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

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(a) the time limit prescribed under section 11(2) has not expired (prescribed time limit for applying to designate a new responsible individual), or

(b) that time limit has expired but the service provider made the application for variation within the time limit and the Welsh Ministers have not made a decision on it.

False descriptions

44

(1) It is an offence for a person to, with intent to deceive another—

(a) pretend to be a service provider,

(b) pretend that a place is one at, from or in relation to which a regulated service is provided, or

(2) Any of the following may (among other things) be an act constituting an offence under subsection (1)—

(a) applying a name to a service or place to give the impression that it is specified in a service provider's registration when it is not;

(b) describing a service or place in a manner intended to give that impression;

(d) holding a place out to be a place specified in a service provider's registration when it is not;

(e) acting in a manner that gives the impression of being a responsible individual when not designated as one.

Failure by service provider to comply with requirements in regulations

45

The Welsh Ministers may by regulations provide that it is an offence for a service provider to fail to comply with a specified provision of regulations made under section 27 or 37(2)(a) or under paragraph 3(1) of Schedule 1A.

Failure by responsible individual to comply with requirements in regulations

46

The Welsh Ministers may by regulations provide that it is an offence for a responsible individual to fail to comply with a specified provision of regulations made under section 28.

False statements

47

It is an offence for a person to make a statement which the person knows is false or materially misleading in—

(a) an application for registration as a service provider,

(b) an application for variation or cancellation of registration,

(d) responding to a requirement imposed by the Welsh Ministers under section 32(1A) or (1B) (requirement to provide information).

Failure to submit or publish annual return

48

It is an offence for a service provider to —

(a) fail to submit an annual return to the Welsh Ministers within the time limit prescribed under section 10(4), or

(b) fail to publish an annual return on its website within the time limit prescribed under section 10(4A).

Failure to provide information

49

(1) It is an offence for a person to fail to comply with a requirement imposed on the person by the Welsh Ministers under section 32(1).

(2) It is a defence for a person charged with an offence under subsection (1) to show that the person had a reasonable excuse for failing to comply with the requirement.

50

(1) It is an offence for a person to—

(a) intentionally obstruct an inspector exercising any function conferred on an inspector by Chapter 3, or

(b) fail to comply with any requirement imposed on the person by an inspector exercising such a function.

(2) It is a defence for a person charged with an offence under subsection (1)(b) to show that the person had a reasonable excuse for failing to comply with the requirement.

Penalties upon conviction

51

(1) A person guilty of an offence under section 5, 43, 44, 47, 49 or 50 or under regulations made under section 45 or 46 is liable—

(a) on summary conviction, to a fine, or to imprisonment for a term not exceeding 6 months, or to both;

(b) on conviction on indictment, to a fine, or to imprisonment for a term not exceeding 2 years, or to both.

(2) A person guilty of an offence under section 48 is liable on summary conviction to a fine.

Penalty notices

52

(1) The Welsh Ministers may give a penalty notice to a person if they are satisfied that the person has committed a prescribed offence.

(2) Only offences under sections 47, 48 or 49 or under regulations made under section 45 or 46 may be so prescribed.

(3) A penalty notice is a notice offering the person the opportunity of discharging any liability to conviction for the offence to which the notice relates by payment to the Welsh Ministers of a sum specified in the notice in accordance with the terms of the notice.

(4) Where a person is given a penalty notice, proceedings for the offence to which the notice relates may not be brought before the end of such period as may be specified in the notice.

(5) If a person who is given a penalty notice pays the sum specified in the notice in accordance with the terms of the notice, the person cannot be convicted of the offence to which the notice relates.

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

(a) as to the form and content of penalty notices;

(b) as to the sum payable under a penalty notice and the time within which it is to be paid (including provision permitting a different sum to be payable in relation to different offences and according to the time by which it is paid);

(d) as to the records to be kept in relation to penalty notices;

(e) about the circumstances in which a penalty notice may be withdrawn, including provision about—

(i) the repayment of any sum paid before a notice is withdrawn, and

(ii) the circumstances in which proceedings for an offence may not be brought despite the withdrawal of a notice.

(7) Regulations under subsection (6)(b) may not make provision for a sum to be payable under a penalty notice which exceeds two and a half times level 4 on the standard scale.

Offences by bodies corporate

53

(1) This section applies where an offence under this Part or under regulations made under it is committed by a body corporate.

(2) A person mentioned in subsection (3) also commits the offence if the offence is proved to have been committed with the consent or connivance of, or to have been attributable to any neglect on the part of, that person.

(3) Those persons are—

(a) a director, manager, secretary or other similar officer of the body corporate,

(b) where a body corporate's affairs are managed by its members, a member, or

(4) Where a body corporate is a local authority, the reference in subsection (3) to a director, manager or secretary of the body is to be read as a reference to an officer or member of the authority.

Offences by unincorporated bodies

54

(1) This section applies to offences under this Part and under regulations made under it.

(2) Proceedings for an offence alleged to have been committed by an unincorporated body may be brought in the name of the body instead of in the name of any of its members and, for the purposes of any such proceedings, any rules of court relating to the service of documents have effect as if that body were a body corporate.

(3) Any fine imposed on an unincorporated body on its conviction of an offence is to be paid out of the funds of that body.

(4) If an unincorporated body is charged with an offence, section 33 of the Criminal Justice Act 1925 (c.86) and Schedule 3 to the Magistrates' Courts Act 1980 (c.43) have effect as if a body corporate had been charged.

Proceedings for offences

55

(1) Proceedings in respect of an offence under this Part or regulations made under it may not, without the written consent of the Counsel General to the Welsh Government, be brought by any person other than the Counsel General or the Welsh Ministers.

(2) Summary proceedings in respect of an offence under this Part or regulations made under it must be brought within the period of 12 months beginning on the date on which sufficient evidence to warrant the proceedings came to the prosecutor's knowledge.

(3) But no such proceedings may be brought more than three years after the offence is committed.

Reports by local authorities and general duty of the Welsh Ministers

56

(1) After section 144 of the 2014 Act (directors of social services) insert—

(144A) (1) As soon as is reasonably practicable after the end of a financial year, a local authority must prepare and publish an annual report about the exercise of the social services functions of the authority in respect of that year. (2) The annual report must include— (a) details of how the authority has exercised its social services functions during the financial year, including details of the extent to which the authority has— (i) acted in accordance with requirements imposed on local authorities by a code issued under section 9 (codes to help achieve outcomes in relation to well-being), (ii) acted in accordance with any relevant requirements contained in a code issued under section 145 (codes about the exercise of social services functions), and (iii) had regard to any relevant guidelines in a code issued under section 145, and (b) such other information as may be prescribed by regulations. (3) The details provided under subsection (2)(a)(ii) must state how the authority has satisfied any requirements contained in a code relating to assessing the needs of an individual in accordance with Part 3 and meeting needs under Part 4. (4) An annual report must be in such form as may be prescribed by regulations. (5) A local authority must send a copy of a published annual report to the Welsh Ministers. (6) In this section, “financial year” means the period of one year beginning on 1 April and ending on 31 March. (144B) (1) A local authority must prepare and publish a local market stability report at such times as may be prescribed by regulations. (2) A local market stability report must include— (a) an assessment of— (i) the sufficiency of provision of care and support in the local authority area during such period as may be prescribed by regulations; (ii) the extent to which regulated services were provided in the local authority area during that prescribed period by service providers to whom section 61 of the Regulation and Inspection of Social Care (Wales) Act 2016 (assessment by the Welsh Ministers of financial sustainability of service provider) applies; (iii) any other matter relating to the provision of regulated services in the local authority area as may be prescribed by regulations; (iv) the effect on the exercise of the local authority's social services functions of the commissioning by the authority of any services in connection with those functions during such period as may be prescribed by regulations; (b) a report of any action taken by the local authority during the period prescribed under paragraph (a)(i) in pursuance of its duty under section 189(2) (temporary duty to meet needs in the case of a provider failure). (3) A local market stability report must be in such form as may be prescribed by regulations. (4) In preparing a local market stability report, a local authority must— (a) take account of— (i) the assessment it has most recently published under section 14 (needs assessments), and (ii) the plan it has most recently published under section 14A following the assessment, and (b) consult with each Local Health Board with which it carried out the assessment. (5) A local authority must send a copy of a published local market stability report to the Welsh Ministers. (6) Before making regulations under subsection (2)(a)(iii) the Welsh Ministers must consult any persons they think appropriate. (7) 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. (8) In this section— (a) “service provider” has the meaning given by section 3(1)(c) of the Regulation and Inspection of Social Care (Wales) Act 2016; (b) “regulated service” has the meaning given by section 2(1) of that Act. (144C) In exercising functions under this Part the Welsh Ministers must seek to promote and maintain high standards in the provision of local authority social services functions.

