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The Regulated Services (Penalty Notices) (Wales) Regulations 2019
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- Wales Statutory Instruments
- 2019 No. 887 (W. 159)
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Regulation 5
SCHEDULE 1E+WPrescribed offences – services regulated under the 2017 Regulations
Commencement Information
I1Sch. 1 in force at 1.7.2019, see reg. 1(2)
| Provision creating offence | General nature of the offence | Amount of penalty |
|---|---|---|
| Regulation 7(3) and (5) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the statement of purpose | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 11(3) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the financial sustainability of the service | An amount corresponding to level 4 on the standard scale |
| Regulation 12(1) and (2) of the 2017 Regulations | Contravention of, or failure to comply with, requirements to have in place specified policies and procedures | An amount corresponding to level 4 on the standard scale |
| Regulation 19(1), (2) and (3) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information about the service | An amount corresponding to two times level 4 on the standard scale |
| Regulation 20(1) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of a service agreement | An amount corresponding to level 4 on the standard scale |
| Regulation 35(1) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the fitness of staff | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 38(1) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information for staff | An amount corresponding to two times level 4 on the standard scale |
| Regulation 59(1), (2) and (3) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to records | An amount corresponding to two times level 4 on the standard scale |
| Regulation 60(1), (2) and (4) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to notifications | An amount corresponding to two times level 4 on the standard scale |
| Regulation 67(1) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 74(1) and (2) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources | An amount corresponding to two times level 4 on the standard scale |
| Regulation 75(1) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider | An amount corresponding to two times level 4 on the standard scale |
| Regulation 80(4) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review | An amount corresponding to two times level 4 on the standard scale |
| Regulation 81(1) of the 2017 Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support | An amount corresponding to two times level 4 on the standard scale |
| Regulation 84(1) and (3) of the 2017 Regulations | Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator | An amount corresponding to two times level 4 on the standard scale |
Regulation 6
SCHEDULE 2E+WPrescribed offences – regulated adoption services
Commencement Information
I2Sch. 2 in force at 1.7.2019, see reg. 1(2)
| Provision creating offence | General nature of the offence | Amount of penalty |
|---|---|---|
| Regulation 5(3) and (5) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 9(3) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirement to provide copy accounts | An amount corresponding to level 4 on the standard scale |
| Regulation 10(1) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements to have in place specified policies and procedures | An amount corresponding to level 4 on the standard scale |
| Regulation 13(1), (2) and (3) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information about the service | An amount corresponding to two times level 4 on the standard scale |
| Regulation 14(1) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of a service agreement | An amount corresponding to level 4 on the standard scale |
| Regulation 23(1) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the fitness of staff | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 26(1) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information for staff | An amount corresponding to two times level 4 on the standard scale |
| Regulation 30(1) and (2) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to records | An amount corresponding to two times level 4 on the standard scale |
| Regulation 31(1), (2), (3) and (5) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to notifications | An amount corresponding to two times level 4 on the standard scale |
| Regulation 36(1) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 43(1) and (2) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources | An amount corresponding to two times level 4 on the standard scale |
| Regulation 44(1) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider | An amount corresponding to two times level 4 on the standard scale |
| Regulation 49(4) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of service review | An amount corresponding to two times level 4 on the standard scale |
| Regulation 50(1) of the Adoption Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of support | An amount corresponding to two times level 4 on the standard scale |
| Regulation 53(1) and (3) of the Adoption Services Regulations | Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator | An amount corresponding to two times level 4 on the standard scale |
Regulation 7
SCHEDULE 3E+WPrescribed offences – adult placement services
Commencement Information
I3Sch. 3 in force at 1.7.2019, see reg. 1(2)
| Provision creating offence | General nature of the offence | Amount of penalty |
|---|---|---|
| Regulation 3(3) and (5) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 7(3) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirement to provide copy accounts | An amount corresponding to level 4 on the standard scale |
| Regulation 8(1) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements to have in place specified policies and procedures | An amount corresponding to level 4 on the standard scale |
| Regulation 11(1) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of a carer agreement | An amount corresponding to level 4 on the standard scale |
| Regulation 16(1), (2) and (3) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information about the service | An amount corresponding to two times level 4 on the standard scale |
| Regulation 28(1) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the fitness of staff | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 31(1) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information for staff | An amount corresponding to two times level 4 on the standard scale |
| Regulation 40 (1) and (2) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to records | An amount corresponding to two times level 4 on the standard scale |
| Regulation 41(1) and (3) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to notifications | An amount corresponding to two times level 4 on the standard scale |
| Regulation 46(1) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 53(1) and (2) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources | An amount corresponding to two times level 4 on the standard scale |
| Regulation 54(1) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider | An amount corresponding to two times level 4 on the standard scale |
| Regulation 59(4) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review | An amount corresponding to two times level 4 on the standard scale |
| Regulation 60(1) of the Adult Placement Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support | An amount corresponding to two times level 4 on the standard scale |
