Legalize / United Kingdom / Wales / Act of Senedd Cymru

Regulation and Inspection of Social Care (Wales) Act 2016

Type Act of Senedd Cymru

Publication 2016-01-18

Last updated 2026-06-30

State In force

Jurisdiction Wales

Department Statute Law Database

Source legislation.gov.uk

PDF Download

articles Not indexed

Reform history JSON API

CHAPTER 1 — INTRODUCTION

Overview of Part 1

1

In this Part—

(a) this Chapter defines some key terms including what is meant by a “regulated service” in this Act, and sets out the general objectives of the Welsh Ministers in relation to the regulation of such services;

(b) Chapter 2 sets out the Welsh Ministers' functions in relation to registering persons who provide regulated services, including provision about varying and cancelling registrations and provision about notifications and appeals;

(ba) Chapter 2 also makes provision restricting the entities that may provide‍ children’s home services, secure accommodation services and fostering services;

(c) Chapter 3 sets out the Welsh Ministers' powers to require information and to carry out inspections and investigations;

(d) Chapter 4 confers some general functions on the Welsh Ministers in relation to regulated services;

(e) Chapter 5 makes provision for offences and penalties;

(f) Chapter 6 amends the Social Services and Well-being (Wales) Act 2014 (anaw 4) to make provision in respect of the social services functions of local authorities (on which, see Schedule 2 to the 2014 Act) including, in particular, provision about—

(i) annual reports by local authorities;

(ii) powers for the Welsh Ministers to conduct reviews of the way in which those functions are exercised;

(iii) powers allowing for the inspection of premises used in connection with the exercise of those functions;

(iv) powers for the Welsh Ministers to require information relating to the exercise of those functions;

(v) offences in connection with inspections or requirements to provide information;

(vi) powers for the Welsh Ministers to regulate the exercise of those local authority functions which relate to looked after and accommodated children;

(g) Chapter 7 makes provision for the Welsh Ministers to monitor the financial sustainability of certain service providers and to prepare and publish reports about the stability of the market for social care services in Wales.

Meaning of “regulated service”

2

(1) In this Act, “regulated service” means—

(a) a care home service,

(b) a secure accommodation service,

(d) an adoption service,

(e) a fostering service,

(f) an adult placement service,

(g) an advocacy service,

(h) a domiciliary support service, and

(i) any other service comprising the provision of care and support in Wales as may be prescribed.

(2) Schedule 1 makes further provision about the meaning of terms used in subsection (1).

(3) The Welsh Ministers may by regulations prescribe things which, despite Schedule 1, are not to be treated as regulated services for the purposes of this Act.

(4) Before making regulations under this section the Welsh Ministers must consult such persons as they think appropriate.

Meaning of “restricted children’s service”

2A

(1) For the purposes of this Part, the following regulated services are a “restricted children’s service”—

(a) a care home service‍ in so far as the service is a children’s home service;

(b) a fostering service;

(2) For the purposes of subsection (1), a “children’s home service” is a care home service provided at one or more places at which the service is provided wholly or mainly to children.‍

(3) Schedule 1 makes further provision about the meaning of a restricted children’s service.

Other key terms

3

(1) In this Act—

(a) “care” means care relating to—

(i) the day to day physical tasks and needs of the person cared for (for example, eating and washing), and

(ii) the mental processes related to those tasks and needs (for example, the mental process of remembering to eat and wash);

(b) “regulatory functions” means the Welsh Ministers' functions under—

(i) this Part,

(ii) sections 94A and 149A to 161B of the 2014 Act, and

(iii) section 15 of the Adoption and Children Act 2002 (c.38) (inspection of premises relating to adoption services),

but any function of making, confirming or approving subordinate legislation (as defined by section 158(1) of the Government of Wales Act 2006 (c.32)) is not a regulatory function;

(d) “support” means counselling, advice or other help, provided as part of a plan prepared for the person receiving support by—

(i) a service provider or other person providing care and support to the person, or

(ii) a local authority (even if the authority does not provide care and support to the person).

(2) References in this Act to “care and support” are to be read as references to—

(a) care,

(b) support, or

(3) The Welsh Ministers may by regulations prescribe things which, despite subsection (1)(a) and (d), are not to be treated as care and support for the purposes of this Act.

General objectives

4

The general objectives of the Welsh Ministers in exercising their functions under this Part are—

(a) to protect, promote and maintain the safety and well-being of people who use regulated services, and

(b) to promote and maintain high standards in the provision of regulated services.

CHAPTER 2 — REGISTRATION ETC. OF SERVICE PROVIDERS

Requirement to register

5

It is an offence for a person to provide a regulated service without being registered in accordance with this Chapter in respect of that service.

Application for, variation of and cancellation of registration

Application for registration as a service provider

6

(1) A person who wants to provide a regulated service must make an application for registration to the Welsh Ministers—

(a) specifying the regulated service that the person wants to provide,

(b) specifying the places at, from or in relation to which the service is to be provided,

(c) designating an individual as the responsible individual in respect of each place and stating each such individual's name and address (section 21 sets out who may be designated as a responsible individual), and

(d) including such other information as may be prescribed.

(1A) In the case of a person, other than a local authority, who wants to provide a restricted children’s service, the application must also include such information as may be prescribed to satisfy the Welsh Ministers that the person meets the requirement in section 6A(1).

(2) An application must be in the prescribed form.

(3) A person who wants to be registered as a service provider in respect of two or more regulated services may make a single application in respect of them.

Registration in respect of a restricted children’s service

6A

(1) To be registered in respect of a restricted children’s service, a person who is not a local authority must be a not-for-profit entity.

(2) For the purposes of this Part, a “not-for-profit entity” is a person that meets conditions 1 and 2 in subsections (3) and (4).

(3) Condition 1 is that the person’s objects or purposes primarily relate to—

(a) the welfare of children, or

(b) such other public good as the Welsh Ministers may prescribe.

(4) Condition 2 is that the person is one of the following types of undertaking (as defined in section 6B)—

(a) a charitable company limited by guarantee without a share capital,

(b) a charitable incorporated organisation,

(d) a community interest company limited by guarantee without a share capital.

Registration in respect of a restricted children’s service: definitions

6B

(1) The following definitions apply for the purposes of section 6A(4).

(2) A “charitable company limited by guarantee without a share capital” is a company—

(a) that is registered under the Companies Act 2006 (c. 46) in Wales, England, Scotland or Northern Ireland,

(b) whose liability is limited by guarantee and that does not have a share capital, and

(i) the Charities Act 2011 (c. 25);

(ii) the Charities and Trustee Investment (Scotland) Act 2005 (asp 10);

(iii) the Charities Act (Northern Ireland) 2008 (c. 12).

(3) A “charitable incorporated organisation” is an organisation registered under—

(a) section 209, 232 or 238 of the Charities Act 2011 or regulations made under section 234 of that Act,

(b) section 55, 58 or 60 of the Charities and Trustee Investment (Scotland) Act 2005, or

(c) section 111, 114 or 117 of the Charities Act (Northern Ireland) 2008 or regulations made under section 115 of that Act.

(4) A “charitable registered society” is—

(a) a society that is—

(i) a “registered society” within the meaning of section 1(1) of the Co-operative and Community Benefit Societies Act 2014 (c. 14), and

(ii) a charity within the meaning of section 1(1) of the Charities Act 2011,

(b) a society that is—

(i) a “registered society” within the meaning of section 1(1) of the Co-operative and Community Benefit Societies Act 2014, and

(ii) a charity registered under the Charities and Trustee Investment (Scotland) Act 2005, or

(i) a “registered society” within the meaning of section 1A(1) of the Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (c. 24), and

(ii) a charity registered under the Charities Act (Northern Ireland) 2008.

(5) A “community interest company limited by guarantee without a share capital” is a company—

(a) that is registered under the Companies Act 2006 in Wales, England, Scotland or Northern Ireland,

(b) whose liability is limited by guarantee and that does not have a share capital, and

(c) that is a community interest company under Part 2 of the Companies (Audit, Investigations and Community Enterprise) Act 2004 (c. 27).

