Regulations 2(1) and 23

SCHEDULE 1 E+W

PART 1 E+WInformation and documentation to be available in respect of persons working in regulated services

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. Sections 30 to 32 of the Safeguarding Vulnerable Groups Act 2006 as originally enacted are to be replaced by new sections 30A and 30B as a result of substitutions made by section 72(1) of the Protection of Freedoms Act 2012. Section 72(1) is to be commenced on a day to be appointed.

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 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). 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 support to those individuals for whom the worker is to provide 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+WInterpretation 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 23(3) or (6) (fitness of staff), 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)

Regulations 2(1) and 30

SCHEDULE 2 E+WRecords to be kept

1.  In respect of each individual— E+W

(a) full name;

(b) date of birth;

(c) whether the person is—

(i) a child who may be adopted, their parent or guardian;

(ii) a person wishing to adopt a child;

(iii) an adopted person, their parent, birth parent, former guardian or related person;

(d) description of support requested;

(e) description of need for support along with any assessment of that need;

(f) description of support provided;

(g) whether the support is provided on behalf of a local authority under regulations made under section 3(4)(b) of the 2002 Act;

(h) plans including—

(i) adoption support plans;

(ii) care and support plans;

(iii) placement plans;

(i) reviews of plans referred to in sub-paragraph (h).

Commencement Information

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

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

Commencement Information

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

3.  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. E+W

Commencement Information

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

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

(a) full name and home address;

(b) date of birth;

(c) qualifications relevant to, and experience of, working with individuals;

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

(e) whether the person is employed by the service provider under a contract of service, a contract for services, or otherwise than under contract, or is employed by someone other than the service provider;

(f) 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;

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

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

(i) training undertaken by the person, their supervision and appraisal;

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

(k) a record of the date of the person's latest DBS certificate and whether there was any action taken as a result of the content of the certificate.

Commencement Information

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

Regulation 31

SCHEDULE 3 E+WNotifications by the service provider

PART 1 E+WNotifications to the service regulator

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

Commencement Information

I16 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

I17 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 Ss. 3, 3A substituted for s. 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)

[F1 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 Ss. 3, 3A substituted for s. 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

I18 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

I19 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

I20 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

I21 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

I22 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

I23 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

I24 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

I25 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

I26 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 and/or a member of staff or volunteer. E+W

Commencement Information

I27 Sch. 3 para. 13 in force at 29.4.2019, see reg. 1(2)

14.  Service provider, responsible individual or appointed manager convicted of criminal offence. E+W

Commencement Information

I28 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

I29 Sch. 3 para. 15 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I30 Sch. 3 para. 16 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I31 Sch. 3 para. 17 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I32 Sch. 3 para. 18 in force at 29.4.2019, see reg. 1(2)

[F3 18A.   Any change of telephone number or electronic mail address for the service.] E+W

Textual Amendments

F3 Sch. 3 para. 18A inserted (31.12.2023) by The Register of Service Providers (Prescribed Information and Miscellaneous Amendments) (Wales) Regulations 2023 (S.I. 2023/1325), regs. 1(2), 16

19.  Any referral to the DBS pursuant to the Safeguarding Vulnerable Groups Act 2006. E+W

Commencement Information

I33 Sch. 3 para. 19 in force at 29.4.2019, see reg. 1(2)

20.  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. E+W

Commencement Information

I34 Sch. 3 para. 20 in force at 29.4.2019, see reg. 1(2)

Marginal Citations

M3 S.I. 2009/37.

21.  Any incident of child sexual or criminal exploitation or suspected child sexual or criminal exploitation. E+W

Commencement Information

I35 Sch. 3 para. 21 in force at 29.4.2019, see reg. 1(2)

22.  The death of a child placed for adoption by the service. E+W

Commencement Information

I36 Sch. 3 para. 22 in force at 29.4.2019, see reg. 1(2)

23.  The instigation and outcome of any child protection enquiry involving a child placed for adoption by the service. E+W

Commencement Information

I37 Sch. 3 para. 23 in force at 29.4.2019, see reg. 1(2)

PART 2 E+WNotification to the Local Health Board/ [F4 integrated care board] and [F5 NHS England] by the provider of an adoption society

Textual Amendments

F4 Words in Sch. 3 Pt. 2 heading substituted (1.7.2022) by The Health and Care Act 2022 (Consequential and Related Amendments and Transitional Provisions) Regulations 2022 (S.I. 2022/634), regs. 1(2), 96(4)(a)

F5 Words in Sch. 3 Pt. 2 heading substituted (6.11.2023) by The Health and Care Act 2022 (Further Consequential Amendments) (No. 2) Regulations 2023 (S.I. 2023/1071), regs. 1(1), 100(4)(a)

24.  Death of a child placed for adoption by the service. E+W

Commencement Information

I38 Sch. 3 para. 24 in force at 29.4.2019, see reg. 1(2)

25.  Any serious accident or injury sustained by a child placed for adoption by the service. E+W

Commencement Information

I39 Sch. 3 para. 25 in force at 29.4.2019, see reg. 1(2)