(2) In section 196(6) of the 2014 Act (regulations made only if draft approved by resolution of the National Assembly for Wales), after paragraph (c) insert—

(d) the first regulations made under section 144A(2)(b);

Reviews, investigations and inspections

57

(1) After section 149 of the 2014 Act (directions to require compliance with codes of practice) insert—

(149A) (1) The Welsh Ministers may review— (a) studies and research undertaken by others in relation to the exercise of the social services functions of local authorities in Wales, (b) the methods used in such studies and research, and (c) the validity of conclusions drawn from such studies and research. (2) The Welsh Ministers must— (a) prepare and publish a report of a review conducted under subsection (1), and (b) lay a copy of the report before the National Assembly for Wales. (149B) (1) The Welsh Ministers may review the way in which the social services functions of local authorities are exercised. (2) In particular, the Welsh Ministers may— (a) review the overall exercise of local authority social services functions in Wales; (b) review the way in which the social services functions of a particular local authority are exercised; (c) review the exercise of a local authority social services function of a particular description (whether exercised by a single local authority or by two or more authorities working together); (d) review the exercise of a local authority social services function by a particular person or persons. (3) A reference in subsection (2) to the exercise by a local authority of local authority social services functions includes a reference to the commissioning of any services in connection with those functions. (4) The Welsh Ministers must— (a) prepare and publish a report of a review conducted under subsection (1), and (b) lay a copy of the report before the National Assembly for Wales. (5) Regulations may make provision about ratings that may be given in relation to the exercise of a specified local authority social services function. (6) If regulations are made under subsection (5) in relation to the exercise of a local authority social services function, the Welsh Ministers must⁠— (a) in conducting a review of the exercise of that function give a rating in accordance with the regulations, and (b) include the rating in their report of the review. (7) Before making regulations under subsection (5) the Welsh Ministers must consult any persons they think appropriate. (8) 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. (149C) (1) Regulations may make provision for a local authority to pay a fee in respect of a review under section 149B(1). (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 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. (149D) When conducting a review under section 149A or 149B, the Welsh Ministers must, in relation to the local authority social services functions under review, have regard to— (a) the availability and accessibility of the services; (b) the quality and effectiveness of the services; (c) the management of the services; (d) the economy and efficiency of their provision and their value for money; (e) the availability and quality of information provided to people in the local authority area about the services; (f) the duties imposed on local authorities by sections 5 (duty to promote well-being), 6 (other overarching duties) and 7 (duties relating to UN Principles and Convention) in so far as they are relevant to the services and the effectiveness of measures taken by a local authority to fulfil those duties; (g) the effectiveness of measures taken by a local authority to achieve the outcomes specified in a statement issued by the Welsh Ministers under section 8 (statement of outcomes relating to well-being) in so far as they are relevant to the services; (h) any performance measures and performance targets set out in a code issued under section 9 that they think are relevant; (i) any requirements or guidelines contained in a code issued under section 145 that they think are relevant; (j) the extent to which a local authority has involved people in the local authority area— (i) in decisions about the way in which its social services functions are exercised, and (ii) in reviewing the exercise of those functions.

(2) For section 161 of the 2014 Act (powers of entry and inspection) substitute—

(161) (1) A person falling within subsection (2) may authorise an inspector to enter and inspect premises falling within subsection (3). (2) The following persons fall within this subsection— (a) the Welsh Ministers— (i) where they consider it necessary or expedient for the purposes of a review conducted under section 149B(1), or (ii) in pursuance of a direction under section 155; (b) a person specified in a direction under section 153 or, where the direction specifies a class of persons, the person with whom the local authority enters into the contract or other arrangement required by the direction; (c) a person specified in a direction under section 154; (d) a person nominated in a direction under section 155. (3) The following premises fall within this subsection— (a) premises owned or controlled by a local authority; (b) premises— (i) which are used, or proposed to be used, by any person in connection with the exercise of a local authority social services function, or (ii) which the Welsh Ministers reasonably believe is being used, or may be used, for that purpose, but premises used wholly or mainly as a private dwelling do not fall within this subsection unless the occupier of the premises consents to the inspector entering and inspecting them. (4) “Premises” includes a vehicle. (5) 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. (6) When entering premises, an inspector must, if requested to do so by any person at the premises, produce a document showing the inspector's authorisation given under subsection (1). (7) The inspector may— (a) examine the state and management of the premises and, if any persons are accommodated or receive care and support at the premises, examine the treatment of those persons; (b) require the manager of the premises or any other person who appears to the inspector to hold or be accountable for documents or records kept at the premises to produce any documents or records (including medical and other personal records) that the inspector considers may be relevant to the exercise of functions under this Part by the person who authorised the inspector; (c) inspect and take copies of any documents or records (including medical and other personal records) that the inspector considers may be relevant to the exercise of functions under this Part by the person who authorised the inspector; (d) require any person to afford the inspector such facilities and assistance with respect to matters within the person's control as are necessary to enable the inspector to carry out the inspection; (e) take such measurements and photographs and make such recordings as the inspector considers necessary for the purpose of carrying out the inspection; (f) interview in private— (i) the manager of the premises or any other person who appears to the inspector to be responsible for the premises; (ii) any person working there; (iii) any person accommodated or receiving care and support there who consents to be interviewed. (8) The powers in subsection (7)(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. (9) Subsection (10) applies where— (a) persons are accommodated or receiving care and support at the inspected premises, (b) the inspector is a registered medical practitioner or registered nurse, and (c) the inspector has reasonable grounds to believe that a person accommodated or receiving care and support at the premises is not receiving (or has not received) proper care and support. (10) Where this subsection applies, the inspector may examine the person in private but only if the person gives consent to the examination. (11) For the purposes of subsections (7)(f) and (10), 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. (12) 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 given under subsection (1) and, in the case of an examination, a document showing that the inspector is a registered medical practitioner or registered nurse. (13) As soon as is reasonably practicable after an inspector has concluded an inspection under this section, the inspector must send a report of the inspection to the person who gave the authorisation under subsection (1). (14) That person must send a copy of the inspector's report— (a) to the local authority being reviewed or subject to the direction, and (b) if the person is not the Welsh Ministers, to the Welsh Ministers. (15) In this section and sections 161A, 161B and 161C, “inspector” means an individual authorised under subsection (1). (161A) (1) The Welsh Ministers must prepare and publish a code of practice about the manner in which inspections of premises under section 161 are to be carried out (including about the frequency of such inspections). (2) The Welsh Ministers may revise the code and must publish a revised code. (3) An inspector must have regard to the most recently published code when carrying out an inspection under section 161. (161B) (1) The Welsh Ministers may require a person falling within subsection (2) to provide them with— (a) any documents, records (including medical or other personal records) or other information— (i) which relate to the exercise of a social services function of a local authority, and (ii) which the Welsh Ministers consider it necessary or expedient to have for the purposes of a review under section 149A or 149B; (b) an explanation of the content of— (i) any documents, records or other information provided under paragraph (a), or (ii) any documents or records provided to an inspector conducting an inspection of premises under section 161 in connection with a review under section 149B. (2) The following persons fall within this subsection— (a) a local authority; (b) a person providing a service in connection with the exercise of a local authority social services function; (c) a Local Health Board; (d) an NHS trust, but a Local Health Board or NHS trust cannot be required to provide an explanation of the content of any documents or records provided to an inspector conducting an inspection of premises under section 161. (3) A person is not required to provide documents, records or other information under subsection (1) if the person is prohibited from providing them by any enactment or other rule of law. (4) The power in subsection (1) includes power to require documents or records to be produced in a form which is legible and portable. (161C) (1) It is an offence for a person— (a) to intentionally obstruct the carrying out of an inspection of premises under section 161 by an inspector, or (b) to fail to comply with any requirement imposed on the person by an inspector carrying out such an inspection. (2) It is an offence for a person to fail to comply with a requirement imposed on the person by the Welsh Ministers under section 161B(1). (3) It is a defence for a person charged with an offence under subsection (1)(b) or (2) to show that the person had a reasonable excuse for not complying with the requirement. (4) A person guilty of an offence under this section is liable— (a) on summary conviction, to a fine, or to imprisonment for a term not exceeding 6 months, or to both; (b) on conviction on indictment, to a fine, or to imprisonment for a term not exceeding 2 years, or to both. (5) Sections 53 (offences by bodies corporate), 54 (offences by unincorporated bodies) and 55 (proceedings for offences) of the Regulation and Inspection of Social Care (Wales) Act 2016 apply to an offence under this section as they apply to offences under Part 1 of that Act.

