Source: http://www.legislation.gov.uk/wsi/2019/165/made
Timestamp: 2019-02-24 04:27:53
Document Index: 134102361

Matched Legal Cases: ['arts 3', 'ART 3', 'ART 4', 'ART 5', 'ART 6', 'ART 7', 'ART 8', 'ART 9', 'ART 10', 'ART 11', 'arts 3', 'ART 13', 'ART 18', 'ART 1', 'arts 3']

2019 No. 165 (W. 41)
In exercise of the powers conferred by sections 2(3), 21(5), 27, 28, 30, 31, 45, 46, 186(1) and 187(1) of, and paragraph 7(1) of Schedule 1 to, the Regulation and Inspection of Social Care (Wales) Act 2016(1) the Welsh Ministers make the following Regulations.
1.—(1) The title of these Regulations is the Regulated Advocacy Services (Service Providers and Responsible Individuals) (Wales) Regulations 2019.
“DBS” (“GDG”) or “the Disclosure and Barring Service” (“y Gwasanaeth Datgelu a Gwahardd”) mean the body established by section 87(1) of the Protection of Freedoms Act 2012(2);
“service commissioner” (“comisiynydd y gwasanaeth”) means a local authority which is responsible for making arrangements with a service provider for the provision of assistance to a child or person under section 178(1) of the 2014 Act(3);
“service regulator” (“rheoleiddiwr gwasanaethau”) means the Welsh Ministers in exercise of their regulatory functions(4);
“statement of purpose” (“datganiad o ddiben”) means the statement of purpose for the service which a service provider must keep under review and revise in accordance with regulation 4(5).
2.—(1) For the purpose of paragraph 7(1) of Schedule 1 to the Act, an advocacy service is—
(a)a service carried on to provide advocacy for children who make or intend to make representations which fall within section 174 of the 2014 Act(6); or
(b)a service carried on to provide advocacy for persons who make or intend to make representations which fall within section 176 of the 2014 Act(7),
where the purpose of the advocacy is to represent the views of the children or persons or to assist them to represent their views in relation to their needs for care and support(8).
(a)if it is provided by a person in the course of a legal activity within the meaning of the Legal Services Act 2007(9) by a person who is—
(ii)a European lawyer (within the meaning of the European Communities (Services of Lawyers) Order 1978(10));
(b)if the assistance is provided by a Welsh family proceedings officer in the course of discharging functions in relation to family proceedings;
(c)if the assistance is provided by the Children’s Commissioner for Wales or by a member of staff of the Children’s Commissioner for Wales;
(d)if it is provided by a person who has not provided and does not intend to provide advocacy to more than 4 persons within any 12 month period;
(e)to the extent that it is provided by a relative or friend of the person on whose behalf representations are made or are intended to be made.
(a)the following words and phrases have the meanings ascribed to them—
(i)“relative” means a parent or other person with parental responsibility, brother, sister, uncle or aunt (whether by marriage or civil partnership), grandparent, step-parent, foster parent or prospective adopter with whom the child is placed;
(ii)“family proceedings” has the meaning given by section 12 of the Criminal Justice and Court Services Act 2000(11);
(iii)“Welsh family proceedings officer” has the same meaning as in section 35(4) of the Children Act 2004(12);
(iv)“sibling group” includes both brothers and sisters and half-brothers and half-sisters; and
(b)in determining whether a person has provided or intends to provide an advocacy service to more than 4 persons for the purpose of paragraph (2)(d), provision of advocacy to a sibling group is counted as provision of advocacy to a single person.
4.—(1) The service provider must provide the service in accordance with the statement of purpose.
(b)the individuals,
(c)service commissioners, and
(d)any representative, unless it is not appropriate to do so or would be inconsistent with the well-being of an individual.
5.—(1) The service provider must ensure that there are effective arrangements in place for monitoring, reviewing and improving the quality of the advocacy provided.
(b)have regard to the quality of service report prepared by the responsible individual in accordance with regulation 50(4).
6.—(1) This regulation does not apply to a service provider who is an individual.
(a)is supported to carry out their duties effectively; and
(a)take such action as is necessary to ensure that the requirement is complied with; and
(c)the compliance of the service with the requirements of the regulations in Parts 3 to 15, and
(d)monitoring, reviewing and improving the quality of the advocacy provided.
(a)notify the service regulator; and
(b)inform the service regulator of the interim arrangements made to comply with paragraph (4).
7.—(1) This regulation applies where the service provider is an individual.
(d)monitoring, reviewing and improving the quality of the advocacy provided by the service.
(b)inform the service regulator of the interim arrangements made to comply with paragraph (3).
8.—(1) The service provider must take reasonable steps to ensure that the service is financially sustainable for the purpose of achieving the aims and objectives set out in the statement of purpose.
9.—(1) The service provider must ensure that the following policies and procedures are in place for the service—
(a)appropriate to the needs of individuals for whom advocacy is provided,
(c)kept up-to-date.