| Regulation 63(1) and (3) of the Adult Placement Services Regulations | Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator | An amount corresponding to two times level 4 on the standard scale |
Regulation 8
SCHEDULE 4E+WPrescribed offences – regulated advocacy services
Commencement Information
I4Sch. 4 in force at 1.7.2019, see reg. 1(2)
| Provision creating offence | General nature of the offence | Amount of penalty |
|---|---|---|
| Regulation 4(3) and (5) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 8(3) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirement to provide copy accounts | An amount corresponding to level 4 on the standard scale |
| Regulation 9(1) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements to have in place specified policies and procedures | An amount corresponding to level 4 on the standard scale |
| Regulation 15(1), (2) and (3) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information about the service | An amount corresponding to two times level 4 on the standard scale |
| Regulation 24(1) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the fitness of staff | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 27(1) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information for staff | An amount corresponding to two times level 4 on the standard scale |
| Regulation 31(1) and (2) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to records | An amount corresponding to two times level 4 on the standard scale |
| Regulation 32(1) and (3) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to notifications | An amount corresponding to two times level 4 on the standard scale |
| Regulation 37(1) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 44(1) and (2) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources | An amount corresponding to two times level 4 on the standard scale |
| Regulation 45(1) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider | An amount corresponding to two times level 4 on the standard scale |
| Regulation 50(4) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of service review | An amount corresponding to two times level 4 on the standard scale |
| Regulation 51(1) of the Advocacy Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of advocacy | An amount corresponding to two times level 4 on the standard scale |
| Regulation 54(1) and (3) of the Advocacy Services Regulations | Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator | An amount corresponding to two times level 4 on the standard scale |
Regulation 9
SCHEDULE 5E+WPrescribed offences – regulated fostering services
Commencement Information
I5Sch. 5 in force at 1.7.2019, see reg. 1(2)
| Provision creating offence | General nature of the offence | Amount of penalty |
|---|---|---|
| Regulation 4(3) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 8(3) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirement to provide copy accounts | An amount corresponding to level 4 on the standard scale |
| Regulation 9(1) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements to have in place specified policies and procedures | An amount corresponding to level 4 on the standard scale |
| Regulation 12(1), (2) and (3) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information about the service | An amount corresponding to two times level 4 on the standard scale |
| Regulation 30(1) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the fitness of staff | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 33(1) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information for staff | An amount corresponding to two times level 4 on the standard scale |
| Regulation 39(1) and (2) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to records | An amount corresponding to two times level 4 on the standard scale |
| Regulation 40(1), (2), (3), (4), (5) and (8) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to notifications | An amount corresponding to two times level 4 on the standard scale |
| Regulation 50(1) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 57(1) and (2) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources | An amount corresponding to two times level 4 on the standard scale |
| Regulation 58(1) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider | An amount corresponding to two times level 4 on the standard scale |
| Regulation 63(4) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review | An amount corresponding to two times level 4 on the standard scale |
| Regulation 64(1) of the Fostering Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support | An amount corresponding to two times level 4 on the standard scale |
| Regulation 67(1) and (4) of the Fostering Services Regulations | Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the Welsh Ministers | An amount corresponding to two times level 4 on the standard scale |
Regulation 9A
[F1SCHEDULE 6E+WPrescribed offences - special school residential services
Textual Amendments
| Provision creating offence | General nature of the offence | Amount of penalty |
|---|---|---|
| Regulation 3(3) and (5) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the statement of purpose | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 7(3) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the financial sustainability of the service | An amount corresponding to level 4 on the standard scale |
| Regulation 8(1) and (2) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements to have in place specified policies and procedures | An amount corresponding to level 4 on the standard scale |
| Regulation 15(1), (2) and (3) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information about the service | An amount corresponding to two times level 4 on the standard scale |
| Regulation 16(1) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of a service agreement | An amount corresponding to level 4 on the standard scale |
| Regulation 31(1) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the fitness of staff | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 34(1) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the provision of information for staff | An amount corresponding to two times level 4 on the standard scale |
| Regulation 51(1) and (2) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to records | An amount corresponding to two times level 4 on the standard scale |
| Regulation 52(1), (2) and (4) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to notifications | An amount corresponding to two times level 4 on the standard scale |
| Regulation 58(1) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager | An amount corresponding to two and a half times level 4 on the standard scale |
| Regulation 65(1) and (2) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources | An amount corresponding to two times level 4 on the standard scale |
| Regulation 66(1) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider | An amount corresponding to two times level 4 on the standard scale |
| Regulation 71(4) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review | An amount corresponding to two times level 4 on the standard scale |
| Regulation 72(1) of the Special School Residential Services Regulations | Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support | An amount corresponding to two times level 4 on the standard scale |
| Regulation 75(1) and (3) of the Special School Residential Services Regulations | Contravention of, or failure to comply with requirements in relation to the responsible individual’s duty to make notifications to the service regulator | An amount corresponding to two times level 4 on the standard scale] |
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