(3) In section 196(6)(a) of the 2014 Act (regulations made only if draft approved by resolution of the National Assembly for Wales), after “135(4),” insert “ 149B(5), 149C(1), ”.

Regulation of local authority functions relating to looked after and accommodated children

58

After section 94 of the 2014 Act (regulations about agency arrangements) insert—

(94A) (1) Regulations may make provision about the exercise by local authorities of functions conferred on them by— (a) section 81 (ways in which looked after children are to be accommodated and maintained), or (b) regulations made under section 87 (regulations about looked after children) making provision such as is mentioned in section 92(1), 93 or 94. (2) Regulations under subsection (1) may, for example, include provision⁠— (a) as to the persons who are fit to work for local authorities in connection with the exercise of those functions, (b) as to the fitness of premises to be used by local authorities in exercising those functions, (c) as to the management and control of the exercise of those functions, (d) as to the number of persons, or persons of a particular type, working for local authorities in connection with the exercise of those functions, (e) as to the management and training of such persons, and (f) as to the fees or expenses which may be paid to persons assisting local authorities in making decisions in the exercise of those functions. (3) Regulations under subsection (2)(a) may, in particular, make provision specifying that a person is not fit to work for a local authority in such position as may be specified if the person is not registered in, or in a particular part of, the register kept under section 80 of the Regulation and Inspection of Social Care (Wales) Act 2016 (registration of social care workers). (94B) (1) Regulations may provide that it is an offence for a person to contravene or fail to comply with a specified provision of regulations made under section 94A. (2) A person guilty of an offence under regulations made under subsection (1) is liable— (a) on summary conviction, to a fine, or to imprisonment for a term not exceeding 6 months, or to both; (b) on conviction on indictment, to a fine, or to imprisonment for a term not exceeding 2 years, or to both. (3) Sections 53 (offences by bodies corporate), 54 (offences by unincorporated bodies) and 55 (proceedings for offences) of the Regulation and Inspection of Social Care (Wales) Act 2016 apply to an offence under regulations made under subsection (1) as they apply to offences under Part 1 of that Act.

CHAPTER 7 — MARKET OVERSIGHT

Specifying criteria for application of market oversight regime

59

(1) The Welsh Ministers must by regulations specify criteria for determining whether (subject to regulations under subsection (4)) section 61 applies to a service provider in respect of regulated services.

(2) In specifying the criteria, the Welsh Ministers must have regard to the following in particular—

(a) the amount of care and support provided by a service provider,

(b) the geographical concentration of a service provider's business, and

(3) The Welsh Ministers must—

(a) at such times as they think appropriate, review the criteria for the time being specified in the regulations, and

(b) publish information about how the matters mentioned in subsection (2), and any other matters to which they have regard in specifying the criteria, are to be measured.

(4) The Welsh Ministers may by regulations provide that section 61 does not apply, or applies only to the extent specified, to a specified service provider or to a service provider of a specified description, regardless of whether that service provider or a service provider of that description would satisfy the criteria.

(5) The circumstances in which regulations may be made under subsection (4) include those in which the Welsh Ministers are satisfied that certain service providers are already subject to a regulatory regime comparable to that provided for by sections 61 and 62; and regulations made in such circumstances may, for example, make provision requiring specified persons to co-operate or to share information of a specified description.

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

(7) 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.

Determining whether criteria apply to service provider

60

(1) The Welsh Ministers must determine, in the case of each service provider, whether the service provider satisfies one or more of the criteria specified in regulations under section 59.

(2) If the Welsh Ministers determine that the service provider satisfies one or more of the criteria, section 61 applies to that service provider unless, or except in so far as, regulations under section 59(4) provide that it does not apply.

(3) Where section 61 applies to a service provider, the Welsh Ministers must inform the provider accordingly.

Assessment of financial sustainability of service provider

61

(1) Where this section applies to a service provider, the Welsh Ministers must assess the financial sustainability of the service provider's business of carrying on regulated services.

(2) An assessment of the financial sustainability of the service provider's business under subsection (1) must include consideration of its corporate governance.

(3) Where the Welsh Ministers, in light of an assessment under subsection (1), think that there is a significant risk to the financial sustainability of the service provider's business, the Welsh Ministers may—

(a) require the service provider to develop a plan for how to mitigate or eliminate the risk, and

(b) arrange for, or require the service provider to arrange for, a person with appropriate professional expertise to carry out an independent review of the business.

(4) Where the Welsh Ministers impose a requirement on a service provider under subsection (3)(a), they may also require the service provider—

(a) to co-operate with them in developing the plan, and

(b) to obtain their approval of the finalised plan.

(5) Where the Welsh Ministers arrange for a review under subsection (3)(b), they may recover from the service provider such costs as they incur in connection with the arrangements (including such of their administrative costs in making the arrangements as they think it appropriate to recover).

(6) The Welsh Ministers may by regulations make provision for enabling them to obtain from such persons as they think appropriate information which they believe will assist them to assess the financial sustainability of a service provider to which this section applies.

(7) Before making regulations under subsection (6) the Welsh Ministers must consult any persons they think appropriate.

(8) 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.

(9) The Welsh Ministers may by regulations make provision about the making of the assessments required by subsection (1).

