Office of Public Sector Information
20.—(1) The registered person shall make suitable arrangements to ensure that the agency is conducted, and that care or support (including any accommodation) is provided—
(a) so as to ensure the safety of service users;
(b) so as to ensure that a placement is not made in an emergency unless that is in the interests of the service user in question, and the needs of the adult placement carer and other household members have been considered;
(c) so as to safeguard service users against abuse, harm or neglect;
(d) so as to promote the independence of service users;
(e) so as to ensure the safety and security of service users' property;
(f) in a manner which respects the privacy, dignity and wishes of service users, and the confidentiality of information relating to them; and
(g) with due regard to the sex, sexual orientation, age, religious persuasion, racial origin, cultural and linguistic background and any disability of service users, and to the way in which they wish to conduct their lives.
(2) The registered person shall, in relation to the conduct of the agency—
(a) maintain good personal and professional relationships with each other and with adult placement carers, service users and staff;
(b) encourage and assist staff to maintain good personal and professional relationships with both adult placement carers and service users;
(c) encourage and assist adult placement carers to maintain good personal and professional relationships with service users.
(3) The registered person shall make appropriate arrangements to ensure that the views of service users and adult placement carers are taken into account in the conduct of the agency.
21.—(1) The registered person shall—
(a) maintain in respect of each service user a record which includes the information, documents and other records specified in Schedule 4 relating to the service user;
(b) ensure that the record referred to in sub-paragraph (a) is kept securely in the principal office of the agency.
(2) The registered person shall maintain in the principal office of the agency the records specified in Schedule 3.
(3) The registered person shall ensure that the records referred to in paragraphs (1) and (2)—
(a) are kept up to date;
(b) are available at all times for inspection in the principal office of the agency by any person authorised by the Regulation and Improvement Authority to enter and inspect the premises; and
(c) ensure that service users are aware of arrangements to access their personal files.
(4) The records referred to in paragraphs (1) and (2) shall be retained for a period of not less than 8 years from the date of the last entry.
(5) The registered person shall ensure that information relating to a service user’s care or welfare is treated confidentially and is only disclosed to those persons who need to be aware of that information in order to treat the service user effectively or minimise any risk of the service user harming himself or another person, or for the purpose of the proper administration of the agency.
22.—(1) The registered person shall establish a procedure (“the complaints procedure”) for considering complaints made to the registered person by an adult placement carer, a service user or his representative.
(2) The complaints procedure shall be appropriate to the needs of service users.
(3) The registered person shall ensure that any complaint made under the complaints procedure is fully investigated.
(4) The registered person shall, within 28 days after the date on which the complaint was made, or such shorter period as may be reasonable in the circumstances, inform the person who made the complaint of the investigative process, outcome and action (if any) that is to be taken.
(5) The registered person shall supply a written copy of the complaints procedure to every service user whom it has placed and to any person acting on behalf of a service user.
(6) Where a written copy of the complaints procedure is to be supplied in accordance with paragraph (5) to a person who is blind or whose vision is impaired, the registered person shall so far as it practicable to do so supply, in addition to the written copy, a copy of the complaints procedure in a form which is suitable for that person.
(7) The copy of the complaints procedure to be supplied in accordance with paragraph (5) shall include—
(a) the name, address and telephone number of the Regulation and Improvement Authority; and
(b) the procedure (if any) that has been notified by the Regulation and Improvement Authority to the registered person for the making of complaints to the Regulation and Improvement Authority in relation to the agency.
(8) The registered person shall supply to the Regulation and Improvement Authority at its request a statement containing a summary of the complaints made during the preceding twelve months and of the action that was taken in response to each complaint.
23.—(1) The registered person shall establish and maintain a system for evaluating the quality of the services which are provided by the adult placement agency.