(6) In subsections (2) and (5)—

(a) references to a company’s liability being “limited by guarantee” have the meaning given by section 3(3) of the Companies Act 2006, and

(b) a company does not have a share capital if it does not have power under its constitution to issue shares‍.

Registration in respect of a restricted children’s service: transitional arrangements

6C

Schedule 1A makes provision for transitional arrangements in respect of service providers registered prior to the coming into force of section 6A(1).

Grant or refusal of registration as a service provider

7

(1) The Welsh Ministers must grant an application under section 6 if satisfied that—

(a) the application—

(i) contains everything required by or under subsection (1) of that section,

(ii) in the case of an application relating to a domiciliary support service, contains the undertaking mentioned in section 8, and

(iii) meets the requirements prescribed under section 6(2);

(aa) in the case of an application in respect of a restricted children’s service, the applicant meets the requirement in section 6A(1);

(b) the applicant is a fit and proper person to be a service provider (see section 9);

(i) is eligible to be a responsible individual in accordance with section 21(2),

(ii) is a fit and proper person to be a responsible individual (see section 9), and

(iii) will comply with any requirements of regulations under section 28 (so far as applicable);

(d) the requirements of—

(i) any regulations under section 27 (including any requirements as to the standard of care and support that must be provided), and

(ii) any other enactment which appears to the Welsh Ministers to be relevant,

will be complied with (so far as applicable) in relation to the provision of the regulated service.

(2) In any other case the Welsh Ministers must refuse an application.

(3) The grant of an application—

(a) must be subject to a condition specifying—

(i) the places at, from or in relation to which the service provider is to provide a regulated service, and

(ii) the individual designated as the responsible individual for each place, ...

(aa) must, in the case of an application in respect of a restricted children’s service, be subject to a condition that the service provider notify the Welsh Ministers of any circumstances under which the provider no longer meets the requirement in section 6A(1), and

(b) may be subject to such further conditions as the Welsh Ministers think appropriate.

(4) Where a person has made a single application in respect of two or more regulated services the Welsh Ministers may separately grant or refuse the application in respect of each service.

(5) But the grant of an application takes effect only if the requirements of sections 18 to 20 are met (so far as applicable).

Duration of domiciliary support visits

8

(1) The undertaking mentioned in section 7(1)(a)(ii) and 11(3)(a)(ii) is that a domiciliary support service will not be provided by way of a visit which is shorter than 30 minutes unless either condition A, B or C is met.

(2) Condition A applies where—

(a) a local authority is required—

(i) by virtue of section 35 or 37 of the 2014 Act, to meet the needs of the person being visited, or

(ii) by virtue of section 40 or 42 of that Act, to meet the needs of that person's carer, and

(b) the authority meets those needs by providing or arranging the provision of a domiciliary support service to the person being visited.

(3) Condition A is that—

(a) the individual carrying out the visit has previously carried out a visit during the period for which the local authority maintains—

(i) a care and support plan under section 54(1) of the 2014 Act in respect of the person being visited, or

(ii) a support plan under that section in respect of the person's carer, and

(b) either—

(i) the visit is conducted for the sole purpose of checking whether the person is safe and well, or

(ii) the tasks to be performed during the visit can reasonably be, and are, completed to a standard which satisfies any requirements specified in regulations made under section 27 that are relevant to the visit.

(4) Condition B applies where a domiciliary support service is provided in circumstances where Condition A does not apply.

(5) Condition B is that—

(a) a visit of less than 30 minutes is consistent with the terms of any arrangement to provide the service made between the service provider and the person being visited (or another person acting on behalf of the person being visited),

(b) the visit is conducted for the sole purpose of checking whether the person is safe and well, or

(c) the tasks to be performed during the visit can reasonably be, and are, completed to a standard which satisfies any requirements specified in regulations made under section 27 that are relevant to the visit.

(6) Condition C applies in any case where a domiciliary support service is provided by way of a visit to a person.

(7) Condition C is that the visit is curtailed at the request of the person being visited.

Fit and proper person: relevant considerations

9

(1) This section applies to any decision of the Welsh Ministers as to whether—

(a) a service provider,

(b) a person applying to be a service provider,

(d) a person to be designated as a responsible individual,

is a fit and proper person to be a service provider or, as the case may be, a responsible individual.

(2) In making such a decision the Welsh Ministers must have regard to all matters they think appropriate.

(3) In particular, the Welsh Ministers must have regard to any evidence falling within subsections (4) to (8).

(4) Evidence falls within this subsection if it shows that the person has—

(a) committed—

(i) any offence involving fraud or other dishonesty, violence, firearms or drugs or any offence listed in Schedule 3 to the Sexual Offences Act 2003 (c.42) (offences attracting notification requirements),

(ii) an offence under this Act or regulations made under it,

(iii) an offence under Part 2 of the Care Standards Act 2000 (c.14) or regulations made under it, or

(iv) any other offence which the Welsh Ministers think is relevant, or

(b) practised unlawful discrimination or harassment on the grounds of any characteristic which is a protected characteristic under section 4 of the Equality Act 2010 (c.15), or victimised another person contrary to that Act, in or in connection with the carrying on of any business.

(5) Evidence is within this subsection if—

(a) it shows that any other person associated or formerly associated with the person (whether on a personal, work or other basis) has done any of the things set out in subsection (4) or (6), and

(b) it appears to the Welsh Ministers that the evidence is relevant to the question as to whether the person is a fit and proper person to be a service provider or, as the case may be, a responsible individual.

(6) Evidence is within this subsection if it shows that the person has been responsible for, contributed to or facilitated misconduct or mismanagement in the provision—

(a) of a regulated service or a service provided outside Wales which, if provided in Wales, would be a regulated service;

(b) of a service which would have fallen within paragraph (a) had the regulatory system established by this Part been operating at the time the service was being provided.

(7) When having regard to evidence within subsection (6), the Welsh Ministers must, among other things, take account of—

(a) the seriousness and duration of the misconduct or mismanagement;

(b) harm caused to any person, or any evidence of an intent to cause harm;

(d) any action taken by the person to remedy the misconduct or mismanagement.

(e) where the person is a service provider that—

(i) is registered in respect of a restricted children’s service, and

(ii) is subject to the requirement in section 6A(1),

whether it appears to the Welsh Ministers that the provider has entered into a financial arrangement that falls within section 9A.

(8) Evidence is within this subsection if it shows that the person has previously failed to comply with—

(a) an undertaking given under section 7(1)(a)(ii) or 11(3)(a)(ii),

(b) a condition imposed under this Part, or

(9) The Welsh Ministers may by regulations amend this section to vary the evidence to which they must have regard.

Fit and proper person test: financial arrangements relating to restricted children’s services

9A

(1) For the purposes of the fit and proper person test in section 9, a financial arrangement falls within this section if it is an arrangement with or for the benefit of a relevant person that—

(a) is unreasonable or disproportionate in all of the circumstances, and

(b) (in consequence) may undermine the service provider’s pursuit of its objects or purposes (as‍ to which, see section 6A(3)).

(2) When determining whether such a financial arrangement has been entered into, regard must be had to—

(a) the size or value of the arrangement and its purpose (including the extent to which it relates to the provision of the restricted children’s service);

(b) the size or value of the arrangement relative to the amount of income the service provider receives from providing the restricted children’s service;

(d) the well-being of children who receive care and support (in the provision of the restricted children’s service).

(3) For the purposes of section 9(7)(e) and this section—

(a) “entering into a financial arrangement” includes but is not limited to making a payment or awarding any benefit (direct or indirect) that has monetary value (and references to a financial arrangement are to be read as including a series of arrangements);

(b) “relevant person” means any of the following—

(i) an employee, worker or officer of the service provider;

(ii) a person connected to an employee, worker or officer of the service provider;

(iii) where the service provider is part of a group of persons under common ownership or common control, any person within that group.