PART 3 E+WNotification to the Local Health Board/ [F6 integrated care board] and [F7 NHS England] by the provider of an adoption support agency or of an adoption society which provides adoption support services

Textual Amendments

F6 Words in Sch. 3 Pt. 3 heading substituted (1.7.2022) by The Health and Care Act 2022 (Consequential and Related Amendments and Transitional Provisions) Regulations 2022 (S.I. 2022/634), regs. 1(2), 96(4)(b)

F7 Words in Sch. 3 Pt. 3 heading substituted (6.11.2023) by The Health and Care Act 2022 (Further Consequential Amendments) (No. 2) Regulations 2023 (S.I. 2023/1071), regs. 1(1), 100(4)(b)

26.  The death, serious accident or injury of a child in the course of receiving adoption support services from the service. E+W

Commencement Information

I40 Sch. 3 para. 26 in force at 29.4.2019, see reg. 1(2)

PART 4 E+WNotification to the placing agency

27.  Any serious complaint about a prospective adopter approved by the agency where a child is placed for adoption with that prospective adopter by another adoption agency. E+W

Commencement Information

I41 Sch. 3 para. 27 in force at 29.4.2019, see reg. 1(2)

PART 5 E+WNotifications to the area authority

28.  The death of a child placed for adoption by the service. E+W

Commencement Information

I42 Sch. 3 para. 28 in force at 29.4.2019, see reg. 1(2)

29.  Any serious accident or injury sustained by a child placed for adoption by the service. E+W

Commencement Information

I43 Sch. 3 para. 29 in force at 29.4.2019, see reg. 1(2)

30.  Any serious complaint about a prospective adopter approved by the service where a child is placed for adoption with that prospective adopter by the service. E+W

Commencement Information

I44 Sch. 3 para. 30 in force at 29.4.2019, see reg. 1(2)

31.  Any serious complaint about a prospective adopter approved by the service where a child is placed for adoption with that prospective adopter by another adoption agency (if not notified as the placing agency). E+W

Commencement Information

I45 Sch. 3 para. 31 in force at 29.4.2019, see reg. 1(2)

32.  The instigation and outcome of any child protection enquiry involving a child placed for adoption by the service. E+W

Commencement Information

I46 Sch. 3 para. 32 in force at 29.4.2019, see reg. 1(2)

PART 6 E+WNotifications to the placing authority by the provider of an adoption society

33.  The death of a child placed for adoption by the service. E+W

Commencement Information

I47 Sch. 3 para. 33 in force at 29.4.2019, see reg. 1(2)

34.  Any serious accident or injury sustained by a child placed for adoption by the service. E+W

Commencement Information

I48 Sch. 3 para. 34 in force at 29.4.2019, see reg. 1(2)

35.  Any serious complaint about a prospective adopter approved by the service where a child is placed for adoption with that prospective adopter by another adoption agency. E+W

Commencement Information

I49 Sch. 3 para. 35 in force at 29.4.2019, see reg. 1(2)

36.  The instigation and outcome of any child protection enquiry involving a child placed for adoption by the service. E+W

Commencement Information

I50 Sch. 3 para. 36 in force at 29.4.2019, see reg. 1(2)

PART 7 E+WNotifications to the placing authority by the provider of an adoption support agency or adoption society which provides adoption support services

37.  The death of a child in the course of receiving adoption support services from the service. E+W

Commencement Information

I51 Sch. 3 para. 37 in force at 29.4.2019, see reg. 1(2)

38.  Any serious accident or injury sustained by a child in the course of receiving adoption support services from the service. E+W

Commencement Information

I52 Sch. 3 para. 38 in force at 29.4.2019, see reg. 1(2)

39.  The instigation and outcome of any child protection enquiry involving a child receiving adoption support services from the service. E+W

Commencement Information

I53 Sch. 3 para. 39 in force at 29.4.2019, see reg. 1(2)

PART 8 E+WNotification to the relevant authority

40.  Death or any serious accident or injury sustained by a child in the course of receiving adoption support services. E+W

Commencement Information

I54 Sch. 3 para. 40 in force at 29.4.2019, see reg. 1(2)

PART 9 E+WNotification to the police

41.  Any incident of child sexual or criminal exploitation or suspected child sexual or criminal exploitation. E+W

Commencement Information

I55 Sch. 3 para. 41 in force at 29.4.2019, see reg. 1(2)

Regulation 53

SCHEDULE 4 E+WNotifications by the responsible individual

1.  The appointment of a manager (see regulation 37(1)). E+W

Commencement Information

I56 Sch. 4 para. 1 in force at 29.4.2019, see reg. 1(2)

2.  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

I57 Sch. 4 para. 2 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I58 Sch. 4 para. 3 in force at 29.4.2019, see reg. 1(2)

4.  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

I59 Sch. 4 para. 4 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I60 Sch. 4 para. 5 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I61 Sch. 4 para. 6 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I62 Sch. 4 para. 7 in force at 29.4.2019, see reg. 1(2)

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

Commencement Information

I63 Sch. 4 para. 8 in force at 29.4.2019, see reg. 1(2)