PART 3Requirements on service providers as to the steps to be taken before agreeing to provide advocacy
11.—(1) The service provider must not provide advocacy for an individual unless the service provider has determined that the service is suitable to meet the individual’s need for advocacy.
(a)the individual’s views, wishes and feelings,
(b)any risks to the individual’s well-being,
(c)any reasonable adjustments which the service provider could make to enable the individual’s advocacy needs to be met, and
(d)the service provider’s policy and procedures on commencement of the service.
(a)the individual is an adult or a child aged 16 or over and the individual does not wish the representative to be involved; or
PART 4Requirements on service providers as to the steps to be taken on commencement of provision of advocacy
12.—(1) If the service provider determines that the service is suitable to meet the needs of the individual it must, as soon as reasonably practicable, prepare a plan setting out—
(a)the steps which are to be taken to assist the individual to make representations; and
(b)any steps to be taken to mitigate identified risks to the individual’s well-being.
(a)the individual is an adult or a child aged 16 or over and the individual does not want the representative to be involved; or
13.—(1) The advocacy plan must be reviewed as and when agreed between the service provider and the individual.
(i)the advocacy plan and any revised plan, and
(b)give a copy of the advocacy plan and any revised plan to—
PART 5Requirements on service providers as to the information to be provided to individuals on commencement of the provision of advocacy
15.—(1) The service provider must prepare a written guide to the service.
(c)given to all individuals who are receiving advocacy;
(d)given to commissioning authorities; and
(e)made available to others on request, unless this is not appropriate or would be inconsistent with the well-being of an individual.
PART 6Requirements on service providers as to the standard of advocacy to be provided
16.—(1) The service provider must ensure that advocacy is provided in a way which—
(a)enables individuals to represent their views and to have those views represented; and
(b)protects, promotes and maintains the safety and well-being of individuals.
(a)maintains good personal and professional relationships with individuals and staff; and
(b)promoting the individual’s autonomy and independence;
(c)having regard to any relevant protected characteristics (as defined in section 4 of the Equality Act 2010(13)) of the individual.
19.—(1) The service provider must respect the individual’s rights to confidentiality.
PART 7Requirements on service providers –safeguarding
21.—(1) The service provider must have policies and procedures in place for—
(a)the prevention of abuse, neglect and improper treatment, and
(b)responding to any allegation or evidence of abuse, neglect or improper treatment.
(a)act in accordance with its safeguarding policies and procedures;
(b)take immediate action to ensure the safety of all individuals for whom advocacy services are provided;
(c)make appropriate referrals to other agencies; and
“harm” has the same meaning as in section 197(1) of the 2014 Act;
“improper treatment” (“triniaeth amhriodol”) includes discrimination or unlawful restraint, including inappropriate deprivation of liberty under the terms of the Mental Capacity Act 2005(14);
PART 8Requirements on service providers as to staffing Staffing - overarching requirements
24.—(1) The service provider must not—
(c)allow any other person to work at the service in a position in which, in the course of duties, that person may, in the course of carrying out duties, have regular contact with individuals or with other persons who are vulnerable unless that person is fit to do so.
(c)the person is able by reason of their health, after reasonable adjustments are made, of properly performing the tasks which are intrinsic to the work for which that person is employed or engaged;
(e)where the person is employed by the service provider to manage the service, after 1 September 2022 the person is registered as a social care manager with SCW(15).
25.—(1) The service provider must have a policy in place for the support and development of staff.
27.—(1) The service provider must ensure that all persons working at the service (including any person allowed to work as a volunteer) are provided with information about the service and the way it is provided.
28.—(1) The service provider must put in place and operate a disciplinary procedure.
PART 9Requirements on service providers as to premises
PART 10Other requirements on service providers
31.—(1) The service provider must keep and maintain the records specified in Schedule 2 in respect of each place at, from or in relation to which the service is provided.
(c)make arrangements for the records to continue to be kept securely in the event the service closes;
(e)retain records relating to adults for three years from the date of the last entry;
(f)retain records relating to children for fifteen years from the date of the last entry;
(g)ensure that individuals who use the service—
32.—(1) The service provider must notify the service regulator of the events specified in Schedule 3.
34.—(1) The service provider must have a complaints policy in place and ensure that the service is operated in accordance with that policy.
35.—(1) The service provider must have arrangements in place to ensure that all persons working at the service (including any person allowed to work as a volunteer) are able to raise concerns about matters that may adversely affect the health, safety or well-being of individuals for whom the service is provided.
(a)having a whistleblowing policy in place and acting in accordance with that policy; and
(c)a record is kept of both the above.
PART 11Requirements on responsible individuals for ensuring effective management of the service
37.—(1) The responsible individual must appoint a person to manage the service. But this requirement does not apply if the conditions in paragraph (2) or (3) apply.
