SCHEDULE 1
PART 1Information and documents to be available in respect of persons working in regulated services
I11
Proof of identity including a recent photograph.
I22
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 (provision of barring information on request).
I33
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 children (within the meaning of section 113BA(2) of that Act) or suitability information relating to vulnerable adults (within the meaning of section 113BB(2) of that Act).
I44
Two written references, including a reference from the last employer, if any.
I55
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.
I66
Documentary evidence of any relevant qualification.
I77
Where relevant, documentary evidence of registration with SCW.
I88
A full employment history, together with a satisfactory written explanation of any gaps in employment.
I99
Evidence of satisfactory linguistic ability for the purposes of providing advocacy to those individuals for whom the worker is to provide it.
I1010
Details of registration with or membership of any professional body.
PART 2Interpretation of Part 1
I1111
For the purposes of paragraphs 2 and 3 of Part 1 of this Schedule—
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 24(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.
SCHEDULE 2Records to be kept
I121
In respect of each individual, records of—
a
advocacy plans and revised advocacy plans,
b
correspondence, reports and records in relation to the matters for which advocacy is provided and the outcome.
I132
A record of any charges by the service provider to individuals for the provision of advocacy and any additional services.
I143
A record of all complaints made by individuals or their representatives or by persons working at the service about the operation of the service, and the action taken by the service provider in respect of any such complaint.
I154
A record of all persons working at the service, which must include the following matters—
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 the person performs and the number of hours for which the person 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.
SCHEDULE 3Notifications by the service provider
I161
Any revision to the statement of purpose, 28 days prior to the revised statement of purpose coming into effect.
I172
Service provider (individual or organisation) changes their name.
I183
Where the service provider is a company, any change in the directors of the company.
I194
Where the service provider is an individual, the appointment of a trustee in bankruptcy in relation to that individual.
I205
Where the service provider is a body corporate or partnership, the appointment of a receiver, manager, liquidator or provisional liquidator in relation to that company or partnership.
I216
Where the service provider is a partnership, death of one of the partners.
I227
Where the service provider is a partnership, any change in the partners.
I238
Expected absence of the responsible individual for 28 days or more, 7 days prior to commencement of the absence.
I249
The unexpected absence of the responsible individual, no later than 7 days after the commencement of the absence.
I2510
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.
I2611
Return from absence of the responsible individual.
I2712
The responsible individual ceases, or proposes to cease, being the responsible individual for the service.
I2813
Any abuse or allegation of abuse in relation to an individual that involves the service provider and/or a member of staff.
I2914
Service provider, responsible individual or appointed manager convicted of a criminal offence.
I3015
Any allegation of misconduct by a member of staff.
I3116
Any incident reported to the police.
I3217
Any events which prevent, or could prevent, the provider from continuing to provide the service safely.
I3318
Any proposal to change the address of the principal office, 28 days prior to the change taking place.
I3419
Any referral to the DBS pursuant to the Safeguarding Vulnerable Groups Act 2006 M2.
I3520
Where the service provider, responsible individual or appointed manager is charged with any offence specified in the Schedule to the Safeguarding Vulnerable Groups Act 2006 (Prescribed Criteria and Miscellaneous Provisions) Regulations 2009 M3, notice of the offence charged and the place of charge.
I3621
Incident of child sexual or criminal exploitation or suspected child sexual or criminal exploitation.
SCHEDULE 4Notifications by the responsible individual
I371
The appointment of a manager (see regulation 41).
I382
The expected absence of the appointed manager for 28 days or more, 7 days prior to the commencement of the absence.
I393
The unexpected absence of the appointed manager, no later than 7 days after the commencement of the absence.
I404
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.
I415
Return from absence of appointed manager.
I426
Interim arrangements where the manager is absent for longer than 28 days.
I437
Someone other than the appointed manager is proposing to manage or is managing the service.
I448
The appointed manager ceases, or proposes to cease, managing the service.