Financial arrangements relating to restricted children’s services: supplementary provision

9B

(1) In section 9A(3)(b)—

(a) “employee” and “worker” have the meanings given by section 230 of the Employment Rights Act 1996 (c. 18);

(b) an “officer” means—

(i) any director, manager, secretary or other similar officer of the service provider (and, in relation to a service provider whose affairs are managed by its members, “director” means a member of the service provider);

(ii) any other person having the general control and management of the service provider,

and, where the service provider is a charity, this includes any charity trustee within the meaning of the Charities Acts.

(2) For the purposes of section 9A(3)(b), the following are connected to an employee, worker or officer of the service provider—

(a) their child, parent, grandchild, grandparent, brother or sister;

(b) their spouse or civil partner;

(d) an institution which is controlled—

(i) by them or by any person falling within paragraph (a), (b) or (c), or

(ii) by two or more persons falling within sub-paragraph (i), when taken together;

(e) a body corporate in which—

(i) the person or any connected person falling within any of paragraphs (a) to (c) has a substantial interest, or

(ii) two or more persons falling within sub-paragraph (i), when taken together, have a substantial interest.

(3) In subsection (2)—

(a) “child” includes a stepchild;

(b) where two people are not married to, or civil partners of, each other but live together as if they were a married couple or civil partners, each of them is to be treated as the spouse or civil partner of the other;

(c) “institution” has the meaning given by section 9(3) of the Charities Act 2011 and a person controls an institution if the person is able, directly or indirectly, to secure that the affairs of the institution are conducted in accordance with the person’s wishes;

(d) references to having a “substantial interest in a body corporate” have the meaning given by section 352 of the Charities Act 2011.

(4) For the purposes of section 9A(3)(b)(iii), a group of persons is to be treated as being under common control if the group—

(a) is a group of interconnected bodies corporate,

(b) consists of bodies corporate of which one and the same person or group of persons has control, or

(c) consists of one or more bodies corporate and a person who, or a group of persons which, has control of that or those bodies corporate.

(5) In subsection (4), a “group of interconnected bodies corporate” means a group consisting of two or more bodies corporate all of which are interconnected with each other.

(6) For the purposes of subsection (5), any two bodies corporate are interconnected if—

(a) one of them is a body corporate of which the other is a subsidiary, or

(b) both of them are subsidiaries of one and the same body corporate (and “interconnected bodies corporate” is to be construed accordingly).

(7) For the purposes of subsection (4)(b) and (c), a person or group of persons controls a body corporate if the person or group of persons is able, directly or indirectly, to secure that the affairs of the body corporate are conducted in accordance with the wishes of the person or group of persons.

(8) In this section—

“the Charities Acts” (“y Deddfau Elusennau”) means the Charities Act 2011 (c. 25), the Charities and Trustee Investment (Scotland) Act 2005 (asp 10) and the Charities Act (Northern Ireland) 2008 (c. 12);

“person” (“person”) includes a body corporate, a partnership and an unincorporated association;

“subsidiary” (“is-gorff) has the meaning given by section 1159 of the Companies Act 2006 (c. 46).

Annual return

10

(1) A service provider must , following the end of each financial year during which the provider is registered—

(a) submit an annual return to the Welsh Ministers;

(b) publish that return on its website.

(1A) A service provider must make available, on request, a copy of an annual return published on its website.

(2) An annual return must contain—

(a) the following information—

(i) the regulated services that the service provider is registered to provide;

(ii) the places at, from or in relation to which the provider is registered to provide those services;

(iii) the name of the responsible individual registered in respect of each such place;

(iv) the date on which the provider's registration took effect in respect of each such regulated service and place;

(v) details of any other conditions imposed on the service provider's registration;

(vi) details of the number of persons to whom the provider provided care and support during the year in the course of providing each such service;

(vii) such information about training offered or undertaken in relation to each such service as may be prescribed;

(viii) such information about workforce planning as may be prescribed;

(viiia) such information about evidence relevant to the fit and proper person test as may be prescribed;

(ix) such other information as may be prescribed, and

(b) a statement setting out how the service provider has complied with any regulations made under section 27(1) specifying the standard of care and support that must be provided by a service provider (see section 27(2)).

(2A) In the case of a service provider, other than a local authority, that provides a restricted children’s service, a return must also contain such information as may be prescribed to satisfy the Welsh Ministers that the provider meets the requirement in section 6A(1).

(2B) But subsection (2A) does not apply in respect of a provider to‍ which section 6A does not apply by virtue of paragraph 2(4) of Schedule 1A.

(3) An annual return must be in the prescribed form.

(4) An annual return must be submitted to the Welsh Ministers within the prescribed time limit.

(4A) An annual return must be published within the prescribed time limit.

(4B) But if disclosure of information contained in the annual return is prohibited by any enactment or other rule of law, that information must be redacted from the annual return before it is published.

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) Despite section 187(3), a statutory instrument containing—

(a) the first regulations made under subsection (2)(a)(vii),

(b) the first regulations made under subsection (2)(a)(viii), ...

(ba) the first regulations made under subsection (2)(a)(viiia),

(d) the first regulations made under subsection (2A),

may not be made unless a draft of the instrument has been laid before and approved by a resolution of Senedd Cymru.

Application for variation of registration as a service provider

11

(1) A service provider must apply to the Welsh Ministers for a variation of the provider's registration if—

(a) the provider wants to—

(i) provide a regulated service which the provider is not already registered to provide,

(ii) provide a regulated service at, from or in relation to a place which is not already specified in the provider's registration in relation to that service,

(iii) cease to provide a regulated service, or

(iv) cease to provide a regulated service at, from or in relation to a place;

(b) the provider wants a condition imposed under section 7(3)(b), 12(2) or 13(1) to be varied or removed;

(c) the provider wants to designate a different responsible individual in respect of a place or is required to designate a responsible individual because there is no such individual designated in respect of a place at, from or in relation to which the provider provides a regulated service.

(2) The Welsh Ministers must by regulations prescribe a time limit within which an application for variation of a provider's registration must be made in circumstances where there is no responsible individual designated in respect of a place at, from or in relation to which the provider provides a regulated service.

(3) An application under subsection (1) must—

(a) contain—

(i) details of the variation sought by the provider,

(ii) in the case of an application under subsection (1)(a)(i) to provide a domiciliary support service, the undertaking set out in section 8, and

(iii) such other information as may be prescribed;

(b) be in the prescribed form.

(4) In the case of an application under subsection (1)(a)(i) to provide a restricted children’s service, the application must also contain such information as may be prescribed to satisfy the Welsh Ministers that the service provider meets the requirement in section 6A(1).

Grant or refusal of application for variation

12

(1) The Welsh Ministers may grant or refuse an application under section 11 (but see subsections (1A) and (2)).

(1A) In the case of an application under section 11(1)(a)(i) to provide a restricted children’s service, the Welsh Ministers may only grant an application if they are satisfied that the service provider meets the requirement in section 6A(1).

(2) In the case of an application under section 11(1)(b), the Welsh Ministers may (instead of granting or refusing the application)—

(a) vary a condition on different terms to those specified in the application, or

(b) impose another condition on the provider's registration (whether in place of or in addition to the condition which the provider applied to have varied or removed).

(3) But a variation under this section takes effect only if the requirements of sections 18 to 20 are met (so far as applicable).

Variation without application

13

(1) The Welsh Ministers may—

(a) vary any condition imposed under section 7(3)(b), 12(2) or paragraph (b) of this subsection, or

(b) impose a further condition on a service provider's registration.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) If a service provider provides more than one regulated service, the Welsh Ministers may vary the provider's registration by removing a regulated service if satisfied that—

(a) the service provider no longer provides that service, ...