(d)subject to paragraph (6), the service provider is registered as a social care manager with SCW; and
(d)subject to paragraph (6), that individual is registered as a social care manager with SCW; and
38.—(1) The responsible individual must not appoint a person to manage the service unless that person is fit to do so.
39.—(1) The responsible individual must not appoint a person to manage more than one service, unless paragraph (2) applies.
(a)the service provider has applied to the service regulator for permission to appoint a manager for more than one service; and
(i)will not have an adverse impact on the service provider’s ability to meet the requirements of regulation 16(1); and
41.—(1) On the appointment of a manager in accordance with regulation 37(1), the responsible individual must give notice to SCW and to the service regulator of—
42.—(1) The responsible individual must put suitable arrangements in place to ensure that the service is managed effectively at any time when there is no manager or when the manager is not present at the service.
(a)notify the service provider and the service regulator; and
43.—(1) The responsible individual must—
(b)meet with members of staff who are employed to provide the service in relation to each place in respect of which the responsible individual is designated; and
(c)meet with individuals for whom advocacy is being provided in relation to each such place.
44.—(1) The responsible individual must report to the service provider on the adequacy of the resources available to provide the service in accordance with the requirements on service providers in Parts 3 to 15.
45.—(1) The responsible individual must, without delay, report to the service provider—
46.—(1) The responsible individual must put suitable arrangements in place for obtaining the views of—
PART 13Requirements on responsible individuals for ensuring the compliance of the service
50.—(1) The responsible individual must put suitable arrangements in place to establish and maintain a system for monitoring, reviewing and improving the quality of the service.
(a)considering the outcome of the engagement with individuals and others, as required by regulation 46 (engagement with individuals and others);
(a)an assessment of the standard of advocacy provided, and
51.—(1) The responsible individual must prepare the statement required to be included in the annual return under section 10(2)(b) of the Act, in so far as it relates to the place or places in respect of which the responsible individual has been designated.
54.—(1) The responsible individual must notify the service regulator of the events specified in Schedule 4.
55.—(1) It is an offence for a service provider to fail to comply with a requirement of any of the provisions specified in paragraph (2)(16).
56.—(1) It is an offence for the responsible individual to fail to comply with a requirement of any of the provisions specified in paragraph (2)(17).
57. An appointed person(18) must—
58.—(1) Where a service provider who is an individual has died, the personal representatives of the individual must—
(b)in section 21(2) (responsible individuals) after paragraph (a) insert—
PART 18Regulations under section 21(5) of the Act
PART 1Information and documents to be available in respect of persons working in regulated services
2. Where required for the purposes of an exempted question in accordance with section 113A(2)(b) of the Police Act 1997(19), a copy of a valid criminal record certificate issued under section 113A of that Act together with, after the appointed day and where applicable, the information mentioned in section 30A(3) of the Safeguarding Vulnerable Groups Act 2006 (provision of barring information on request).
(i)it has been issued in response to an application by the service provider in accordance with regulation 24(3) or (6); and
(a)advocacy plans and revised advocacy plans,
(b)correspondence, reports and records in relation to the matters for which advocacy is provided and the outcome.
(a)the person’s full name, address, date of birth, qualifications and experience,
(b)a copy of the person’s birth certificate and passport (if any),
(c)a copy of each reference obtained in respect of the person,
(d)the dates on which the person commences and ceases to be so employed,
(e)the position the person holds at the service, the work the person performs and the number of hours for which the person is employed each week,
(f)records of disciplinary action and any other records in relation to the person’s employment,
19. Any referral to the DBS pursuant to the Safeguarding Vulnerable Groups Act 2006(20).
20. Where the service provider, responsible individual or appointed manager is charged with any offence specified in the Schedule to the Safeguarding Vulnerable Groups Act 2006 (Prescribed Criteria and Miscellaneous Provisions) Regulations 2009(21), notice of the offence charged and the place of charge.
2016 anaw 2; see the definition of “prescribed” in section 189 of the Act.
“Regulatory functions” are defined in section 3(1)(b) of the Act.
The contents of the statement of purpose are prescribed in regulation 4 of, and Schedule 2 to, the Regulated Services (Registration) (Wales) Regulations 2017 (S.I. 2017/1098 (W. 278)).
Section 174 of the 2014 Act requires a local authority to establish a procedure for considering representations (including complaints) made to the authority in relation to a range of its social services functions in so far as they are exercisable in relation to a child.
Section 176 of the 2014 Act requires a local authority to establish a procedure for considering representations (including complaints) about the discharge of its functions under Parts 3 to 7 of the 2014 Act in relation to children or young persons who have previously been looked after and related other young persons.
Paragraph 7(3) of Schedule 1 to the 2016 Act requires that a service can only be specified as an advocacy service for the purposes of the 2016 Act if it is a service which is carried on (whether or not for profit) for the purpose of representing the views of individuals or assisting individuals to represent those views, in respect of matters relating to those individuals needs for care and support (including matters relating to assessing whether those needs exist).
S.I. 2009/37.