Made | 3rd February 2004 | ||
Coming into force | 1st March 2004 |
1. | Name, commencement and application |
2. | Interpretation |
3. | Excepted undertakings and application to employment agencies |
4. | Statement of purpose |
5. | Service user's guide |
6. | Review of statement of purpose and service user's guide |
7. | Agency documents |
8. | Fitness of registered provider |
9. | Appointment of manager |
10. | Fitness of manager |
11. | Registered person - general requirements and training |
12. | Notification of offences |
13. | Conduct of agency |
14. | Arrangements for the provision of personal care |
15. | Fitness of workers |
16. | Staffing |
17. | Staff handbook and code of conduct |
18. | Provision of information to service users |
19. | Identification of workers |
20. | Records |
21. | Complaints |
22. | Staff views as to conduct of agency |
23. | Review of quality of service provision |
24. | Fitness of premises |
25. | Financial position |
26. | Notification of incidents |
27. | Notice of absence |
28. | Notice of changes |
29. | Death of registered person |
30. | Compliance with regulations |
31. | Offences |
32. | Specification of appropriate offices |
33. | Amendment of the Registration of Social Care and Independent Health Care (Wales) Regulations 2002 |
34. | Amendment of the Registration of Social Care and Independent Healthcare (Fees) (Wales) Regulations 2002 |
35. | Transitional provisions |
1. | Information to be included in the statement of purpose |
2. | Information required in respect of registered providers and managers of an agency and persons nominated to deputise for a registered person |
3. | Information required in respect of domiciliary care workers |
4. | Records to be maintained for inspection |
to provide personal care in the homes of and for persons who by reason of illness, infirmity or disability are unable to provide it for themselves without assistance;
and for the purpose of determining any such relationship a person's step-child shall be treated as his or her child, and references to "spouse" include a former spouse and a person who is living with the person as if he or she were the person's husband or (as the case may be) wife;
(2) In these Regulations, a reference -
(3) In these Regulations the terms "employed" and "employment" include employment under a contract of service or a contract for services, or otherwise than under a contract and whether or not for payment.
Excepted undertakings and application to employment agencies
3.
- (1) For the purposes of the Act, an undertaking is excepted from the definition of "domiciliary care agency" in section 4(3) of the Act -
(b) in so far as it arranges for the provision of personal care for persons accommodated in a care home in respect of which a person is registered under Part II of the Act;
(c) to the extent that it arranges the provision of personal care by an agreement with an undertaking which is registered under the Act and these Regulations.
(2) The provisions of these Regulations set out in paragraph (3) shall not apply to domiciliary care agencies to the extent to which they are also employment agencies.
(3) The regulations are 13 (Conduct of agency), 14 (Arrangements for the provision of personal care), 16 (Staffing), 17 (Staff handbook and code of conduct) and 19 (Identification of workers).
Statement of purpose
4.
- (1) The registered person shall compile in relation to the agency a statement written on paper (in these Regulations referred to as "the statement of purpose") which shall consist of -
(2) The registered person shall make the statement of purpose available at the agency premises for inspection by every service user and any person employed for the purposes of the agency.
Service user's guide
5.
- (1) The registered person shall produce a written guide to the agency which shall contain -
(d) a description of the staff structure of the agency;
(e) a summary of the agency's complaints procedure required by regulation 21;
(f) a statement as to the responsibilities of the agency and the service user in relation to health and safety;
(g) details of how the service user may contact the registered person, or a person nominated to act on his or her behalf, at all times during the period for which personal care is being provided;
(h) information on the matters described in paragraphs 8, 16 and 18 of Schedule 1; and
(i) a description of the process established by the agency for monitoring and reviewing the quality of the service being provided by the agency to the service user (including where appropriate consultation with other bodies providing services to the service user).
(2) The registered person shall -
Review of statement of purpose and service user's guide
6.
- (1) The registered person shall -
(2) Unless it is not reasonably practicable to do so, the registered person shall notify the appropriate office of the National Assembly of any revision to be made to the statement of purpose at least 28 days before the revision is to take effect.
