumstances of any measures of control, restraint or discipline used on an individual.

Commencement Information

I17 Sch. 2 para. 6 in force at 29.4.2019, see reg. 1(2)

7.  A record of all complaints made by individuals or their representatives or by persons working at the service or by adult placement carers about the operation of the service, and the action taken by the service provider in respect of any such complaint. E+W

Commencement Information

I18 Sch. 2 para. 7 in force at 29.4.2019, see reg. 1(2)

8.  A record of all persons working at the service, which must include the following matters— E+W

(a) the person's full name, address, date of birth, qualifications and experience;

(b) a copy of the person's birth certificate and passport (if any);

(c) a copy of each reference obtained in respect of the person;

(d) the dates on which the person commences and ceases to be so employed;

(e) the position the person holds at the service, the work he or she performs and the number of hours for which he or she is employed each week;

(f) records of disciplinary action and any other records in relation to the person's employment;

(g) a record of the date of a DBS certificate and whether there was any action taken as a result of the content of the certificate.

Commencement Information

I19 Sch. 2 para. 8 in force at 29.4.2019, see reg. 1(2)

9.  A copy of the duty roster of persons working at the service, and a record of whether the roster was actually worked as intended. E+W

Commencement Information

I20 Sch. 2 para. 9 in force at 29.4.2019, see reg. 1(2)

Regulation 41

SCHEDULE 3 E+W Notifications by the service provider

1.  Any revision to the statement of purpose, 28 days prior to the revised statement of purpose coming into effect. E+W

Commencement Information

I21 Sch. 3 para. 1 in force at 29.4.2019, see reg. 1(2)

2.  Where the service provider (individual or organisation) changes their name. E+W

Commencement Information

I22 Sch. 3 para. 2 in force at 29.4.2019, see reg. 1(2)

[F1 3.   Where, on or after 1 April 2020, the service provider is a body corporate, any change in the— E+W

(a) directors,

(b) trustees, or

(c) members of the managing committee,

of the body corporate.

Textual Amendments

F1 Sch. 3 paras. 3, 3A substituted for Sch. 3 para. 3 (1.4.2020) by The Regulation and Inspection of Social Care (Wales) Act 2016 and Regulated Services (Miscellaneous Amendments) Regulations 2020 (S.I. 2020/389), regs. 1(2), 9(a)

Commencement Information

I23 Sch. 3 para. 3 in force at 29.4.2019, see reg. 1(2)

3A.   Where, on or after 1 April 2020, the service provider is an unincorporated body, any change in the persons who are concerned in the management and control of the body.] E+W

Textual Amendments

F1 Sch. 3 paras. 3, 3A substituted for Sch. 3 para. 3 (1.4.2020) by The Regulation and Inspection of Social Care (Wales) Act 2016 and Regulated Services (Miscellaneous Amendments) Regulations 2020 (S.I. 2020/389), regs. 1(2), 9(a)

4.  Where the service provider is an individual, the appointment of a trustee in bankruptcy in relation to that individual. E+W

Commencement Information

I24 Sch. 3 para. 4 in force at 29.4.2019, see reg. 1(2)

5.  Where the service provider is a body corporate or partnership, the appointment of a receiver, manager, liquidator or provisional liquidator in relation to that [F2 body corporate] or partnership. E+W

Textual Amendments

F2 Words in Sch. 3 para. 5 substituted (1.4.2020) by The Regulation and Inspection of Social Care (Wales) Act 2016 and Regulated Services (Miscellaneous Amendments) Regulations 2020 (S.I. 2020/389), regs. 1(2), 9(b)

Commencement Information

I25 Sch. 3 para. 5 in force at 29.4.2019, see reg. 1(2)

6.  Where the service provider is a partnership, death of one of the partners. E+W

Commencement Information

I26 Sch. 3 para. 6 in force at 29.4.2019, see reg. 1(2)

7.  Where the service provider is a partnership, any change in the partners. E+W

Commencement Information

I27 Sch. 3 para. 7 in force at 29.4.2019, see reg. 1(2)

8.  Expected absence of the responsible individual for 28 days or more, 7 days prior to commencement of the absence. E+W

Commencement Information

I28 Sch. 3 para. 8 in force at 29.4.2019, see reg. 1(2)

9.  The unexpected absence of the responsible individual, no later than 7 days after the commencement of the absence. E+W