(b) the service is not being provided in accordance with the requirements mentioned in section 7(1)(d) so far as applicable to that service , or

(c) where the service is a restricted children’s service, the service provider does not meet the requirement in section 6A(1).

(3A) See also paragraph 3(4)(a) of Schedule 1A, in respect of variation of a service provider’s registration to remove a restricted children’s service during the transitional period defined in that Schedule.

(4) If a service provider provides a regulated service at, from or in relation to more than one place, the Welsh Ministers may vary the provider's registration by removing a place if satisfied that—

(a) the service provider no longer provides a regulated service at, from or in relation to that place,

(b) the service provided at, from or in relation to that place is not being provided in accordance with the requirements mentioned in section 7(1)(d) so far as applicable to that service,

(ba) the responsible individual designated in respect of that place, or any other person, has been convicted of, or has been given a caution in respect of, a relevant offence in connection with a regulated service provided by the service provider at, from or in relation to that place, or

(c) there is no responsible individual designated in respect of that place (and the time limit prescribed under section 11(2) has expired).

(4A) For the purposes of subsection (4)(ba) a relevant offence is an offence listed in section 15(2).

(5) No variation may be made under this section unless—

(a) in the case of variation under subsection (1), (3)(a) or (4)(a), the requirements of sections 18 and 19 are met;

(b) in the case of variation under subsection (3)(b), (4)(b), (ba) or (c), the requirements of sections 16 and 17 are met.

(6) But nothing in subsection (5) affects the power of the Welsh Ministers to urgently vary a registration under section 23.

Application for cancellation of registration as a service provider

14

(1) If a service provider applies to the Welsh Ministers for cancellation of the provider's registration, the Welsh Ministers must grant the application unless they have taken action with a view to cancelling the registration under section 15 or 23.

(1A) An application under subsection (1) must—

(a) contain such information as the Welsh Ministers may prescribe;

(b) be in the prescribed form.

(2) The Welsh Ministers must give notice of the granting of an application for cancellation under this section to the service provider.

(3) Cancellation under this section takes effect—

(a) on the day falling 3 months after the day on which the service provider receives the notice, or

(b) such earlier day as the Welsh Ministers may specify in the notice.

Cancellation without application

15

(1) The Welsh Ministers may cancel the registration of a service provider on any of the following grounds—

(a) the service provider no longer provides any regulated services;

(b) the Welsh Ministers are no longer satisfied that the service provider is a fit and proper person to be a service provider (see section 9);

(ba) the service provider has been convicted of, or has been given a caution in respect of, a relevant offence in connection with a regulated service that they provide;

(c) there is no responsible individual designated in respect of each place at, from or in relation to which the provider provides a regulated service (and the time limit for applying to vary the registration prescribed in regulations made under section 11(2) has expired);

(d) a responsible individual other than the service provider (see section 21(2)(a)) designated in respect of a place at, from or in relation to which the provider provides a regulated service has been convicted of, or has been given a caution in respect of, a relevant offence in connection with a regulated service provided by the service provider;

(e) any other person has been convicted of, or has been given a caution in respect of, a relevant offence in connection with a regulated service provided by the service provider;

(f) a regulated service provided by the service provider is not being provided in accordance with the requirements mentioned in section 7(1)(d) so far as applicable to that service ;

(g) each of the services that the service provider is registered in respect of is a restricted children’s service and the service provider does not meet the requirement in section 6A(1).

(1A) See also paragraph 3(4)(b) of Schedule 1A, in respect of cancellation of the registration of a service provider in respect of a restricted children’s service during the transitional period defined in that Schedule.

(2) For the purposes of subsection (1)(ba), (d) and (e), the following are relevant offences—

(a) an offence under this Act or regulations made under it;

(b) an offence under Part 2 of the Care Standards Act 2000 (c.14) or regulations made under it;

(c) any offence which, in the opinion of the Welsh Ministers, makes it appropriate for the registration to be cancelled (including an offence committed outside England and Wales which, if committed in England and Wales, would constitute a criminal offence).

(3) No cancellation may be made under this section unless —

(a) in the case of‍ cancellation on the grounds set out in subsection (1)(a), (b) or (ba), the requirements of sections 18 and 19 are met;

(b) in the case of‍ cancellation on the grounds set out in subsection (1)(c), (d), (e) or (f), the requirements of sections 16 and 17 are met.

(4) But nothing in subsection (3) affects the power of the Welsh Ministers to urgently cancel a registration under section 23.

Notice requirements

Improvement notices

16

(1) This section applies where the Welsh Ministers propose to—

(a) cancel the registration of a service provider under section 15(1)(c), (d), (e) or (f), or

(b) vary a provider's registration under section 13(3)(b) or (4)(b), (ba) or (c).

(2) Before cancelling or varying the registration the Welsh Ministers must give an improvement notice to the service provider.

(3) An improvement notice given under subsection (2) must specify—

(a) the ground on which the Welsh Ministers propose to cancel or vary the registration and, in the case of a variation, the manner of the variation,

(b) action the Welsh Ministers think the provider must take, or information the provider must provide, in order to satisfy them that cancellation or variation on the basis of that ground is not appropriate, and

(i) the action must be taken or the information must be provided, and

(ii) the service provider may make representations.

(4) The service provider may make representations to the Welsh Ministers before the expiry of the time limit specified in the improvement notice and the Welsh Ministers must have regard to those representations when deciding what to do under section 17.

Notice of decision following improvement notice

17

(1) If the Welsh Ministers are satisfied that—

(a) action specified in an improvement notice has been taken, or

(b) information so specified has been provided,

within the time limit specified in the notice they must notify the service provider that they have decided not to cancel or vary the provider's registration on the ground specified in the improvement notice.

(2) If the Welsh Ministers are not satisfied that information specified in an improvement notice has been provided within the time limit specified in the notice they must give the service provider a decision notice stating that the provider's registration is to be cancelled or varied on the ground specified in the improvement notice.

(3) If the Welsh Ministers are not satisfied that action specified in an improvement notice has been taken within the time limit specified in the notice they must either—

(a) give the service provider a decision notice stating that the provider's registration is to be cancelled or varied on the ground specified in the improvement notice, or

(b) notify the provider—

(i) that the action has not been taken,

(ii) of a new date by which the action must be taken,

(iii) that, following that date, an inspection under section 33 of the regulated service or place to which the improvement notice relates will be carried out, and

(iv) that, following that inspection, if the action has not been taken they will proceed to cancel or vary the provider's registration on the ground specified in the improvement notice.

(4) If, after the inspection, the Welsh Ministers are satisfied that the action specified in the improvement notice has been taken they must notify the service provider that they have decided not to cancel or vary the provider's registration on the ground specified in the improvement notice.

(5) If, after the inspection, the Welsh Ministers are still not satisfied that the action specified in the improvement notice has been taken they must give the service provider a decision notice stating that the provider's registration is to be cancelled or varied on the ground specified in the improvement notice.

(6) A decision notice given under subsection (2), (3)(a) or (5) must—

(a) state the reasons for the decision (including the grounds for cancellation or variation), and

(b) explain the right of appeal conferred by section 26.

(7) A decision stated in a notice given under subsection (2), (3)(a) or (5) takes effect—

(a) if no appeal is made against the decision, on the day after the last day of the 28 day period referred to in section 26(2), or

(b) if an appeal is made, on the day specified by the tribunal in determining the appeal or on the day the appeal is withdrawn.

Notice of proposal

18

(1) This section applies where the Welsh Ministers propose to—

(a) grant an application for registration as a service provider subject to a condition that has not been agreed in writing with the applicant,

(b) refuse an application for registration or for variation of registration as a service provider, ...

(i) in accordance with an application for variation made under section 11, or

(ii) under section 13(3)(b) or (4)(b), (ba) or (c), 23(1)(b) or 25(2)(a), or

(d) cancel the registration of a service provider‍ other than under section 15(1)(c), (d), (e) and (f).

