The Regulated Advocacy Services (Service Providers and Responsible Individuals) (Wales) Regulations 2019

PART 10 Other requirements on service providers

Records

31.—(1) The service provider must keep and maintain the records specified in Schedule 2 in respect of each place at, from or in relation to which the service is provided.

(2) The service provider must—

(a) ensure that records relating to individuals are accurate and up to date;

(b) keep all records securely;

(c) make arrangements for the records to continue to be kept securely in the event the service closes;

(d) make the records available to the service regulator on request;

(e) retain records relating to adults for three years from the date of the last entry;

(f) retain records relating to children for fifteen years from the date of the last entry;

(g) ensure that individuals who use the service—

(i) can have access to their records; and

(ii) are made aware they can access their records.

Notifications

32.—(1) The service provider must notify the service regulator of the events specified in Schedule 3.

(2) The notifications required by paragraph (1) must include details of the event.

(3) Unless otherwise stated, notifications must be made without delay and in writing.

(4) Notifications must be made in such manner and in such form as may be required by the service regulator.

Conflicts of interest

33.  The service provider must have effective arrangements in place to identify, record and manage conflicts of interest.

Complaints policy and procedure

34.—(1) The service provider must have a complaints policy in place and ensure that the service is operated in accordance with that policy.

(2) The service provider must have effective arrangements in place for dealing with complaints including arrangements for—

(a) identifying and investigating complaints;

(b) giving an appropriate response to a person who makes a complaint, if it is reasonably practicable to contact that person;

(c) ensuring that appropriate action is taken following an investigation;

(d) keeping records relating to the matters in sub-paragraphs (a) to (c).

(3) The service provider must provide a summary of complaints, responses and subsequent action to the service regulator within 28 days of being requested to do so.

(4) The service provider must—

(a) analyse information relating to complaints and concerns; and

(b) having regard to that analysis, identify any areas for improvement.

Whistleblowing

35.—(1) The service provider must have arrangements in place to ensure that all persons working at the service (including any person allowed to work as a volunteer) are able to raise concerns about matters that may adversely affect the health, safety or well-being of individuals for whom the service is provided.

(2) These arrangements must include—

(a) having a whistleblowing policy in place and acting in accordance with that policy; and

(b) establishing arrangements to enable and support people working at the service to raise such concerns.

(3) The provider must ensure that the arrangements required under this regulation are operated effectively.

(4) When a concern is raised, the service provider must ensure that—

(a) the concern is investigated;

(b) appropriate steps are taken following an investigation;

(c) a record is kept of both the above.