Informing local authorities where failure of service provider likely

62

(1) This section applies where the Welsh Ministers are satisfied that a service provider to which section 61 applies is likely to become unable to provide a regulated service in respect of which it is registered because of business failure as mentioned in section 189 of the 2014 Act (provider failure: temporary duty on local authority).

(2) The Welsh Ministers must inform the local authorities which they think will be required to carry out the duty under section 189(2) of the 2014 Act if the service provider becomes unable to provide the regulated service in question.

(3) The Welsh Ministers may require the service provider, or such other person involved in the service provider's business as they think appropriate, to provide them with any information they think necessary or expedient to obtain for the purpose of assisting a local authority to carry out the duty under section 189(2) of the 2014 Act.

(4) But the Welsh Ministers may not require a person to provide information if disclosure of that information is prohibited by any enactment or other rule of law.

(5) The power to require information under subsection (3) 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.

National market stability report

63

(1) The Welsh Ministers must prepare and publish a national market stability report at such times as may be prescribed.

(2) The Welsh Ministers must consult SCW when preparing a national market stability report and may direct SCW to jointly prepare any part of the report with them as the Welsh Ministers think appropriate.

(3) A national market stability report must include—

(a) an assessment of—

(i) the sufficiency of care and support (within the meaning of the 2014 Act) provided in Wales during such period as may be prescribed,

(ii) the extent to which regulated services were provided in Wales during that prescribed period by service providers to whom section 61 applies,

(iii) the effect on the exercise of local authority social services functions (within the meaning of the 2014 Act) of the commissioning by local authorities of services in connection with those functions during such period as may be prescribed, and

(iv) any other matter relating to the provision of care and support in Wales as may be prescribed, and

(b) a report of any action taken by the Welsh Ministers under sections 59 to 62 during the period prescribed under paragraph (a)(i).

(4) In preparing a market stability report the Welsh Ministers must have regard to the most recent local market stability report published by each local authority under section 144B of the 2014 Act (local market stability reports).

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

(6) 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 8 — INTERPRETATION

Interpretation of this Part

64

(1) In this Part—

“care” (“gofal”) has the meaning given by section 3(1)(a);

“care and support” (“gofal a chymorth”) is to be interpreted (other than in section 63(3)(a)(i)) in accordance with section 3(2);

“regulated service” (“gwasanaeth rheoleiddiedig”) has the meaning given by section 2(1);

“regulatory functions” (“swyddogaethau rheoleiddiol”), in relation to the Welsh Ministers, has the meaning given by section 3(1)(b);

“responsible individual” (“unigolyn cyfrifol”) has the meaning given by section 21(1);

“service provider” (“darparwr gwasanaeth”) has the meaning given by section 3(1)⁠(c);

“support” (“cymorth”) has the meaning given by section 3(1)(d).

(2) See section 189 which makes provision for the interpretation of words and phrases applying to the whole Act.

PART 2 — OVERVIEW AND INTERPRETATION OF PARTS 3 TO 8

Overview of Parts 3 to 8

65

(1) This section provides an overview of the main provisions of Parts 3 to 8 of this Act.

(2) Part 3—

(a) renames the Care Council for Wales as Social Care Wales (defined by section 67 as “SCW”), and

(b) makes provision for its general functions (see, in particular, sections 68 to 72, including the provision in Schedule 2 about SCW's constitution and other matters relevant to its general operation).

(3) Parts 4 to 6 confer functions on SCW in relation to the regulation of social workers and other persons engaged in the provision of care and support to persons in Wales (defined, collectively, as “social care workers” by section 79(1)); including—

(a) a duty to keep a register of certain social care workers, including social workers (see, in particular, section 80 of Part 4);

(b) a requirement in section 81 for SCW to appoint a registrar to process applications for registration in the register and to otherwise exercise functions under Part 4 in relation to the register, including the function of deciding, under section 83, whether persons should be admitted to the register.

(4) Parts 4 to 6 also set out the requirements which must be met to become, and to remain, registered; including—

(a) a requirement that the registrar be satisfied that a person is qualified, or otherwise appropriately trained, to be a social care worker (on which, see section 83),

(b) obligations to be met by persons registered in the register in respect of continual professional development (see section 113 of Part 5), and

(5) Section 117 in Chapter 1 of Part 6 sets out the grounds of potential impairment of a person's fitness to practise for the purposes of being, and remaining, registered; including deficient performance as a social care worker and serious misconduct in any capacity.

(6) Chapter 2 of Part 6 provides for a system of preliminary consideration and, if necessary, investigation by or on behalf of SCW into whether a registered social care worker's fitness to practise may be impaired, and for the referral of certain cases to a fitness to practise panel.

(7) Part 8 requires SCW to establish panels which will determine whether a person should be admitted to, or removed from, the register; in particular—

(a) panels to make determinations under Part 4, including determinations about decisions made by the registrar (defined by section 174 of Part 8 as “registration appeals panels”),

(b) panels to make determinations in relation to a registered social care worker's fitness to practise by reference to the grounds of potential impairment in section 117 (defined by section 174 of Part 8 as “fitness to practise panels”), and

(c) panels to make decisions pending determination of a matter by registration appeals panels or fitness to practise panels (defined by section 174 of Part 8 as “interim orders panels”).

(8) Chapter 3 of Part 6 makes provision about the ways in which fitness to practise panels may dispose of cases in which a person's fitness to practise is in question, including provision allowing panels to remove or suspend a person from the register; and Chapter 5 of Part 6 makes provision about the periodic review by a fitness to practise panel of the fitness to practise of persons who have been subject to proceedings under Chapter 3 of that Part.

(9) Section 104 of Part 4 makes provision about appeals to the First-tier tribunal against decisions made under that Part relating to registration, while Chapter 6 of Part 6 provides for appeals to the tribunal against the determinations of fitness to practise panels under that Part.

(10) Section 111 of Part 4 makes it an offence for a person in Wales to intend to deceive someone by pretending to be a registered social worker, and by virtue of regulations makes it an offence for a person to intend to deceive someone by pretending to be another kind of registered social care worker.

(11) Part 7 allows the Welsh Ministers by regulations to authorise fitness to practise panels to prohibit social care workers in respect of whom a part of the register is not kept from carrying out activities specified in the regulations, and makes connected provision, including making it an offence to carry out those activities while subject to prohibition.

(12) In addition to making provision about continual professional development, Part 5 makes provision about other functions of SCW in respect of the education and training of social care workers, including provision about the approval by SCW of courses for persons who are or wish to become social care workers (see section 114).