Agency documents
7.
The registered person shall ensure that registration in respect of the agency under Part II of the Act is noted in all correspondence and other documents prepared in connection with the agency's business.
(b) is an organisation and -
(3) The requirements are that -
(4) A person is not fit to carry on an agency if -
Appointment of manager
9.
- (1) The registered provider shall appoint an individual to manage the agency if -
(2) Where -
proposes to be, is likely to be, or has been, absent from the agency for a continuous period of 28 days or more, the registered provider shall appoint an individual to manage the agency during the provider's or (as the case may be) the registered manager's absence.
(3) Where the registered provider appoints a person to manage the agency, he or she shall forthwith give notice to the appropriate office of the National Assembly of -
(4) The registered person shall nominate a person to be in charge at all times when the agency is open for business and the registered person is absent from the premises.
(5) A person may not be nominated for the purpose of paragraph (4) unless full and satisfactory information in respect of each of the matters listed in Schedule 2 is available in relation to him or her and has been provided to the National Assembly, except that the information required in paragraphs 10 and 11 of Schedule 3 must be available in substitution for the information required in paragraph 8 of Schedule 2.
Fitness of manager
10.
- (1) A person shall not manage an agency unless fit to do so.
(2) A person is not fit to manage an agency unless -
(c) full and satisfactory information or (as the case may be) documentation in respect of each of the matters listed in Schedule 2 is available in relation to the person.
Registered person - general requirements and training
11.
- (1) The registered provider and the registered manager shall, having regard to the nature and size of the agency and the number and needs of the service users, carry on or (as the case may be) manage the agency with sufficient care, competence and skill.
(2) If the registered provider is -
from time to time such training as is appropriate to ensure that the individual has the expertise, experience and skills necessary for carrying on the agency.
(3) If the agency is carried on by individuals in partnership, the partners shall ensure that one of them undertakes training as required by paragraph (2).
(4) The registered manager shall undertake from time to time such training as is appropriate to ensure that he or she has the expertise, experience and skills necessary for managing the agency.
Notification of offences
12.
Where the registered person or the responsible individual is convicted of any criminal offence, whether in Wales or elsewhere, he or she shall forthwith give notice in writing to the appropriate office of the National Assembly of -
Arrangements for the provision of personal care
14.
- (1) The registered person shall, after consultation with the service user, or if consultation with the service user is not practicable, after consultation with a person acting on behalf of the service user, prepare a written plan ("the service delivery plan") which shall -
(2) The registered person shall -
(b) keep the service delivery plan under review;
(c) where appropriate, and after consultation with the service user, or if consultation with the service user is not practicable, after consultation with a person acting on behalf of the service user, revise the service delivery plan; and
(d) notify the service user of any such revision.
(3) The registered person shall, so far as is practicable, ensure that the personal care which the agency arranges to be provided to any service user meets the service user's needs specified in the service delivery plan.
(4) The registered person shall, for the purpose of providing personal care to service users, so far as is practicable -
(5) The registered person shall ensure that arrangements made for the provision of personal care to a service user -
(6) The registered person shall make suitable arrangements for the recording, handling, safe keeping, safe administration and disposal of medicines used in the course of the provision of personal care to service users.
(7) The registered person shall make suitable arrangements, including training of staff, to ensure that domiciliary care workers operate a safe system of working, including in relation to lifting and moving service users.
(8) The registered person shall make suitable arrangements, by training staff or by other measures, to prevent service users being harmed or suffering abuse or being placed at risk of harm or abuse.
(9) The registered person shall ensure that no service user is subject to physical restraint unless restraint of the kind employed is the only practicable means of securing the welfare of that or any other service user and there are exceptional circumstances.
(10) On any occasion on which a service user is subject to physical restraint by a person who works as a domiciliary care worker for the purposes of the agency, the registered person shall record the circumstances including the nature of the restraint.