(2) The Welsh Ministers must give a notice of the proposal to the service provider—

(a) specifying the action the Welsh Ministers propose to take,

(b) giving reasons for the proposal, and

(c) specifying a time limit of no less than 28 days from the date on which the notice is given within which the service provider may make representations to the Welsh Ministers.

(3) A notice of proposal may specify action which, if taken by a provider within the time limit specified in the notice, would result in the Welsh Ministers not taking the action they propose in the notice.

(4) In the case of a refusal of an application for registration as a service provider references in this section and section 19 to a “service provider” are to be treated as references to the person who applied to be registered as a service provider.

Notice of decision following notice of proposal

19

(1) This section applies where the Welsh Ministers have given a notice of proposal.

(2) In making a decision on the proposal, the Welsh Ministers must have regard to any representations made to them (whether made by the service provider or any other person who the Welsh Ministers think has an interest).

(3) If the Welsh Ministers are satisfied that a service provider has taken such action as may be specified under section 18(3) within the time limit specified in the notice of proposal, they must not take the action proposed in the notice.

(4) The Welsh Ministers must give a notice of decision to the service provider no later than 28 days after the expiry of the later of—

(a) the time limit specified under subsection (2)(c) of section 18, or

(b) any time limit as may be specified under subsection (3) of that section.

(5) Despite subsection (4), a notice of decision given after the 28 day period mentioned in that subsection is valid if the notice—

(a) gives reasons for the delay in making the decision, and

(b) is given no later than 56 days after the expiry of the later of the time limits mentioned in paragraphs (a) and (b) of subsection (4).

(6) A notice of decision given under subsection (4) must—

(a) state whether the Welsh Ministers have decided to take the action specified in the notice of proposal,

(b) give reasons for the decision, and

(c) if the Welsh Ministers have decided to take the action specified in the notice of proposal, explain the right of appeal conferred by section 26.

(7) A decision stated in a notice given under subsection (4) to take action specified in a notice of proposal takes effect—

(a) if no appeal is made against the decision, on the day after the last day of the 28 day period referred to in section 26(2), or

(b) if an appeal is made, on the day specified by the tribunal in determining the appeal or on the day the appeal is withdrawn.

(8) The Welsh Ministers may by regulations amend—

(a) the 28 day period mentioned in subsection (4);

(b) the 56 day period mentioned in subsection (5)(b).

Notice of decision without notice of proposal

20

(1) This section applies where the Welsh Ministers have decided to—

(a) grant an application for registration as a service provider subject only to conditions that have been agreed in writing with the applicant, or

(b) vary the registration of a service provider in accordance with an application for variation made under section 11.

(2) The Welsh Ministers must give a notice of decision to the service provider.

(3) A decision stated in a notice given under subsection (2) takes effect on the date on which the notice is given.

Responsible individuals

21

(1) In this Part, “responsible individual” means an individual—

(a) who is eligible to be a responsible individual under subsection (2),

(b) who the Welsh Ministers are satisfied is a fit and proper person to be a responsible individual (see section 9), and

(c) designated by a service provider in respect of a place at, from or in relation to which the provider provides a regulated service and specified as such in the service provider's registration.

(2) To be eligible to be a responsible individual the individual must—

(a) where the service provider is an individual, be the service provider;

(b) where the service provider is a partnership, be one of the partners;

(i) be a director or similar officer of the body,

(ii) in the case of a public limited company, be a director or company secretary, or

(iii) in the case of a body corporate whose affairs are managed by its members, be a member of the body;

(d) where the service provider is an unincorporated body, be a member of the body;

(e) where the service provider is a local authority, be an officer of the local authority designated by the authority's director of social services.

(3) For the purposes of subsection (2)(e), a local authority's director of social services may designate an officer only if the director thinks that the officer has the necessary experience and expertise to be a responsible individual.

(4) The same responsible individual may be designated in relation to more than one place at, from or in relation to which a regulated service is provided.

(5) The Welsh Ministers may, by regulations—

(a) specify circumstances in which the Welsh Ministers (instead of a service provider) may designate an individual to be a responsible individual despite the requirements of subsection (2) not being met in respect of the individual, and

(b) make provision for this Part to apply with prescribed modifications to such a responsible individual.

Cancellation of designation of a responsible individual

22

(1) The Welsh Ministers may cancel a responsible individual's designation only on one or more of the following grounds—

(a) they have reason to believe the individual no longer satisfies the requirements of section 21(2);

(b) they have reason to believe the individual has been convicted of, or has been given a caution in respect of, a relevant offence in connection with a regulated service provided by the service provider;

(c) they are no longer satisfied that the individual is a fit and proper person to be a responsible individual (see section 9);

(d) they have reason to believe that the individual has not complied with a requirement imposed on the individual by regulations under section 28(1).

(2) In subsection (1)(b), “relevant offence” has the same meaning as in section 15.

(3) If the Welsh Ministers propose to cancel a responsible individual's designation they must give the individual an improvement notice.

(4) An improvement notice given under subsection (3) must specify—

(a) the reason why the Welsh Ministers propose to cancel the responsible individual's designation,

(b) either—

(i) action that they think the individual must take, or

(ii) information they think the individual must provide,

in order to satisfy them that the individual's designation should not be cancelled, and

(5) If the Welsh Ministers are not satisfied that—

(a) action specified in an improvement notice has been taken, or

(b) information so specified has been provided,

within the time limit specified in the notice they may give a notice of cancellation.

(6) The Welsh Ministers may give a notice of cancellation of a responsible individual's designation without taking the steps mentioned in subsections (3) to (5) if they have reasonable cause to believe that unless the designation is cancelled a person will or may be exposed to a risk of harm.

(7) A notice of cancellation must be given to—

(a) the responsible individual, and

(b) the service provider who designated the individual.

(8) An individual ceases to be designated as a responsible individual when the notice of cancellation is given to the service provider.

(9) A notice of cancellation must—

(a) give reasons for the decision,

(b) explain the right of appeal conferred by section 26,

(d) state the time limit prescribed under section 11(2) (prescribed time limit for applying to designate a new responsible individual).

(10) In subsection (6), “harm” means abuse or impairment of—

(a) physical or mental health, or

(b) physical, intellectual, emotional, social or behavioural development,

and in a case where the harm relates to the impairment of a child's health or development, the child's health or development is to be compared with that which could reasonably be expected of a similar child.

Urgent action

Urgent cancellation or variation of services or places

23

(1) The Welsh Ministers may apply to a justice of the peace for an order authorising them—

(a) to cancel the registration of a service provider, or

(b) to vary the registration of a service provider by removing from the registration—

(i) a regulated service, or

(ii) a place at, from or in relation to which the provider is providing a regulated service.

(2) The Welsh Ministers may apply for an order under subsection (1) only on the ground that unless the registration is cancelled or varied there is a serious risk—

(a) to a person's—

(i) life, or

(ii) physical or mental health, or

(b) of a person suffering from abuse or neglect.

(3) As soon as practicable after making an application under subsection (1) the Welsh Ministers must notify—

(a) each local authority and Local Health Board in whose area the service provider provides a regulated service, and

(b) any other person the Welsh Ministers think it appropriate to notify.

(4) The justice of the peace may make the order only if the justice is satisfied as to the ground on which the Welsh Ministers made the application.

(5) An order under this section may be made in the absence of the service provider to whom it relates if the justice of the peace is satisfied that—

(a) the Welsh Ministers have taken all reasonable steps to notify the service provider of their intention to apply for an order under this section, or

(b) it is not appropriate to take any such steps.

(6) An order made under this section has effect—

(a) as soon as it is made, or

(b) at such other time as the justice of the peace thinks appropriate.

(7) In particular, the justice of the peace may specify that the order is not to take effect until such time following the giving of notice under section 24(1) as the justice thinks appropriate.

Urgent cancellation or variation: notification and appeals

24

(1) As soon as is practicable after an order is made under section 23 the Welsh Ministers must give a notice to the service provider to whom the order relates explaining—

(a) the terms of the order, and

(b) the right of appeal conferred by subsection (2).