Interpretation of Parts 3 to 8

66

(1) In Parts 3 to 8 of this Act—

“adaptation period” (“cyfnod ymaddasu”) means a period of supervised practise, under the responsibility of an appropriately qualified social care worker, subject to any assessment, and which may be accompanied by further training;

“added part” (“rhan ychwanegol”), in relation to the register, is to be interpreted in accordance with section 80(3);

“appropriately qualified” (“wedi ei gymhwyso’n briodol”) is to be interpreted in accordance with section 84;

“aptitude test” (“prawf gallu”) means a test conducted by SCW, limited to the professional knowledge of a specified state professional, with the aim of assessing their ability to practise as a social care worker of the description to which their application relates;

“evidence of formal qualifications” (“tystiolaeth o gymwysterau ffurfiol”) means any diploma, certificate or other evidence issued by a body in a specified state whose ordinary activities include the issuing of such records certifying the successful completion of a course of professional study or training;

“fitness to practise panel” (“panel addasrwydd i ymarfer”) means a panel established by virtue of section 174(1)(b);

“interim orders panel” (“panel gorchmynion interim”) means a panel established by virtue of section 174(1)(c);

“other registration requirements” (“gofynion cofrestru eraill”) means the requirements mentioned in section 83(2)(b) and (c);

“professional qualifications” (“cymwysterau proffesiynol”) means qualifications attested by evidence of formal qualifications or professional experience;

“register” (“cofrestr”) means the register kept under section 80;

“registrar” (“cofrestrydd”) means a person appointed as registrar under section 81;

“registration appeals panel” (“panel apelau cofrestru”) means a panel established by virtue of section 174(1)(a);

“relevant social work” (“gwaith cymdeithasol perthnasol”) has the meaning given by section 79(4);

“social care manager” (“rheolwr gofal cymdeithasol”) has the meaning given by section 79(1)(b);

“social care worker” (“gweithiwr gofal cymdeithasol”) has the meaning given by section 79;

“social worker” (“gweithiwr cymdeithasol”) has the meaning given by section 79(1);

“social worker part” (“rhan gweithwyr cymdeithasol”), in relation to the register, is to be interpreted in accordance with section 80(3);

“specified state” (“gwladwriaeth benodedig”) means—Iceland,The Kingdom of Norway,The Principality of Liechtenstein, andThe Swiss Confederation;

“specified state applicant” (“ymgeisydd gwladwriaeth benodedig”) means a specified state professional who—wishes to access and pursue work as a social care worker in Wales, andapplies under section 82 for registration in the social worker part or an added part of the register;

“specified state professional” (“proffesiynolyn gwladwriaeth benodedig”) means an individual who has obtained professional qualifications in a specified state;

(2) See section 189 for provision about the interpretation of words and phrases applying to the whole Act.

Continuation of the Care Council for Wales and its renaming

67

(1) Section 54 of the Care Standards Act 2000 (c.14) is repealed.

(2) The body corporate called the Care Council for Wales which was established by that section is to continue in existence.

(3) But it is renamed, and is to be known as, Social Care Wales (referred to in this Act as “SCW”).

(4) Schedule 2 makes further provision about SCW.

SCW's objectives

68

(1) SCW's main objective in carrying out its functions is to protect, promote and maintain the safety and well-being of the public in Wales.

(2) In pursuing that objective SCW must exercise its functions with a view to promoting and maintaining—

(a) high standards in the provision of care and support services,

(b) high standards of conduct and practice among social care workers,

(d) public confidence in social care workers.

(3) See section 69 for the meaning of “care and support services” and section 79 for the meaning of “social care worker”.

Advice and assistance

Advice and assistance in relation to care and support services

69

(1) SCW may give any person providing a care and support service advice or other assistance (including grants) for the purpose of encouraging improvement in the provision of that service.

(2) SCW may attach such conditions to a grant given under subsection (1) as it thinks appropriate.

(3) “Care and support service” means—

(a) a regulated service, or

(b) any other service in Wales which involves the provision of care and support by social care workers.

(4) See section 2 for the meaning of “regulated service” and section 3 for the meaning of “care and support”.

Studies as to economy, efficiency etc.

70

SCW may promote or undertake comparative or other studies designed to enable it to make recommendations under section 69 for improving economy, efficiency and effectiveness in the provision of a care and support service.

Engagement with the public etc.

71

(1) SCW must—

(a) make information about SCW and the exercise of its functions available to—

(i) the public, and

(ii) social care workers;

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

(2) SCW—

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

(b) may publish a new statement of policy.

(3) SCW must have regard to the most recent policy statement published under this section when exercising its functions.

Provision of information – specified state professionals

71A

(1) SCW must provide, upon request, information to a specified state professional about the following matters—

(a) the professional qualifications required to practise as a social care worker in Wales,

(b) details of any registration requirements that apply in relation to an application for registration as a social care worker in Wales,

(c) the relevant laws to be applied including those regarding disciplinary action, financial responsibility or financial liability,

(d) the principles of discipline and enforcement of professional standards, including disciplinary jurisdiction and consequential effects on practise as a social care worker in Wales,

(e) the processes and procedures for the ongoing verification of fitness to practise, and

(f) the criteria for, and procedures relating to, removal from the register (see Part 4).

(2) SCW must deal promptly with an enquiry from a specified state professional about the matters referred to in subsection (1)(a) and (b).

Policy with respect to bringing criminal proceedings

Statement of policy with respect to bringing criminal proceedings

72

(1) SCW must prepare and publish a statement of its policy with respect to the bringing of criminal proceedings by it.

(2) SCW may—

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

(b) publish a new statement of policy.

(3) SCW must have regard to the most recent policy statement published under this section when exercising its functions.

Rules made by SCW under this Act

Rules: general

73

(1) Any power conferred on SCW by or under this Act to make rules must be exercised by an instrument in writing.

(2) An instrument containing rules must specify the provision under which the rules are made.

(3) To the extent that an instrument containing rules does not comply with subsection (2) it is void.

(4) Any power of SCW to make rules conferred by or under this Act may be exercised—

(a) so as to make different provision for different purposes;

(b) so as to make incidental, supplemental, consequential and transitional provision.

(5) SCW must—

(a) publish rules made by it, and

(b) ensure the rules are publicly available until such time as they cease to have effect.

(6) SCW may charge a fee for providing a person with a copy of rules made by it.

Rules: fees

74

(1) SCW may by rules make provision for the payment of fees to SCW in connection with the discharge of functions by—

(a) SCW;

(b) the registrar (see section 81).

(2) In particular, the rules may make provision for the payment of fees in connection with—

(a) the provision of advice or other assistance under section 69;

(b) registration in the register (see Part 4);

(c) the approval of courses under section 114 (approval of courses for persons who are or wish to become social care workers);

(d) the provision of training under section 116 (training provided or secured by SCW);

(e) the provision of copies of codes of practice or copies of, or extracts from, the register.

(2A) But any fees charged in connection with an application for registration in the register submitted by a specified state applicant must be—

(a) reasonable and proportionate to the cost of the application;

(b) transparent, and made public in advance;

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Consultation before making rules etc.

75

(1) SCW must comply with the requirements of subsection (2)—

(a) before making any rules under this Act;

(b) before publishing a code of practice under section 112 (codes setting standards of conduct expected of social care workers and their employers);

(c) before publishing guidance under section 162 (guidance for fitness to practise and interim orders panels in respect of proceedings under Part 6),

unless subsection (3) applies.

(2) Before making the rules or publishing the code or guidance SCW must—

(a) publish a draft of the proposed rules, code or guidance accompanied by—

(i) an explanation of the purpose of the proposed rules, code or guidance and a summary of the intended effect of the proposed rules, code or guidance;

(ii) a notice specifying the period within which representations may be made to SCW about the proposal, and

(b) take reasonable steps to give notice of the proposal and the period for making representations to—

(i) social care workers SCW thinks may be affected by the proposal,

(ii) the Welsh Ministers, and

(iii) such other persons SCW thinks appropriate.

(3) This subsection applies if SCW—

(a) is satisfied that the nature of the proposed rules, code or guidance is such that consultation would be inappropriate or disproportionate, and

(b) has obtained the agreement of the Welsh Ministers to proceed without consultation.

(4) Section 184 (service of documents etc.) does not apply to anything done by SCW under subsection (2).

Guidance and directions

Guidance

76

(1) In exercising its functions SCW must have regard to any guidance given to it by the Welsh Ministers.

(2) The Welsh Ministers must publish any guidance they give to SCW.

Directions

77

(1) In exercising its functions SCW must comply with any directions given to it by the Welsh Ministers.