Fitness of workers
15.
- (1) The registered person shall ensure that no person works as a domiciliary care worker for the purposes of the agency unless -
(2) The registered person shall ensure that a person who is not a domiciliary care worker but who otherwise is required for the purposes of the agency to visit a service user in their home shall not work for the agency unless there is available in respect of that person full and satisfactory information or (as the case may be) documentation in respect of the matters specified in paragraphs 1 to 6 and 9 of Schedule 3.
(3) A person is not fit to work for the purposes of the agency unless -
(4) Paragraphs (1)(b) and (2), in so far as they relate to paragraph 4 of Schedule 3, shall not apply until 31st October 2004 in respect of a worker who has been supplied by or worked for the agency at any time during the period from 1st June 2003 to 31st May 2004.
Staffing
16.
- (1) The registered person shall, having regard to the nature of the agency, the statement of purpose and the number and needs of the service users, ensure that -
(c) suitable assistance is provided to persons working for the purposes of the agency, and further assistance is made available to them at their reasonable request, in respect of the provision of personal care to service users;
(d) suitably qualified and competent persons are available to be consulted during any time when a person is working for the purposes of the agency; and
(e) service users will receive such continuity of care as is reasonable to meet their needs for personal care where persons are employed, or domiciliary care workers are working, on a temporary basis for the purposes of the agency.
(2) The registered person shall ensure that each member of staff -
(3) The registered person shall take such steps as may be necessary to address any aspect of the performance of a domiciliary care worker which is found to be unsatisfactory.
(4) The registered person shall ensure that members of staff, and domiciliary care workers who are not members of staff, receive appropriate supervision.
Staff handbook and code of conduct
17.
- (1) The registered person shall prepare a staff handbook and provide a copy of it to every member of staff and every domiciliary care worker who is not a member of staff.
(2) The handbook prepared in accordance with paragraph (1) shall include a statement as to -
Provision of information to service users
18.
- (1) The registered person shall ensure that before personal care is provided a service user is provided with -
(2) The registered person shall ensure that the information specified in paragraph (1) is, where appropriate, also provided on request to the service user's relatives or carers.
Identification of workers
19.
The registered person shall ensure that every domiciliary care worker who works for the purposes of the agency is instructed that while providing personal care to a service user he or she must present the service user with identification showing his or her name, a recent photograph of himself or herself and the name of the agency.
Records
20.
- (1) The registered person shall ensure that the records specified in Schedule 4 are maintained and that they are -
(2) The registered person shall endeavour to ensure that, in addition to the records referred to in paragraph (1), a copy of the service delivery plan and a detailed record of the personal care provided to the service user are kept at the service user's home and that they are kept up to date, in good order and in a secure manner.
Complaints
21.
- (1) The registered person shall establish a written procedure ("the complaints procedure") for considering complaints made to the registered person by or on behalf of a service user.
(2) The registered person shall supply a written copy of the complaints procedure to every service user and, on request, to any representative of a service user.
(3) The written copy of the complaints procedure shall include -
(4) The registered person shall ensure that every complaint made under the complaints procedure is fully investigated.
(5) The registered person shall, within 28 days after the date on which the complaint is made, or such shorter period as may be reasonable in the circumstances, inform the person who made the complaint of the action (if any) that is to be taken.
(6) The registered person shall maintain a record of each complaint, including details of the investigations made, the outcome and any action taken in consequence and the requirements of regulation 20(1) shall apply to that record.
(7) The registered person shall supply to the National Assembly at its request a statement containing a summary of the complaints made during the twelve months ending on the date of the request and the action taken in response.
Staff views as to conduct of agency
22.
- (1) This regulation applies to any matter relating to the conduct of the agency so far as it may affect the health or welfare of, or the personal care provided to, service users.
(2) The registered person shall make arrangements to enable staff to inform the registered person or, without reference to the agency, the National Assembly of their views about any matter to which this regulation applies.
Review of quality of service provision
23.