(2) No later than 14 days after the day on which the notice given under subsection (1) is given, the service provider may appeal to the tribunal against the making of the order.

(3) But the tribunal may allow an appeal to be made after the expiry of that 14 day period if it is satisfied that there is a good reason for the failure to appeal before the expiry of that period (and for any delay in applying for permission to appeal out of time).

(4) On an appeal under subsection (2), the tribunal may—

(a) confirm the order;

(b) revoke the order;

(5) An interim order of the tribunal may, among other things, suspend the effect of an order made under section 23 for such period as the tribunal may specify.

Urgent variation of registration: other conditions

25

(1) This section applies where the Welsh Ministers think that unless they act under this section there is, or may be, a risk—

(a) to a person's—

(i) life, or

(ii) physical or mental health, or

(b) of a person suffering from abuse or neglect.

(2) The Welsh Ministers may give a decision notice to a service provider—

(a) varying a condition imposed under section 7(3)(b), 12(2), 13(1) or previously imposed under this section, or

(b) imposing a condition that could have been imposed under any of those sections.

(3) A decision notice given under subsection (2) takes effect on the day it is given.

(4) A decision notice given under subsection (2) must—

(a) state that it is given under this section,

(b) specify the condition to be varied or imposed,

(d) explain the right to make representations conferred by subsection (5), and

(e) explain the right of appeal conferred by section 26.

(5) The Welsh Ministers may vary or remove a condition varied or imposed under subsection (2) by giving a further decision notice to the service provider, but before doing so they must have regard to any representations made to them by the service provider about the notice given under subsection (2).

(6) A decision notice given under subsection (5) takes effect on the day it is given.

(7) A decision notice given under subsection (5) must—

(a) state that it is given under this section,

(b) specify the condition to be varied or removed,

(d) explain the right of appeal conferred by section 26.

Appeals

26

(1) An appeal lies to the tribunal against a decision contained in a notice given under section 17(2), (3)(a) or (5), 19(4), 22(5) or (6) or 25(2) or (5).

(2) An appeal under subsection (1) must be made no later than 28 days after the date on which the decision notice is given.

(3) But the tribunal may allow an appeal to be made after the expiry of that 28 day period if it is satisfied that there is a good reason for the failure to appeal before the expiry of that period (and for any delay in applying for permission to appeal out of time).

(4) On an appeal under subsection (1), the tribunal may—

(a) confirm the decision;

(b) direct that the decision is not to take effect (or, if the decision has taken effect, direct that the decision is to cease to have effect);

(d) make such other order (including an interim order) as the tribunal thinks appropriate.

(5) An interim order may, among other things, suspend the effect of a decision for such period as the tribunal may specify.

Regulations and guidance

Regulations about regulated services

27

(1) The Welsh Ministers may by regulations impose requirements on a service provider in relation to a regulated service.

(2) Requirements imposed by regulations under subsection (1) must include requirements as to the standard of care and support to be provided by a service provider.

(3) The Welsh Ministers must, when making regulations imposing requirements of the kind mentioned in subsection (2), have regard to—

(a) the importance of the well-being of any individuals to whom care and support will be provided, and

(b) the quality standards included in any code issued under section 9 of the 2014 Act (codes to help achieve outcomes specified in well-being statements).

(4) Before making regulations under this section the Welsh Ministers must—

(a) consult any persons they think appropriate, and

(b) publish a statement about the consultation.

(5) The Welsh Ministers must lay a copy of a statement published under subsection (4)(b) before Senedd Cymru.

(6) But the requirement to consult and publish a statement does not apply to regulations which—

(a) amend other regulations made under this section, and

(b) do not, in the opinion of the Welsh Ministers, effect any substantial change in the provision made by the regulations to be amended.

Regulations about responsible individuals

28

(1) The Welsh Ministers may by regulations impose requirements on a responsible individual in relation to a place in respect of which the individual is designated.

(2) Regulations under subsection (1) may include provision requiring a responsible individual to appoint an individual of a prescribed description to manage the place in respect of which the responsible individual is designated.

(3) Regulations under subsection (1) may make provision for a function conferred on a responsible individual by the regulations to be delegated to another person only in prescribed circumstances but such provision may not affect the liability or responsibility of the responsible individual for exercising the function.

(4) Before making regulations under this section the Welsh Ministers must consult any persons they think appropriate.

(5) But the requirement to consult does not apply to regulations which—

(a) amend other regulations made under this section, and

(b) do not, in the opinion of the Welsh Ministers, effect any substantial change in the provision made by the regulations to be amended.

Guidance about regulations under sections 27 and 28

29

(1) The Welsh Ministers must publish guidance about how—

(a) service providers may comply with requirements imposed by regulations under section 27(1) (including how providers may meet any standards for the provision of a regulated service specified by such regulations);

(b) responsible individuals may comply with requirements imposed by regulations under section 28(1).

(2) The Welsh Ministers may revise guidance published under subsection (1) and must publish the revised guidance.

(3) Service providers and responsible individuals must have regard to guidance published under this section.

Regulations about service providers who are liquidated etc.

30

(1) The Welsh Ministers may by regulations make provision—

(a) requiring an appointed person to notify them of that appointment;

(b) for this Part to apply with prescribed modifications to service providers in relation to whom such a person has been appointed.

(2) In subsection (1) “appointed person” means a person appointed as—

(a) a receiver or administrative receiver of the property of a service provider who is a body corporate or a partnership;

(b) a liquidator, provisional liquidator or administrator of a service provider who is a body corporate or a partnership;

Regulations about service providers who have died

31

(1) The Welsh Ministers may by regulations make provision—

(a) for this Part to apply with prescribed modifications where a service provider who is an individual has died;

(b) requiring the personal representatives of such an individual to notify the Welsh Ministers of the death.

(2) Regulations under subsection (1) may in particular provide for a prescribed person who is not a service provider to act in that capacity for a prescribed period and for that period to be extended in prescribed circumstances.

CHAPTER 3 — INFORMATION , INSPECTIONS AND INVESTIGATIONS

Power to require information

32

(1) Subsections (1A) and (1B) apply where the Welsh Ministers consider that a relevant person may have information relating to a regulated service which the Welsh Ministers think it necessary or expedient to obtain for the purposes of exercising their functions under Chapter 2 and this Chapter of this Part or under sections 38 to 40.

(1A) Where this subsection applies, the Welsh Ministers may give a notice to a relevant person requiring that person—

(a) to produce any documents which—

(i) are specified or described in the notice, or fall within a category of document which is specified or described in the notice, and

(ii) are in the person’s custody or under the person’s control, and

(b) to produce the documents in a manner specified in the notice.

(1B) Where this subsection applies, the Welsh Ministers may give a notice to a relevant person requiring that person—

(a) to answer any question—

(i) which is asked in the notice, and

(ii) the answer to which is known to the person, and

(b) to answer in a manner specified in the notice.

(2) But the Welsh Ministers may not require a person to provide information if —

(a) disclosure of that information is prohibited by any enactment or other rule of law;

(b) the person would be entitled to refuse to disclose the information in proceedings in the High Court on grounds of legal professional privilege.

(3) For the purposes of subsection (1), “relevant person” means—

(a) a service provider,

(b) a responsible individual,

(d) any person who has held any of those positions.

(4) The power to require information under subsection (1) includes—

(a) power to require copies of any documents or records (including medical and other personal records), and

(b) power to require the provision of information in legible form.

(5) Where the Welsh Ministers require a person to provide information as they suspect an offence is being or has been committed—

(a) they may only require the information to be provided if they have reasonable grounds for their suspicion;

(b) they must inform the person, in writing, of the purpose for which they are requiring the information to be provided.

(6) In this section references to a “service provider” include a person who the Welsh Ministers reasonably suspect—

(a) is providing a regulated service at a place in respect of which that person is not registered under section 7, or

(b) has provided a regulated service at a place in respect of which that person was not registered under section 7.