(2) A direction—

(a) must be in writing;

(b) may be varied or revoked by a subsequent direction.

Default powers of the Welsh Ministers

78

(1) The powers conferred by this section are exercisable by the Welsh Ministers if they are satisfied that SCW—

(a) has without reasonable excuse failed to discharge any of its functions, or

(b) in discharging any of its functions, has without reasonable excuse failed to comply with any directions given by the Welsh Ministers under section 77 in relation to those functions.

(2) The Welsh Ministers may—

(a) publish a statement declaring SCW to be in default, and

(b) direct SCW to discharge such of its functions, and in such manner and within such period or periods, as may be specified in the direction.

(3) If SCW fails to comply with a direction given under subsection (2)(b), the Welsh Ministers may—

(a) discharge the functions to which the direction relates themselves, or

(b) make arrangements for any other person to discharge those functions on their behalf.

(4) A direction under subsection (2)(b)—

(a) must be in writing;

(b) may be varied or revoked by a subsequent direction.

79

(1) In Parts 3 to 8 of this Act “social care worker” means a person who—

(a) engages in relevant social work (referred to in those Parts as a “social worker”);

(b) manages a place at or from which a regulated service is provided (referred to in those Parts as a “social care manager”);

(c) in the course of his or her employment with a service provider, provides care and support to any person in Wales in connection with a regulated service provided by that provider;

(d) under a contract for services, provides care and support to any person in Wales in connection with a regulated service provided by a service provider.

(2) The Welsh Ministers may by regulations—

(a) except persons of a specified description from the definition of social care worker in subsection (1);

(b) provide that persons of any of the descriptions in subsection (3), or categories of person falling within any of those descriptions, are to be treated as social care workers.

(3) The descriptions of person are—

(a) a person designated under Chapter 2 of Part 1 (registration etc. of service providers) as a responsible individual in respect of a place at, from or in relation to which a regulated service is provided;

(b) a person engaged in work for the purposes of a local authority's social services functions (within the meaning of the 2014 Act), or in the provision of services similar to services which may or must be provided by local authorities in the exercise of those functions;

(c) a person providing care and support which would, but for paragraph 8(2)(a) of Schedule 1, constitute the provision of a domiciliary support service;

(d) a person registered under Part 2 of the Children and Families (Wales) Measure 2010 (nawm 1) as—

(i) a child minder, or

(ii) a provider of day care for children;

(e) a person who manages, or is employed in, an undertaking carrying on an employment business (within the meaning of section 13 of the Employment Agencies Act 1973 (c.35)) which supplies persons to provide care and support to any person in Wales;

(f) a person who manages, or is employed in, an undertaking carrying on an employment agency (within the meaning of the section mentioned in paragraph (e)) which provides services for the purpose of supplying persons to provide care and support to any person in Wales;

(g) a person undertaking a course approved by SCW under section 114 (courses for persons who are or wish to become social care workers);

(h) an inspector carrying out inspections of regulated services on behalf of the Welsh Ministers under Chapter 3 of Part 1 of this Act (information and inspections);

(i) an inspector carrying out inspections under section 161 of the 2014 Act (inspections in connection with local authority social services functions);

(j) a person employed in connection with the discharge of the functions of the Welsh Ministers under section 80 of the Children Act 1989 (c.41) (inspection of children's homes etc.);

(k) staff of the Welsh Government who inspect premises under—

(i) section 87 of the Children Act 1989 (welfare of children accommodated in independent schools and colleges), or

(ii) section 40 of the Children and Families (Wales) Measure 2010 (inspection of child minding and day care in Wales);

(l) a person who manages staff mentioned in paragraph (j) or (k).

(4) For the purposes of Parts 3 to 8 of this Act “relevant social work” means social work which is required in connection with any health, education or social services provided in Wales.

(5) See section 2 for the meaning of “regulated service” and section 3 for the meaning of “service provider” and “care and support”.

The register

80

(1) SCW must keep a register of—

(a) social workers,

(b) social care workers of any other description specified by the Welsh Ministers by regulations, ...

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) There must be a separate part of the register—

(a) for social workers;

(b) for each description of social care worker specified in regulations made under subsection (1)(b);

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) For the purposes of Parts 3 to 8 of this Act—

(a) the part mentioned in subsection (2)(a) is the “social worker part” of the register;

(b) a part mentioned in subsection (2)(b) is an “added part” of the register;

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Duty to appoint a registrar

81

(1) SCW must appoint a registrar.

(2) A person appointed as registrar holds office on such terms and conditions as SCW thinks appropriate; but SCW must consult the Welsh Ministers before determining any terms and conditions about the levels of remuneration, pensions, allowances and expenses payable to, or in respect of, such a person.

(3) See paragraph 13 of Schedule 2 for further provision about SCW's staff.

Application for registration

82

(1) An application for registration in the social worker part or an added part of the register is to be made to the registrar.

(2) An application under subsection (1) must specify each part of the register in which registration is sought.

Registration

83

(1) The registrar must grant an application made under section 82 if satisfied that—

(a) the application is made in the form and manner specified in rules made by SCW,

(b) the applicant has paid the fee (if any) specified in rules made by SCW under section 74, and

(2) The registration requirements are that—

(a) the person is—

(i) appropriately qualified (see section 84), or

(ii) a specified state applicant whose professional qualifications have been recognised in accordance with section 85B,

(b) the person's fitness to practise is not impaired on one or more of the grounds in section 117(1), and

(c) the person intends to practise the work of persons registered in the part of the register to which the application relates.

(3) For the purposes of subsection (2)(c) SCW may by rules specify—

(a) activities that are to be regarded as practising the work of persons registered in a part of the register;

(b) the criteria to be applied by the registrar for determining whether a person intends to practise.

Temporary registration in emergencies involving loss of human life or human illness etc

83A

(1) The registrar may register a person as a social worker in the social worker part of the register, or the persons comprising a specified group of persons as social workers in that part, if—

(a) the Welsh Ministers have advised the registrar that an emergency has occurred, is occurring or is about to occur and that the registrar should consider acting under this section, and

(b) the registrar considers that the emergency registration requirement is met in relation to the person or group of persons.

(2) For the purposes of subsection (1)(b) the emergency registration requirement is met—

(a) in relation to a person, if the registrar considers that the person is a fit, proper and suitably experienced person to be registered as a social worker with regard to the emergency;

(b) in relation to a group of persons, if the registrar considers that the group is comprised of persons who are of a type who may reasonably be considered fit, proper and suitably experienced persons to be registered as social workers with regard to the emergency.

(3) The registrar may register all of the persons comprising a specified group of persons without first identifying each person in the group.

(4) The registrar may include an annotation in the social worker part of the register denoting that a person has been registered under this section.

(5) The registration of a person under this section has effect subject to any conditions imposed by the registrar; and the registrar may at any time vary or revoke such a condition or add new conditions.

(6) Where a person is registered under this section as a member of a specified group, the person's registration may (but need not) be subject to the same conditions as the registration of other members of the group.

(7) A person's registration under this section ceases to have effect if revoked by the registrar; and the registrar—

(a) must revoke the registration if the Welsh Ministers advise the registrar that the circumstances that led the Welsh Ministers to give the advice referred to in subsection (1)(a) no longer exist;

(b) may at any time revoke the registration for any other reason, including where the registrar suspects that the person's fitness to practise may be impaired.

(8) A person's registration as a member of a specified group may be revoked—

(a) without the registration of the other members of the group being revoked, or

(b) as a result of a decision to revoke the registration of all the members of the group.