- (1) The registered person shall introduce and maintain a system for reviewing at appropriate intervals the quality of the service and personal care which the agency arranges to be provided.
(2) The registered person shall supply to the appropriate office of the National Assembly a report in respect of any review conducted by him or her for the purposes of paragraph (1) and shall make a copy of the report available to service users.
(3) The system referred to in paragraph (1) shall provide for consultation with service users and their representatives.
Fitness of premises
24.
The registered person shall not use the agency premises for the purposes of an agency unless they are suitable for the purpose of achieving the aims and objectives set out in the statement of purpose.
Financial position
25.
- (1) The registered provider shall carry on the agency in such manner as is likely to ensure that the agency will be financially viable for the purpose of achieving the aims and objectives set out in the statement of purpose.
(2) The registered person shall provide to the National Assembly such other information as it may require from time to time in order to consider the financial viability of the agency, including -
Notification of incidents
26.
- (1) The registered person shall notify the appropriate office of the National Assembly if an incident described in paragraph (2) takes place and such notification shall be given within 24 hours of the registered person being informed, or otherwise becoming aware, that such an incident has taken place.
(2) The incidents are -
(c) any allegation of misconduct by the registered person or any person who works for the purposes of the agency.
(3) Any oral notification given in accordance with this regulation shall be confirmed in writing within 48 hours.
(4) The registered person shall ensure that the persons working for the purposes of the agency are required to inform the registered person forthwith of the occurrence of any of the incidents described in paragraph (2).
Notice of absence
27.
- (1) Where -
is to be absent from the agency for a continuous period of 28 days or more, the registered person shall give notice in writing to the appropriate office of the National Assembly of the absence.
(2) Except in the case of an emergency, the notice referred to in paragraph (1) shall be given no later than one month before the absence commences, or within such shorter period as may be agreed with the National Assembly, and the notice shall specify -
(3) Where an absence referred to in paragraph (1) arises as a result of an emergency, the registered person shall give notice of the absence within one week of the emergency's occurrence specifying the matters in sub-paragraphs (a) to (e) of paragraph (2).
(4) Where -
has been absent from the agency for a continuous period of 28 days or more, and the appropriate office of the National Assembly has not been given notice of the absence, the registered person shall forthwith give notice in writing to that office specifying the matters in sub-paragraphs (a) to (e) of paragraph (2).
(5) The registered person shall notify the appropriate office of the National Assembly of the return to duty of the registered provider or (as the case may be) the registered manager no later than 7 days after the date of return.
Notice of changes
28.
The registered person shall give notice in writing to the appropriate office of the National Assembly as soon as it is practicable to do so if -
(e) where a registered provider is an individual, a trustee in bankruptcy for the individual is, or is likely to be, appointed or a composition or arrangement with the individual's creditors is, or is to be, made;
(f) where a registered provider is a company, a receiver, manager, liquidator or provisional liquidator is, or is likely to be, appointed;
(g) where a registered provider is in a partnership whose business includes carrying on an agency, a receiver or manager is, or is likely to be, appointed for the partnership; or
(h) the agency premises are, or are proposed to be, significantly altered or extended, or additional premises are, or are proposed to be, acquired.
Death of registered person
29.
- (1) If more than one person is registered in respect of an agency and a registered person dies, the surviving registered person shall without delay give notice in writing of the death to the appropriate office of the National Assembly.
(2) If only one person is registered in respect of an agency and he or she dies, his or her personal representatives shall give notice in writing to the appropriate office of the National Assembly -
(3) The personal representatives of the deceased registered provider may carry on the agency without being registered in respect of it -
(4) The National Assembly may extend the period specified in paragraph (3)(a) by such period, not exceeding one year, as the National Assembly shall determine, and shall give notice in writing of such determination to the personal representatives.
(5) The personal representatives shall appoint a person to take full-time day to day charge of the agency during any period in which, in accordance with paragraph (3), they carry on the agency without being registered in respect of it.