(2) At the request of the Regulation and Improvement Authority, the registered person shall supply to it a report, based upon the system referred to in paragraph (1), which describes the extent to which, in the reasonable opinion of the registered person—
(a) good quality services for service users are provided by the adult placement agency;
(b) the views of service users and their representatives are taken into account in deciding—
(i) what services to offer to them; and
(ii) the manner in which such services are to be provided; and
(c) recommendations made or requirements imposed by the Regulation and Improvement Authority in relation to the adult placement agency over the period specified in the request, have been addressed.
(3) The report referred to in paragraph (2) shall be supplied to the Regulation and Improvement Authority within one month of receipt of the request referred to in that paragraph, and in the form and manner required by the Regulation and Improvement Authority.
(4) The report shall also contain details of the measures that the registered person considers it necessary to take in order to improve the quality and delivery of the services which are provided by the adult placement agency.
(5) The system referred to in paragraph (1) shall provide for consultation with service users and their representatives.
24.—(1) If requested to do so by the Regulation and Improvement Authority, the registered person shall produce a plan (the improvement plan) setting out the methods by which, and the timetable to which, the registered person intends to improve the services which are provided by the adult placement agency.
(2) The registered person shall provide a written copy of the improvement plan to the Regulation and Improvement Authority within one month of receipt of the request referred to in paragraph (1).
(3) A copy of the plan shall be made available to—
(a) the adult placement agency’s adult placement carers; and
(b) service users and their representatives.
25.—(1) Where the registered provider is an individual who does not manage the agency, he shall visit the principal office of the agency in accordance with this regulation.
(2) Where the registered provider is an organisation or partnership, the principal office of the agency shall be visited in accordance with this regulation by—
(a) the responsible individual or one of the partners, as the case may be;
(b) another of the directors or other persons responsible for the management of the organisation or partnership; or
(c) an employee of the organisation or the partnership who is not directly concerned with the conduct of the agency.
(3) Visits under paragraph (1) or (2) shall take place at least once every 12 months and shall be announced.
(4) The registered provider shall assist adult placement carers with whom it has placed a service user and such service users to provide their views about the agency for the purposes of visits carried out under this regulation.
(5) The person carrying out the visit shall—
(a) interview, in private, such adult placement carers and service users and their representatives who wish to be interviewed;
(b) inspect the records referred to in paragraph 4 of Schedule 4; and
(c) prepare a written report on the conduct of the agency.
(6) An interview referred to in paragraph (5)(a) must take place in such reasonable place chosen by the person to be interviewed.
(7) The registered provider shall supply a copy of the report required to be made under paragraph (5)(c) to—
(a) the Regulation and Improvement Authority ;
(b) any registered manager; and
(c) in the case of a visit under paragraph (2)—
(i) where the registered provider is an organisation, to each of the directors or other persons responsible for the management of the organisation; and
(ii) where the registered provider is a partnership, to each of the partners.
26.—(1) This regulation applies to any matter relating to the conduct of the agency so far as it may affect the care, welfare or safety of service users.
(2) The registered person shall make arrangements to enable staff to inform the registered person and the Regulation and Improvement Authority and the HSS trust in the area in which the agency is situated of their views about any matter to which this regulation applies.
27. Subject to regulation 3(3), the registered person shall not use premises for the purposes of an agency unless the premises are suitable for the purpose of achieving the aims and objectives of the agency set out in the statement of purpose.
28. The registered person shall ensure that no person is employed to work in or for the purposes of the agency unless—
(a) he is of integrity and good character;
(b) he has the qualifications, skills and experience necessary for the work he is to perform;
(c) he is physically and mentally fit for the work he has to perform; and
(d) full and satisfactory information is available in relation to him in respect of the matters specified in Schedule 2.
29.—(1) The registered person shall, having regard to the size of the agency, its statement of purpose and the number and needs of service users and adult placement carers, take all reasonable measures to ensure that—
(a) at all times there are an appropriate number of suitably qualified, competent and experienced staff employed for the purposes of the agency; and
(b) appropriate information and advice are provided to staff about the needs of service users which may be met by the agency;
(2) The registered person shall ensure that each member of staff—
(a) is provided with a job description outlining his responsibilities;
(b) receives training and appraisal which is appropriate to his work;
(c) is enabled from time to time to obtain training and/ or further qualifications appropriate to his or her work; and
(d) is appropriately supervised.