(9) If a person's registration under this section is revoked under subsection (7)(a), the registration ceases to have effect at the end of the period of 14 days beginning with the day on which it is revoked.

(10) If a person's registration under this section is revoked under subsection (7)(b), the registration ceases to have effect immediately.

(11) Rules under section 74 may not provide for fees to be charged in respect of a person's registration under this section.

(12) The following provisions do not apply to persons registered under this section—

(a) sections 82, 83, 84, 86, 87, 89, 94 and 95 (provisions relating to registration) of this Act;

(b) sections 113 to 115 (continuing professional development) of this Act and rules made under any of those sections;

(13) If a person breaches a condition to which the person's registration under this section is subject, anything done by the person in breach of the condition is to be treated as not done by a person registered in the social worker part of the register.

(14) In this section “emergency” means an emergency of the kind described in section 19(1)(a) of the Civil Contingencies Act 2004, read with subsection (2)(a) and (b) of that section.

“Appropriately qualified”

84

In this Part and in Part 2 a person is appropriately qualified if—

(a) in the case of an application for registration as a social worker, the applicant—

(i) has successfully completed a course approved by SCW under section 114 for persons wishing to become social workers,

(ii) satisfies the requirements of section 85 (qualifications gained outside of Wales – social workers), or

(iii) satisfies any requirements as to training which SCW may by rules impose;

(aa) in the case of an application for registration as a social care manager, the applicant—

(i) has successfully completed a course approved by SCW under section 114 for persons wishing to become social care managers,

(ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii) satisfies any requirements as to training which SCW may by rules impose in relation to social care managers;

(b) in the case of an applicant for registration as a social care worker of any other description, the applicant—

(i) has successfully completed a course approved by SCW under section 114 for persons wishing to become a social care worker of that description, or

(ii) satisfies any requirements as to training which SCW may by rules impose in relation to social care workers of that description.

85

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1A) This section does not apply to an application for registration in the social worker part of the register submitted by a specified state applicant.

(2) An applicant for registration in the social worker part of the register satisfies the requirements of this section if—

(a) the applicant has, elsewhere than in Wales, undergone training in social work, and

(b) either—

(i) that training is recognised by SCW as being to a standard sufficient for such registration, or

(ii) it is not so recognised, but the applicant has undergone such additional training as SCW may require (whether undergone in Wales or elsewhere).

85A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Professional qualifications – specified state applicants

85B

(1) This section applies where a specified state applicant submits an application for registration.

(2) Subject to section 85C, the registrar must recognise the applicant’s professional qualifications if satisfied those professional qualifications are comparable to those required to practise in Wales the work of persons registered in the part of the register to which the application relates.

Specified state applicants: refusal to recognise professional qualifications

85C

(1) The registrar may refuse to recognise the professional qualifications of a specified state applicant only if one or more of Conditions 1, 2, 3 or 4 is met.

(2) Condition 1 is met where—

(a) there exists a substantial difference between the standard of proficiency evidenced by the applicant’s professional qualifications and the standard of proficiency that is necessary for a person to achieve for admission to the part of the register in respect of which the application relates, and

(b) the applicant fails, or refuses to take, an aptitude test, or to complete an adaptation period imposed in accordance with section 85D.

(3) Condition 2 is met where—

(a) the work of persons registered in the part of the register to which the application relates comprises one or more professional activities that cover substantially different matters from those covered by the applicant’s professional qualifications, and

(b) the applicant fails, or refuses to take, an aptitude test, or to complete an adaptation period, imposed in accordance with section 85D.

(4) Condition 3 is met where requiring the applicant to take an aptitude test or to complete an adaptation period in accordance with section 85D would amount to requiring the applicant to acquire the professional qualifications required to practise the work of persons included in the part of the register to which the application relates.

(5) Condition 4 is met where the applicant is unable to satisfy any of the other registration requirements in relation to the part of the register to which the application relates.

Specified state applicants: aptitude tests and adaptation periods

85D

(1) The registrar may require a specified state applicant to take an aptitude test, standardised or otherwise, or to complete an adaptation period where—

(a) there exists a substantial difference between the applicant’s professional qualifications and the essential knowledge or essential skills required to practise the work of persons registered in the part of the register to which the application relates, or

(b) the work of persons registered in the part of the register to which the application relates comprises one or more professional activities that cover substantially different matters from those covered by the applicant’s professional qualifications.

(2) The registrar must consider whether any requirement to take an aptitude test or to complete an adaptation period is proportionate to the difference sought to be addressed.

(3) If requested to do so by the applicant, the registrar must, to the extent possible, provide reasons in writing for requiring the applicant to take an aptitude test or to complete an adaptation period.

(4) Where the registrar requires an applicant to undertake an aptitude test, the registrar must ensure that such tests are scheduled with reasonable frequency and at least once a year.

Renewal of registration

86

(1) SCW may by rules—

(a) provide that an entry in the social worker part or in an added part of the register has effect only for a period specified in the rules, and

(b) make provision for the renewal of such an entry in the register.

(2) Where rules have been made under subsection (1), the registrar must, on the application of the person to whom the entry relates, grant an application for renewal if—

(a) the application is made in the form and manner specified by rules made by SCW,

(b) the applicant has paid the fee (if any) specified in rules made by SCW under section 74, and

(3) The renewal requirements are that—

(a) the applicant has met any requirements to undertake further training imposed by rules made under section 113 (continuing professional development), and

(b) the applicant intends to practise the work to which his or her application for renewal relates.

(4) Rules made under section 83(3) (criteria for registrar's determinations about an applicant's intention to practise) may include provision about a registrar's determination under subsection (3)(b) of this section.

Lapse of registration

87

(1) A person's registration in the social worker part or an added part of the register lapses at the end of the period specified by SCW in rules under section 86(1)(a) if the person has not renewed his or her registration in accordance with rules made by SCW under section 86(1)(b).

(2) But a person's registration does not lapse under subsection (1) if subsection (3) applies to the person.

(3) This subsection applies to a person—

(a) who is the subject of any proceedings under Part 6, including preliminary consideration or investigation under Chapter 2 of that Part, which relate to the person's fitness to practise the work to which his or her registration relates (“the relevant work”);

(b) in respect of whom a decision has been made relating to the relevant work which may be appealed against under section 158 (appeals against decisions of fitness to practise panel);

(c) in respect of whom a conditional registration order relating to the relevant work has effect under section 138(7), 152(8)(c), 153(6) or (7), 154(8)(c) or 155(10)(c);

(d) in respect of whom a suspension order relating to the relevant work has effect under section 138(8), 152(8)(d), 153(9)(c), 154(6), (7) or (10) or 155(9);

(e) in respect of whom an interim order relating to the relevant work has effect under section 144 or 147.

(4) Subsection (2) ceases to apply to a person described in subsection (3)(b)—

(a) at the end of the period specified in section 158(3) during which an appeal may be made, or

(b) where an appeal is made before the end of that period, at the determination of the appeal.

(5) A person whose registration in the social worker part or an added part of the register would have lapsed under subsection (1) but for subsection (2) is to be treated as not being registered in the relevant part of the register for all purposes other than those mentioned in subsection (6), despite the fact that the person's name continues to appear in it.

(6) The person is to be treated as registered for the purposes of any proceedings under Part 6 (including preliminary consideration or investigation under Chapter 2) which relate to the person's fitness to practise the relevant work.

Dealing with applications for registration or renewal

Rules about applications for registration or renewal

88

(1) SCW must by rules make provision about how the registrar is to determine under section 83 whether a person's fitness to practise is impaired on any of the grounds in section 117(1).