(c) in the definition of "statement of purpose" insert -
(3) In regulation 9 -
(4) In paragraph 1 of Schedule 1, insert -
Amendment of the Registration of Social Care and Independent Healthcare (Fees) (Wales) Regulations 2002
34.
- (1) The Registration of Social Care and Independent Healthcare (Fees) (Wales) Regulations 2002[5] are amended in accordance with the following provisions of this regulation.
(2) In the paragraph headed "Arrangement of Regulations", add the following at the end "15. Annual fee- domiciliary care agencies".
(3) In regulation 2(1)(a) -
(4) In regulation 3, after paragraph (3C), insert -
(5) After regulation 14 (Annual fee - nurses agencies), there is to be inserted the following regulation -
(2) The annual fee in respect of a domiciliary care agency is to be payable by the registered provider on the first and subsequent anniversaries of the date on which his or her certificate of registration is issued.".
Transitional provisions
35.
- (1) This regulation applies to persons who by virtue of the provisions of the Act and these Regulations are required to be registered under the Act but who immediately before 1st March 2004 were not required to be so registered.
(2) Notwithstanding any such provision, a person who immediately before 1st March 2004 was carrying on or managing an agency may continue to carry on or manage the agency without being registered under the Act -
(3) In this regulation "finally disposed of" means the date 28 days following the grant or refusal of registration and, if an appeal is made, the date when the appeal is finally determined or abandoned.
Signed on behalf of the National Assembly for Wales under section 66(1) of the Government of Wales Act 1998[6]
D. Elis-Thomas
The Presiding Officer of the National Assembly
3rd February 2004
including, where applicable, the matters specified in section 113(3A) or 115(6A) of that Act and, once they are in force, section 113(3C)(a) and (b) or section 115(6B)(a) and (b) of that Act.
4.
Two written references, including a reference relating to the last period of employment of not less than three months duration.
5.
Where a person has previously worked in a position which involved work with children or vulnerable adults, verification of the reason why the employment or position ended except where the National Assembly has determined that all reasonable steps have been taken to obtain such verification but it is not available.
6.
Documentary evidence of any relevant qualifications and training.
7.
A full employment history, together with a satisfactory written explanation of any gaps in employment.
8.
Where the person is an individual, a report by a general medical practitioner as to whether the person is physically and mentally fit to (as the case may be) carry on, manage or be in charge of an agency.
9.
Details of registration with or membership of any professional body.
10.
Details of any professional indemnity insurance.
including, where applicable, the matters specified in section 113(3A) or 115(6A) of that Act and, once they are in force, section 113(3C)(a) and (b) or section 115(6B)(a) and (b) of that Act.
5.
Where the person has worked at any time within the period of five years before being employed by the agency, two written references including, where the person has previously worked for more than three months in a position which involved work with children or vulnerable adults, a reference relating to the last such position held.
6.
Where a person has previously worked in a position which involved work with children or vulnerable adults, verification of the reason why the employment or position ended except where the National Assembly has determined that all reasonable steps have been taken to obtain such verification but it is not available.
7.
Evidence of satisfactory linguistic ability for the purposes of providing personal care to those service users for whom the worker is to provide personal care.
8.
Documentary evidence of any relevant qualifications and training.
9.
A full employment history, together with a satisfactory written explanation of any gaps in employment and details of any current employment other than for the purposes of the agency.
10.
A statement by the person as to the state of his or her physical and mental health.
11.
A statement by the registered provider, or the registered manager, as the case may be, that the person is physically and mentally fit for the purposes of the work which he or she is to perform.
12.
Details of any professional indemnity insurance.
[2] See section 22(9) of the Care Standards Act 2000 for the requirement to consult.back
[4] S.I. 2002/919 (W.107) as amended by S.I. 2003/710 (W.86) and 2003/2517 (W.242).back
[5] S.I. 2002/921 (W.109) as amended by S.I. 2003/710 (W.86), 2003/781 (W.92) and 2003/2517 (W.242).back