Inspections , investigations and inspectors

33

(1) In this Part a reference to an “inspection” is a reference to an inspection—

(a) of the standard of any care and support provided by a service provider in the course of providing a regulated service, measured in relation to any requirements imposed by regulations under section 27(1) as to the standard of care and support to be provided;

(b) of the organisation , management or co-ordination of regulated services provided by a service provider.

(1A) In this Part a reference to an “investigation is a reference to an investigation into whether a person is committing or has committed an offence under this Part.

(2) Only an individual authorised by the Welsh Ministers (referred to in this Part as an “inspector”) may carry out an inspection or an investigation.

(3) The Welsh Ministers may by regulations make provision about the qualifications and other conditions to be met by an individual who may be an inspector.

(4) The Welsh Ministers must prepare and publish a code of practice about the manner in which inspections are to be carried out (including the frequency of inspections).

(5) The Welsh Ministers may revise the code and must publish a revised code.

(6) An inspector must have regard to the code when carrying out an inspection.

Powers of inspector to enter ... premises

34

(1) For the purposes of carrying out an inspection or an investigation, an inspector may enter ... any premises which the inspector has reasonable grounds to believe is (or has been) used—

(a) as a place at or from which a regulated service is (or has been) provided, or

(b) in connection with the provision of a regulated service.

(2) But an inspector may not enter ... premises used wholly or mainly as a private dwelling unless the occupier consents.

(3) Where an inspector enters premises for the purposes of carrying out an inspection or an investigation, the inspector must, if requested to do so by any person at the premises, produce a document showing the inspector's authorisation under section 33.

(4) When carrying out an inspection or an investigation, the inspector may—

(a) examine the state and management of the premises and assess the well-being of any persons accommodated or receiving care and support there;

(b) require—

(i) the manager or any other person who appears to the inspector to be responsible for the day to day management of the service at or from the premises, or

(ii) where the service is no longer being provided, a person who appears to the inspector to have responsibility for the day to day management of the premises,

to produce any documents or records (including medical and other personal records) that the inspector thinks may be relevant to the provision of the regulated service;

(c) inspect and take copies of any documents or records (including medical and other personal records) that the inspector thinks may be relevant to the provision of the regulated service;

(d) seize and remove any document or other thing found at the premises which the inspector has reasonable grounds to believe may be evidence of a failure to comply with any condition or other requirement imposed by virtue of this Part;

(e) require—

(i) the manager or any other person who appears to the inspector to be responsible for the day to day management of the service at or from the premises, or

(ii) where the service is no longer being provided, a person who appears to the inspector to have responsibility for the day to day management of the premises,

to afford the inspector such facilities and assistance as are necessary to enable the inspector to carry out the inspection;

(f) take such measurements and photographs and make such recordings as the inspector thinks necessary for the purpose of carrying out the inspection.

(5) The powers in subsection (4)(b) to (d) include the power to—

(a) gain access to and check the operation of any computer and associated apparatus which the inspector has reasonable grounds to believe is (or has been) used in connection with the documents or records, and

(b) require documents or records to be produced in a form which is legible and portable.

(6) “Premises” includes a vehicle.

Powers of inspector to interview and examine persons

35

(1) If an inspector thinks it necessary or expedient for the purposes of carrying out an inspection or an investigation, the inspector may require any person to be interviewed by the inspector ....

(1A) An inspector may require an interview under subsection (1) to be carried out in private.

(2) But an inspector —

(a) may not interview a person falling within subsection (3) without the person’s consent, and

(b) may not interview a person (“P”) for the purpose of inquiring whether P has committed an offence unless—

(i) P is informed of the purpose of the interview;

(ii) P is given the opportunity to obtain legal representation.

(3) The following persons fall within this subsection—

(a) a person to whom the service provider provides (or has provided) care and support;

(b) an individual with parental responsibility for the person;

(d) the person's carer;

(e) a donee of a lasting power of attorney over the person.

(4) An inspector may for the purposes of carrying out an inspection examine in private a person to whom the service provider provides (or has provided) care and support if—

(a) the inspector is a registered medical practitioner or registered nurse,

(b) the inspector thinks the examination is necessary or expedient for the purposes of assessing the effect of any such care and support on the well-being of the person, and

(5) For the purposes of subsections (1) and (4), an interview or examination is to be treated as conducted in private despite the presence of a third party if—

(a) the person being interviewed or examined wants the third party to be present and the inspector does not object, or

(b) the inspector wants the third party to be present and the person being interviewed or examined consents.

(6) Where an inspector conducts an interview or examination under this section, the inspector must, if requested to do so by—

(a) the person being interviewed or examined, or

(b) an individual accompanying that person,

produce a document showing the inspector's authorisation under section 33 and, in the case of an examination, a document showing that the inspector is a registered medical practitioner or registered nurse.

(7) In this section—

“carer” (“gofalwr”) has the meaning given by section 3 of the 2014 Act;

“child” (“plentyn”) means a person who is aged under 18;

“donee of a lasting power of attorney” (“rhoddai atwrneiaeth arhosol”) has the same meaning as in Part 1 of the Mental Capacity Act 2005 (c.9);

“parental responsibility” (“cyfrifoldeb rhiant”) has the meaning given by section 3 of the Children Act 1989 (c.41);

“relative” (“perthynas”), in relation to a person, means that person's parent, grandparent, child, grandchild, brother, half-brother, sister, half-sister, uncle, aunt, nephew or niece (including any person who is or has been in that relationship by virtue of a marriage or civil partnership or an enduring family relationship).

Inspection reports

36

(1) As soon as is reasonably practicable after an inspection has been carried out, the Welsh Ministers must prepare a report of the inspection and send a copy of it to the service provider.

(2) A report must , to the extent that the Welsh Ministers consider proportionate, include—

(a) an assessment of the standard of any care and support provided (or which had been provided) by the service provider, measured in relation to any requirements imposed by regulations under section 27(1) as to the standard of care and support to be provided,

(b) an assessment of the effect of any such care and support on the well-being of persons to whom the care and support is (or had been) provided,

(c) an assessment of the organisation and co-ordination of regulated services provided (or which had been provided) by the service provider, and

(d) if regulations are made under section 37, a rating of the service provider.

(3) The Welsh Ministers must—

(a) publish each report prepared under subsection (1);

(b) ensure that copies are made available for inspection at such places and by such means as the Welsh Ministers think appropriate;

(3A) But a requirement in subsection (3) does not apply where the Welsh Ministers consider that fulfilling the requirement would be inappropriate having regard to the best interests of a person whose care and support is assessed in the report.

Inspection ratings

37

(1) The Welsh Ministers may by regulations make provision about ratings that may be given in relation to the quality of care and support provided by a service provider who has been inspected.

(2) Regulations under subsection (1)—

(a) may make provision requiring a service provider to display a rating included in a report prepared under section 36(1) in such manner, and at such place, as the regulations may specify,

(b) may specify criteria to be applied when arriving at a rating, and

(c) must include provision for a service provider to appeal against a rating included in a report prepared under section 36(1).

(3) Before making regulations under subsection (1) the Welsh Ministers must consult any persons they think appropriate.

(4) But the requirement to consult does not apply to regulations which—

(a) amend other regulations made under that subsection, and

(b) do not, in the opinion of the Welsh Ministers, effect any substantial change in the provision made by the regulations to be amended.

CHAPTER 4 — GENERAL FUNCTIONS

Register of service providers

38

(1) The Welsh Ministers must maintain a register of service providers.