30.—(1) The registered person shall—
(a) ensure that all permanent appointments of persons to its staff are subject to the satisfactory completion of a period of probation;
(b) operate a disciplinary procedure which, in particular—
(i) provides for suspension, and the taking of other action short of suspension, in relation to a member of staff where appropriate in the interests of service users and the proper operation of the agency; and
(ii) provides that a failure on the part of a member of staff to report an incident of abuse, or suspected abuse, of a service user placed by the agency to an appropriate person is a ground on which disciplinary proceedings may be instituted.
(2) For the purposes of paragraph (1)(b)(ii), an appropriate person is the registered person, a police officer or an employee of the Regulation and Improvement Authority.
31.—(1) The registered person shall prepare a staff handbook and provide a copy of it to every member of staff.
(2) The staff handbook shall include a statement as to—
(a) the conduct expected of staff, and disciplinary action which may be taken against them;
(b) the role and responsibilities of staff and adult placement carers;
(c) record keeping requirements;
(d) staff recruitment procedures; and
(e) training and career development opportunities and requirements.
32.—(1) The registered provider shall carry on the agency in such a manner as is likely to ensure that it will be financially viable for the purpose of achieving the aims and objectives set out in the statement of purpose.
(2) The registered person shall if the Regulation and Improvement Authority so requests, provide such information and documents to the Regulation and Improvement Authority as it may require for the purpose of considering the financial viability of the agency, including—
(a) the annual accounts of the agency, certified by an accountant;
(b) a reference from a bank expressing an opinion as to the registered provider’s financial standing;
(c) information as to the financing and financial resources of the agency;
(d) where the registered provider is a company, information as to any of its associated companies;
(e) a certificate of insurance for the registered provider in respect of liability which may be incurred by him in relation to the agency in respect of death, injury, public liability, damage or other loss.
(3) The registered person shall—
(a) ensure that adequate accounts are maintained in respect of the agency and kept up to date;
(b) ensure that the accounts give details of the running costs of the agency, including rent, payments under a mortgage and expenditure on salaries and wages of staff; and
(c) supply a copy of the accounts to the Regulation and Improvement Authority at its request.
(4) In this regulation, a company is an associated company of another if one of them has control of the other, or both are under the control of the same person.
33.—(1) The registered person shall notify the Regulation and Improvement Authority and the placing authority if an incident described in paragraph (3) takes place.
(2) That notification must be made within 24 hours of the registered person being informed, or otherwise becoming aware, of the incident.
(3) The incidents are—
(a) the death of any service user, including the circumstances of his death;
(b) the outbreak within the adult placement carer’s home of any infectious disease which, in the opinion of any medical practitioner attending persons in the home, is sufficiently serious to be so notified;
(c) any serious injury to a service user;
(d) any serious illness of a service user;
(e) any event of which the adult placement carer is aware which adversely affects the care, health, welfare or safety of any service user;
(f) any theft or burglary at the adult placement carer’s home;
(g) any incident which—
(i) occurs in connection with the placement; and
(ii) is reported to, or investigated by the police;
(h) any allegation of misconduct by a service user in relation to the adult placement carer or a member of his family;
(i) any unexplained absence of more than 12 hours of a service user from the adult placement carer’s home.
(4) Any notification under this regulation which is given orally shall be confirmed in writing within 3 working days of the oral report.
(5) The registered person must ensure that members of staff are required to inform the registered person forthwith when they become aware of the occurrence of any of the incidents described in paragraph (3).
34.—(1) Where—
(a) the registered provider, if he is an individual who manages the agency himself; or
(b) the registered manager,
proposes to be absent from the agency for a continuous period of 28 days or more, the registered provider shall give notice in writing to the Regulation and Improvement Authority of the proposed absence.