Commencement Information

I29 Sch. 3 para. 9 in force at 29.4.2019, see reg. 1(2)

10.  Unexpected absence of the responsible individual for 28 days or more, where no prior notification has been given, immediately on the expiry of 28 days following the commencement of the absence. E+W

Commencement Information

I30 Sch. 3 para. 10 in force at 29.4.2019, see reg. 1(2)

11.  Return from absence of the responsible individual. E+W

Commencement Information

I31 Sch. 3 para. 11 in force at 29.4.2019, see reg. 1(2)

12.  The responsible individual ceases, or proposes to cease, being the responsible individual for the service. E+W

Commencement Information

I32 Sch. 3 para. 12 in force at 29.4.2019, see reg. 1(2)

13.  Any abuse or allegation of abuse in relation to an individual that involves the service provider, a member of staff, volunteer and/or a adult placement carer. E+W

Commencement Information

I33 Sch. 3 para. 13 in force at 29.4.2019, see reg. 1(2)

14.  Where the service provider, responsible individual or appointed manager convicted of a criminal offence. E+W

Commencement Information

I34 Sch. 3 para. 14 in force at 29.4.2019, see reg. 1(2)

15.  Any allegation of misconduct by a member of staff. E+W

Commencement Information

I35 Sch. 3 para. 15 in force at 29.4.2019, see reg. 1(2)

16.  Serious accident or injury of an individual placed with an adult placement carer. E+W

Commencement Information

I36 Sch. 3 para. 16 in force at 29.4.2019, see reg. 1(2)

17.  Any incident reported to the police. E+W

Commencement Information

I37 Sch. 3 para. 17 in force at 29.4.2019, see reg. 1(2)

18.  Any events which prevent, or could prevent, the service provider from continuing to provide the service safely. E+W

Commencement Information

I38 Sch. 3 para. 18 in force at 29.4.2019, see reg. 1(2)

19.  The death of an individual placed with an adult placement carer and the circumstances. E+W

Commencement Information

I39 Sch. 3 para. 19 in force at 29.4.2019, see reg. 1(2)

20.  Any request to a supervisory body in relation to the application of the deprivation of liberty safeguards (DOLS) M3 . E+W

Commencement Information

I40 Sch. 3 para. 20 in force at 29.4.2019, see reg. 1(2)

Marginal Citations

M3 See Part 1 of the Mental Capacity Act 2005 (c. 9).

21.  Any proposal to change the address of the principal office, 28 days prior to the change taking place. E+W

Commencement Information

I41 Sch. 3 para. 21 in force at 29.4.2019, see reg. 1(2)

Regulation 63

SCHEDULE 4 E+W Notifications by the responsible individual

1.  The appointment of a manager (see regulation 46(1)). E+W

Commencement Information

I42 Sch. 4 para. 1 in force at 29.4.2019, see reg. 1(2)

2.  The appointment of a manager (see regulation 46(1)). E+W

Commencement Information

I43 Sch. 4 para. 2 in force at 29.4.2019, see reg. 1(2)

3.  The expected absence of the appointed manager for 28 days or more, 7 days prior to the commencement of the absence. E+W

Commencement Information

I44 Sch. 4 para. 3 in force at 29.4.2019, see reg. 1(2)

4.  The unexpected absence of the appointed manager, no later than 7 days after the commencement of the absence. E+W

Commencement Information

I45 Sch. 4 para. 4 in force at 29.4.2019, see reg. 1(2)

5.  The unexpected absence of appointed manager for 28 days or more where no prior notification has been given, immediately on the expiry of 28 days following the commencement of the absence. E+W

Commencement Information

I46 Sch. 4 para. 5 in force at 29.4.2019, see reg. 1(2)

6.  Return from absence of appointed manager. E+W

Commencement Information

I47 Sch. 4 para. 6 in force at 29.4.2019, see reg. 1(2)

7.  Interim arrangements where the manager is absent for longer than 28 days. E+W

Commencement Information

I48 Sch. 4 para. 7 in force at 29.4.2019, see reg. 1(2)

8.  Someone other than the appointed manager is proposing to manage or is managing the service. E+W

Commencement Information

I49 Sch. 4 para. 8 in force at 29.4.2019, see reg. 1(2)

9.  The appointed manager ceases, or proposes to cease, managing the service. E+W

Commencement Information

I50 Sch. 4 para. 9 in force at 29.4.2019, see reg. 1(2)