Office of Public Sector Information

PART IV MISCELLANEOUS

Compliance with regulations

31.  Where there is more than one registered person in respect of an agency, anything which is required under these Regulations to be done by the registered person shall, if done by one of the registered persons, not be required to be done by any of the other registered persons.

Offences

32.—(1) A contravention of any of the provisions of regulations 5 to 7 and 12 to 28 shall be an offence.

(2) The Regulation and Improvement Authority shall not bring proceedings against a person in respect of any contravention of those regulations unless—

(a) subject to paragraph (4), he is a registered person;

(b) notice has been given to him in accordance with paragraph (3);

(c) the period specified in the notice, within which the registered person may make representations to the Regulation and Improvement Authority, has expired; and

(d) in a case where, in accordance with paragraph (3)(b), the notice specifies any action that is to be taken within a specified period, the period has expired and the action has not been taken within that period.

(3) Where the Regulation and Improvement Authority considers that the registered person has contravened any of the provisions of the regulations mentioned in paragraph (1), it may serve a notice on the registered person specifying—

(a) in what respect in its opinion the registered person has contravened any of the regulations;

(b) where it is practicable for the registered person to take action for the purpose of complying with any of those regulations, the action which, in the opinion of the Regulation and Improvement Authority, the registered person should take for that purpose;

(c) the period, not exceeding three months, within which the registered person should take any action specified in accordance with sub-paragraph (b);

(d) the period, not exceeding one month, within which the registered person may make representations to the Regulation and Improvement Authority about the notice.

(4) The Regulation and Improvement Authority may bring proceedings against a person who was once, but no longer is, a registered person, in respect of a failure to comply with regulation 21, and for this purpose, references in paragraphs (2) and (3) to a registered person shall be taken to include such a person.

Regulation 5(1)

SCHEDULE 1 INFORMATION TO BE INCLUDED IN THE STATEMENT OF PURPOSE

1.  A statement of the aims and objectives of the agency.

2.  The nature and range of the services which the agency provides.

3.  The name and address of the registered provider and of any registered manager.

4.  The relevant qualifications and experience of the registered provider and any registered manager.

5.  The range of qualifications of the domiciliary care workers supplied by the agency and the types of settings in which they are supplied to work.

6.  The complaints procedure established in accordance with regulation 22.

7.  Status, constitution and organisational structure, which identify the lines of accountability and specify the roles and responsibilities for areas of activity.

8.  A description of the agency’s underlying ethos and philosophy of care.

Regulations 8(3) and 10(2)

SCHEDULE 2 INFORMATION AND DOCUMENTS REQUIRED IN RESPECT OF REGISTERED PROVIDERS AND MANAGERS OF AN AGENCY

1.  Proof of identity, including a recent photograph.

2.  When Part V of the Police Act 1997(2) is commenced in Northern Ireland, either—

(a) where a certificate is required for a purpose which is prescribed by regulations under section 113B of that Act, an enhanced criminal record certificate issued under that section; or

(b) in any other case, a criminal record certificate issued under section 113A of that Act,

and an application for either certificate shall be accompanied where applicable by an adult’s suitability statement under section 113D of that Act.

3.  Two written references relating to the person, including a reference from the person’s present or most recent employer, if any.

4.  Where the person has previously worked in a position which involved work with children or vulnerable adults, verification, so far as reasonably practicable, of the reason why he ceased to work in that position.

5.  Details and documentary evidence of any relevant qualifications or accredited training

6.  A full employment history, together with a satisfactory written explanation of any gaps in employment.

7.  Details of health record.

8.  Details of registration with, or membership of, any professional regulatory body.

9.  Details of any professional indemnity insurance.

Regulation 13

SCHEDULE 3 INFORMATION AND DOCUMENTS REQUIRED IN RESPECT OF DOMICILIARY CARE WORKERS

1.  Name, address, date of birth and telephone number.

2.  Name, address and telephone number of next of kin

3.  Proof of identity, including a recent photograph.

4.  Two written references, relating to the person, including a reference from the person’s present or most recent employer, if any.

5.  Where the person has previously worked in a position which involved work with children or vulnerable adults, verification, so far as reasonably practicable, of the reason why he ceased to work in that position.

6.  Evidence of a satisfactory knowledge of the English language, where the person’s qualifications were obtained outside the United Kingdom.

7.  Details and documentary evidence of any relevant qualifications or accredited training of the person and, if applicable, registration with an appropriate regulatory body.

8.  A full employment history, together with a satisfactory written explanation of any gaps in employment and details of any current employment other than for the purposes of the agency.

9.  Details of physical and mental health record, including immunisation status.

10.  A statement by the registered provider, or the registered manager, as the case may be, that the person is physically and mentally fit for the purposes of the work which he is to perform.

11.  Details of any professional indemnity insurance.

12.  When Part V of the Police Act 1997 is commenced in Northern Ireland, either—

(a) where a certificate is required for a purpose which is prescribed by regulations under section 113B of that Act, an enhanced criminal record certificate issued under that section; or

(b) in any other case, a criminal record certificate issued under section 113A of that Act, and an application for either certificate shall be accompanied where applicable by an adult’s suitability statement under section 113D of that Act.