(2) Except in the case of an emergency, the notice referred to in paragraph (1) shall be given no later than 28 days before the proposed absence commences, or within such shorter period as may be agreed with the Regulation and Improvement Authority and the notice shall specify—
(a) the length or expected length of the absence;
(b) the reason for the absence;
(c) the arrangements which have been made for the running of the agency during that absence;
(d) the name, address and qualifications of the person who will be managing the agency during the absence; and
(e) in the case of the absence of the registered manager, the arrangements that have been, or are proposed to be, made for appointing another person to manage the agency during that absence, including the proposed date by which the appointment is to be made.
(3) Where the absence arises as the result of an emergency, the registered provider shall give notice of the absence within one week of its occurrence specifying the matters mentioned in sub-paragraphs (a) to (e) of paragraph (2).
(4) Where—
(a) the registered provider, if he is an individual who manages the agency himself; or
(b) the registered manager,
has been absent from the scheme for a continuous period of 28 days or more, and the Regulation and Improvement Authority has not been given notice of the absence, the registered provider shall without delay give notice in writing to the Regulation and Improvement Authority of the absence, specifying the matters mentioned in paragraph (2)(a) to (e).
(5) The registered provider shall notify the Regulation and Improvement Authority of the return to duty of the registered provider or (as the case may be) the registered manager not later than 7 days after the date of his return.
35.—(1) The registered person shall give notice in writing to the Regulation and Improvement Authority as soon as it is practicable to do so, if any of the following events is proposed to take place—
(a) a person other than the registered person carries on or manages the agency;
(b) a person ceases to carry on or manage the agency;
(c) where the registered person is an individual, he changes his name;
(d) the name or address of the principal office of the agency is changed;
(e) where the registered provider is a partnership, there is any change in the membership of the partnership;
(f) where the registered provider is an organisation—
(i) the name or address of the organisation is changed;
(ii) there is any change of director, manager, secretary or other similar officer of the organisation;
(iii) there is to be any change of responsible individual;
(g) where the registered provider is an individual, a trustee in bankruptcy is appointed;
(h) where the registered provider is a company or partnership, a receiver, manager, liquidator, or a provisional liquidator is appointed; or
(i) the premises of the agency are significantly altered or extended or additional premises are acquired for the purposes of the scheme.
36.—(1) Any person to whom paragraph (2) applies must—
(a) forthwith notify the Regulation and Improvement Authority of his appointment, indicating the reasons for it;
(b) appoint a manager to take full-time day-to-day charge of the agency in any case where there is no registered manager; and
(c) within 28 days of his appointment, notify the Regulation and Improvement Authority of his intentions regarding the future operation of the agency.
(2) This paragraph applies to any person appointed as—
(a) the receiver or manager of the property of a company or partnership which is a registered provider in respect of an agency;
(b) the liquidator or provisional liquidator of a company which is the registered provider of an agency; or
(c) the trustee in bankruptcy of a registered provider of an agency.
37.—(1) If more than one person is registered in respect of an agency, and a registered person dies, the surviving registered person shall without delay notify the Regulation and Improvement Authority of the death in writing.
(2) If only one person is registered in respect of an agency, and he dies, his personal representatives shall notify the Regulation and Improvement Authority in writing—
(a) without delay of the death; and
(b) within 28 days of their intentions regarding the future running of the agency.
(3) The personal representatives of the deceased registered provider may carry on the agency without being registered in respect of it—
(a) for a period not exceeding 28 days; and
(b) for any further period as may be determined in accordance with paragraph (4).
(4) The Regulation and Improvement Authority may extend the period specified in paragraph (3)(a) by such further period, not exceeding one year, as the Regulation and Improvement Authority shall determine, and shall notify any such determination to the personal representatives in writing.
(5) The personal representatives shall appoint a person to take full-time day-to-day charge of the agency during any period in which, in accordance with paragraph (3), they carry on the agency without being registered in respect of it.
The Adult Placement Agencies Regulations (Northern Ireland) 2007