(2) Rules under subsection (1) may, in particular—

(a) require a person making an application for registration to provide information for the purpose of the registrar's determination;

(b) provide that the information is to be provided to the registrar by means of a written declaration by the person making the application.

(3) SCW must also by rules make provision about the procedure to be followed by the registrar in dealing with—

(a) applications for registration in a part of the register, and

(b) where rules under section 86 provide for the renewal of an entry in the register, applications for renewal.

(4) Rules under subsection (3) may, in particular, make provision about—

(a) the period within which an application for registration or renewal of registration must be acknowledged;

(b) the information that must be provided by the registrar in response to an application;

(d) the information in support of an application that may be required by the registrar and the procedure to be followed by the registrar in requesting that information;

(e) circumstances in which the registrar may determine that an application has not been successful on the grounds that the person who made the application has failed to provide information required by the registrar within a period specified by the registrar;

(f) circumstances in which a fee for registration and, if relevant, renewal will be charged and circumstances in which such a fee may be reduced or waived.

(5) But the power to make rules under subsections (1) and (3)(a) is subject to the provision made by sections 85B and 88A in relation to applications for registration made by specified state applicants.

Applications for registration: specified state applicants – supplementary provisions

88A

(1) In relation to applications for the registration of a specified state applicant, the registrar must—

(a) within one month beginning with the date of receipt of the application—

(i) acknowledge receipt of the application, and

(ii) inform the applicant of any missing document for the purposes of the application;

(b) give the applicant adequate time to complete the requirements and procedures of the application process;

(2) The registrar may require the applicant to provide evidence of their professional qualifications and their ability to satisfy the other registration requirements.

(3) But any evidence required under subsection (2) must be no more than is necessary to demonstrate —

(a) the professional qualifications the applicant holds are evidence of the applicant having reached a standard of proficiency comparable to the requirements mentioned in section 84 (“appropriately qualified”) in relation to the part of the register to which the application relates, and

(b) the applicant is able to satisfy the other registration requirements.

(4) For the purposes of subsection (2), the registrar must accept certified copies in place of original documents (unless original documents are reasonably required to protect the integrity of the registration process).

(5) For the purposes of subsection (4), a certified copy of a document is one which has been certified to be a true copy of the original by a solicitor practising in any part of the United Kingdom.

Notice of decisions in respect of registration or renewal

89

(1) Subsection (2) applies where the registrar decides to—

(a) grant an application for registration, or

(b) grant an application for renewal of registration.

(2) The registrar must give the person to whom the application relates notice of the decision.

(3) Subsection (4) applies where the registrar decides to—

(a) refuse an application for registration, or

(b) refuse an application for renewal of a person's registration.

(4) The registrar must give the person to whom the decision relates notice—

(a) of the decision,

(b) of the reasons for the decision, and

(5) Where an application for registration under section 82 has been submitted by a specified state applicant, the registrar must give notice of the decision under subsection (2) or (4) to the person to whom the application relates no later than four months after the date on which the complete application was submitted.

(6) Where the registrar fails to give notice of a decision within the time period specified in subsection (5), that failure is to be treated for the purposes of Parts 3, 4 and 8 as a decision of the registrar.

90

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

90A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Information to be contained on the register

Content of the register

91

(1) An entry in the register in respect of a person must show the following information—

(a) the date on which the person was entered onto the register;

(b) the person's qualifications to practise work of the kind to which his or her registration relates;

(d) such information relating to the person's fitness to practise as may be prescribed.

(2) SCW may by rules require or authorise the registrar—

(a) to include in an entry in the register information not required by virtue of subsection (1);

(b) to remove from an entry in the register information of a kind specified in the rules.

(3) Rules under subsection (2) may not require or authorise the registrar to record information relating to a person's physical or mental health.

Removal of entries from the register

Removal by agreement

92

(1) SCW must by rules make provision for the removal of an entry from a part of the register on the application of the person to whom the application relates.

(2) Rules under this section must include provision about—

(a) the circumstances in which a person may make an application for an entry to be removed from a part of the register;

(b) the manner in which an application may be made;

(d) the procedure for giving notice of a decision in respect of an application.

(3) The rules may authorise or require SCW to refer an application under this section to a fitness to practise panel for determination.

Death of a registered person

93

(1) Where a person registered in a part of the register has died, the registrar must within the specified period remove the entry relating to that person from the register.

(2) In subsection (1) “specified” means specified by rules made by SCW.

Entries based on false or misleading information

94

(1) If the registrar is satisfied that an entry in a part of the register, or an annotation to an entry, has been included on the register on the basis of false or misleading information, the registrar may remove the entry or annotation from the register.

(2) Subsection (3) applies where the registrar thinks—

(a) that an entry, or an annotation to an entry, in the register may have been included on the register on the basis of false or misleading information,

(b) the registered person's fitness to practise may be impaired, and

(3) The registrar may refer the matter to an interim orders panel.

(4) Where the registrar decides to remove an entry in respect of a person from the register under this section the registrar must give notice to the person of—

(a) the decision,

(b) the reasons for the decision, and

Restoring an entry to the register

Duty to restore a register entry

95

If the registrar is satisfied that an entry, or an annotation to an entry, has been removed from the register in error, the registrar must restore that entry or annotation to the register.

Power to restore a register entry

96

(1) This section applies where an entry is removed from the register under—

(a) section 92 (removal by agreement);

(b) section 94 (entries based on false or misleading information).

(2) The registrar may, on the application of the person to whom the entry related, restore the entry to the register.

(3) The registrar may grant an application for restoration under this section only if satisfied that the applicant meets the registration requirements specified in section 83(2).

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Regulation and Inspection of Social Care (Wales) Act 2016

False descriptions

44

Failure by service provider to comply with requirements in regulations

45

Failure by responsible individual to comply with requirements in regulations

46

False statements

47

Failure to submit or publish annual return

48

Failure to provide information

49

Offences related to inspections and investigations

50

Penalties upon conviction

51

Penalty notices

52

Offences by bodies corporate

53

Offences by unincorporated bodies

54

Proceedings for offences

55

CHAPTER 6 — LOCAL AUTHORITY SOCIAL SERVICES

Reports by local authorities and general duty of the Welsh Ministers

56

Reviews, investigations and inspections

57

Regulation of local authority functions relating to looked after and accommodated children

58

CHAPTER 7 — MARKET OVERSIGHT

Specifying criteria for application of market oversight regime

59

Determining whether criteria apply to service provider

60

Assessment of financial sustainability of service provider

61

Informing local authorities where failure of service provider likely

62

National market stability report

63

CHAPTER 8 — INTERPRETATION

Interpretation of this Part

64

PART 2 — OVERVIEW AND INTERPRETATION OF PARTS 3 TO 8

Overview of Parts 3 to 8

65

Interpretation of Parts 3 to 8

66

PART 3 — SOCIAL CARE WALES

Continuation of the Care Council for Wales and its renaming

Social Care Wales

67

SCW's objectives

SCW's objectives

68

Advice and assistance

Advice and assistance in relation to care and support services

69

Studies as to economy, efficiency etc.

70

Engagement with the public etc.

Engagement with the public and social care workers

71

Provision of information – specified state professionals

71A

Policy with respect to bringing criminal proceedings

Statement of policy with respect to bringing criminal proceedings

72

Rules made by SCW under this Act

Rules: general

73

Rules: fees

74

Consultation before making rules etc.

Consultation before making rules etc.

75

Guidance and directions