(2) An entry in the register in respect of a service provider must show the following information—

(a) the regulated services that the service provider is registered to provide;

(aa) whether any of those services is a restricted children’s service;

(b) the places at, from or in relation to which the provider is registered to provide those services;

(d) the date on which the provider's registration took effect in respect of each such regulated service and place;

(da) in the case of a provider of a restricted children’s service—

(i) that the provider’s registration in respect of that service is subject to the requirement in section 6A(1), and

(ii) that the condition in section 7(3)(aa) is imposed on the provider’s registration in respect of that service;

(e) details of any other conditions imposed on the service provider's registration;

(f) a summary of any inspection report relating to the service provider which has been published under section 36(3)(a);

(g) such other information as may be prescribed.

(2A) See also Schedule 1A, in respect of the registration of a provider of a restricted children’s service that is not subject to the requirement in section 6A(1) during the transitional period defined in that Schedule.

(3) The Welsh Ministers must publish the register and make it available for public inspection free of charge, in such manner, and at such times, as they think appropriate (but see subsection (5)(a)).

(4) The Welsh Ministers must comply with any reasonable request made by a person for a copy of, or an extract from, the register (but see subsection (5)(b)).

(5) The Welsh Ministers may—

(a) omit prescribed information from the published register in prescribed circumstances;

(b) refuse to comply with a request made under subsection (4) in prescribed circumstances.

Notifying local authorities of certain action taken under this Part

39

(1) The Welsh Ministers must notify each local authority of—

(a) the cancellation of the registration of a service provider;

(b) the variation of the registration of a service provider by removing from the registration—

(i) a regulated service, or

(ii) a place at, from or in relation to which the provider is providing a regulated service;

(c) the making of an order by a justice of the peace under section 23 (urgent cancellation or variation by removing a service or place);

(d) the cancellation of a designation of a responsible individual under section 22;

(e) proceedings brought against a person in respect of an offence under this Part or under regulations made under it;

(f) a penalty notice given under section 52;

(g) any other thing that may occur by virtue of this Part or regulations made under it as may be prescribed.

(2) A notification under this section must contain such other information as may be prescribed.

(3) In subsection (1) the reference to “local authority” includes a reference to—

(a) a county council in England,

(b) a district council for an area in England for which there is no county council,

(d) the Common Council of the City of London, and

(e) the Council of the Isles of Scilly.

Charging fees

40

(1) The Welsh Ministers may by regulations make provision requiring a fee to be paid by a person—

(a) making an application for registration as a service provider (see section 6);

(b) making an application to vary a registration (see section 11);

(c) to allow the person to continue to be registered as a service provider for such period as may be specified in the regulations;

(d) for a copy of an inspection report (see section 36(3)(c));

(e) for a copy of the register published under section 38(3), or an extract of it.

(2) Regulations under subsection (1) may include provision—

(a) specifying the amount of any fee or permitting the Welsh Ministers to determine the amount of any fee (subject to any limits or other factors as may be specified in the regulations);

(b) specifying circumstances in which a fee, which would otherwise be payable under the regulations, is not payable;

(c) specifying the time by which a fee is to be payable or specifying factors by which that time is to be determined by the Welsh Ministers;

(d) about the consequences of failing to pay a fee (which may include refusal to register, or cancellation of registration).

(3) Before making regulations under subsection (1) the Welsh Ministers must take reasonable steps to consult—

(a) persons who the Welsh Ministers think may be required to pay a fee by virtue of the regulations, and

(b) such other persons as they think appropriate.

(4) A fee payable by virtue of regulations made under subsection (1) may, without prejudice to any other method of recovery, be recovered summarily as a civil debt.

Engagement with the public

41

(1) The Welsh Ministers must—

(a) make information about the exercise of their regulatory functions available for the public, and

(b) prepare and publish a statement of their policy with respect to involving the public in the exercise of those functions (whether by consultation or other means).

(2) The Welsh Ministers—

(a) may revise a statement of policy and must publish the revised statement, or

(b) may publish a new statement of policy.

(3) A statement of policy (or revised statement) must, in particular, address—

(a) the involvement of the public in inspections carried out under Chapter 3, and

(b) the involvement of carers (within the meaning of section 3 of the 2014 Act) in the exercise of the Welsh Ministers' regulatory functions.

(4) The Welsh Ministers must lay a copy of a published statement of policy (or revised statement) before Senedd Cymru.

(5) The Welsh Ministers must have regard to the most recent policy statement published under this section when exercising their regulatory functions.

Annual report on regulatory functions

42

(1) As soon as is reasonably practicable after the end of a financial year, the Welsh Ministers must prepare and publish an annual report about the exercise of their regulatory functions in respect of that financial year.

(2) The annual report must include details of—

(a) how the Welsh Ministers have exercised those functions during the year,

(b) the extent to which they have, in the exercise of those functions—

(i) achieved the objectives referred to in section 4, and

(ii) had regard to the most recent statement of policy published under section 41, and

(3) The annual report may include any other information the Welsh Ministers think appropriate.

(4) The duties referred to in subsection (2)(c) are the Welsh Ministers' duties under—

(a) section 149 of the Equality Act 2010 (c.15) (public sector equality duty),

(b) section 1(1) of the Rights of Children and Young Persons (Wales) Measure 2011 (nawm 2) (duty to have due regard to the United Nations Convention on the Rights of the Child),

(c) section 7(1) of the 2014 Act (duty to have due regard to the United Nations Principles for Older Persons when exercising functions relating to adult social services), and

(d) Part 4 of the Welsh Language (Wales) Measure 2011 (nawm 1) (standards).

(5) The Welsh Ministers must lay a copy of a published annual report before Senedd Cymru.

CHAPTER 5 — OFFENCES AND PENALTIES

Failure to comply with a condition

43

(1) It is an offence for a service provider to fail to comply with any condition relating to the provider's registration which is for the time being in force by virtue of this Part.

(2) But a service provider does not commit an offence under subsection (1) by failing to have a responsible individual designated in respect of a place at, from or in relation to which the provider provides a regulated service if—

Reading this document does not replace reading the official text published on legislation.gov.uk. Contains public sector information licensed under the Open Government Licence v3.0. We assume no responsibility for any inaccuracies arising from the conversion of the original CLML XML to this format.

This text is published under legislation.gov.uk's own terms of reuse, not a Legalize or public-domain licence. legislation.gov.uk
Open Government Licence v3.0 (attribution required)
© Crown and database right. Derived from content available under the Open Government Licence v3.0 from legislation.gov.uk.

Regulation and Inspection of Social Care (Wales) Act 2016

PART 1 — REGULATION OF SOCIAL CARE SERVICES

CHAPTER 1 — INTRODUCTION

Overview of Part 1

1

Meaning of “regulated service”

2

Meaning of “restricted children’s service”

2A

Other key terms

3

General objectives

4

CHAPTER 2 — REGISTRATION ETC. OF SERVICE PROVIDERS

Requirement to register

Requirement to register

5

Application for, variation of and cancellation of registration

Application for registration as a service provider

6

Registration in respect of a restricted children’s service

6A

Registration in respect of a restricted children’s service: definitions

6B

Registration in respect of a restricted children’s service: transitional arrangements

6C

Grant or refusal of registration as a service provider

7

Duration of domiciliary support visits

8

Fit and proper person: relevant considerations

9

Fit and proper person test: financial arrangements relating to restricted children’s services

9A

Financial arrangements relating to restricted children’s services: supplementary provision

9B

Annual return

10

Application for variation of registration as a service provider

11

Grant or refusal of application for variation

12

Variation without application

13

Application for cancellation of registration as a service provider

14

Cancellation without application

15

Notice requirements

Improvement notices

16

Notice of decision following improvement notice

17

Notice of proposal

18

Notice of decision following notice of proposal

19

Notice of decision without notice of proposal

20

Responsible individuals

Responsible individuals

21

Cancellation of designation of a responsible individual

22

Urgent action

Urgent cancellation or variation of services or places

23

Urgent cancellation or variation: notification and appeals

24

Urgent variation of registration: other conditions

25

Appeals

Appeals

26

Regulations and guidance

Regulations about regulated services

27

Regulations about responsible individuals

28

Guidance about regulations under sections 27 and 28