The Social Care Wales (Proceedings before Panels) Regulations 2016
| Year | 2016 |
2016 No. 1100 (W. 264)
SOCIAL CARE, WALES
The Social Care Wales (Proceedings before Panels) Regulations 2016
Made 15November 2016
Laid before the National Assembly for Wales 22November 2016
Coming into force 3April 2017
The Welsh Ministers, in exercise of the powers conferred by sections 175(1) and (2) and 187(1) of the Regulation and Inspection of Social Care (Wales) Act 2016(1), make the following Regulations:
PART 1
General
Title, commencement and application
1.—(1) The title of these Regulations is the Social Care Wales (Proceedings before Panels) Regulations 2016.
(2) These Regulations come into force on 3 April 2017.
(3) These Regulations apply in relation to Wales.
Interpretation
2. In these Regulations—
‘the Act’ (‘y Ddeddf’) means the Regulation and Inspection of Social Care (Wales) Act 2016;
‘extract conviction’ (‘euogfarn gryno’) has the meaning given in section 307 of the Criminal Procedure (Scotland) Act 1995(2);
‘fitness to practise panels’ (‘paneli addasrwydd i ymarfer’) has the meaning given in section 174(1)(b) of the Act;
‘interim orders panels’ (‘paneli gorchmynion interim’) has the meaning given in section 174(1)(c) of the Act;
‘parental responsibility’ (‘cyfrifoldeb rhiant’) has the meaning given in section 105 of the Children Act 1989(3);
‘registration appeals panels’ (‘paneli apelau cofrestru’) has the meaning given in section 174(1)(a) of the Act.
PART 2
Registration Appeals Panels
Interpretation of Part 2
3. In this Part—
‘appellant’ (‘apelydd’) means a person who brings a registration appeal;
‘case’ (‘achos’) means proceedings relating to a registration appeal before a registration appeals panel;
‘fitness to practise proceedings’ (‘achos addasrwydd i ymarfer’) means proceedings before a fitness to practise panel to which Chapter 3(4) or Chapter 5(5) of Part 6 of the Act applies;
‘parties’ (‘partïon’) means the appellant and SCW(6) (or their representatives);
‘registration appeal’ (‘apêl gofrestru’) means—
(a) an appeal made in accordance with section 101 of the Act against a decision of the registrar;
(b) an application made in accordance with section 97(5) of the Act for review of a direction under section 98(4) of the Act;
(c) an application made in accordance with section 97(2) of the Act for restoration of a person's entry in a part of the register following fitness to practise proceedings;
‘registration appeals hearing’ (‘gwrandawiad apelau cofrestru’) means a hearing before a registration appeals panel in registration appeals proceedings;
‘registration appeals proceedings’ (‘achos apelau cofrestru’) means proceedings before a registration appeals panel in respect of which section 98(1)(7), 99(2)(8) or 103(9) of the Act applies.
General objectives of registration appeals panels
4.—(1) The general objectives of a registration appeals panel in carrying out its functions in relation to registration appeals proceedings are—
(a) to protect, promote and maintain the health, safety and well-being of the public;
(b) to promote and maintain—
(i) public confidence in social care workers(10), and
(ii) a high standard of conduct and practice among social care workers; and
(c) to deal fairly and justly with the case.
(2) Dealing with a case fairly and justly includes—
(a) dealing with the case in ways which are proportionate to the importance of the case, the complexity of the issues, the anticipated costs and the resources of the parties;
(b) avoiding unnecessary formality and seeking flexibility in the proceedings;
(c) ensuring, so far as practicable, that the parties are able to participate fully in the proceedings;
(d) using any special expertise of the panel or SCW effectively;
(e) avoiding delay, so far as that is compatible with a proper consideration of the issues.
Duty of parties in registration appeals proceedings
5.—(1) It is the duty of the parties—
(a) to co-operate with the registration appeals panel, and
(b) to assist it in achieving its objective under regulation 4(1)(c).
(2) If the registration appeals panel is satisfied that a person is in breach of the duty in paragraph (1), it may draw any inference that it considers appropriate.
Registration appeals proceedings: when a hearing is not necessary
6.—(1) A registration appeal before a registration appeals panel may be determined without a hearing if—
(a) the parties agree in writing that the proceedings may be determined without a hearing, and
(b) the registration appeals panel decides that it is not necessary to hold a hearing.
(2) Where in accordance with paragraph (1) proceedings are determined without a hearing—
(a) the registration appeals panel's final decision may be made by the chair of the panel;
(b) at any stage during the proceedings the registration appeals panel or the chair of the panel may require a registration appeals hearing to be held.
(3) SCW may by rules make provision about the steps which may or must be taken by the parties or a registration appeals panel to enable the panel to reach a decision as to whether it is necessary to hold a hearing.
Case management in registration appeals proceedings
7.—(1) SCW may by rules make provision about preliminary case management in relation to registration appeals proceedings.
(2) The rules may in particular make provision—
(a) for preliminary case management to be carried out by a registration appeals panel or by a person appointed under the rules;
(b) about qualifications for such an appointment;
(c) about case reviews;
(d) about directions that may be given;
(e) about records of directions;
(f) about consequences of failure to comply with directions (which may include the power of a registration appeals panel to draw such inference as it considers appropriate).
(3) Where the rules provide for preliminary case management to be carried out by a person other than the registration appeals panel, they must provide for that person—
(a) to act independently of the parties, and
(b) to exercise any power to give directions only for the purpose of securing the just, expeditious and effective running of the appeal.
(4) The general objective of a registration appeals panel under regulation 4(1)(c) (to deal fairly and justly with cases) also applies to such a person.
(5) Rules made under this regulation may not provide for the award of costs.
Evidence in registration appeals proceedings
8.—(1) A finding of fact by a registration appeals panel must be made on the balance of probabilities.
(2) In registration appeals proceedings evidence is not admissible unless—
(a) it would be admissible in civil proceedings in England and Wales, or
(b) the registration appeals panel considers that the evidence is relevant, and that it is fair to admit it.
(3) A certificate signed by a competent officer of a court of any jurisdiction that a person has been convicted of a criminal offence or, in Scotland, an extract conviction, is conclusive evidence of the offence.
(4) A certificate that a person is included in a barred list(11) (for the purposes of section 117(1)(c) of the Act), issued by the person responsible for maintaining the list, is conclusive evidence of that fact.
(5) A certificate issued by a relevant body(12) (for the purposes of section 117(1)(d) of the Act) that it has determined that a person's fitness to practise is impaired is conclusive evidence of that determination.
Exclusion of the public from registration appeals hearings
9.—(1) A hearing before a registration appeals panel must be held in public, with the following exceptions.
(2) The registration appeals panel must exclude the public from any part of a hearing involving consideration of the physical or mental health of the appellant, unless—
(a) the appellant requests that part of the hearing to be held in public, and
(b) the registration appeals panel considers that doing so would not be against the public interest.
(3) The registration appeals panel may exclude the public from all or part of a hearing if it considers that the circumstances of the case outweigh the public interest in holding the hearing in public.
(4) The registration appeals panel may exclude a person from a hearing if it considers that the person's conduct is likely to disrupt the hearing.
Registration appeals proceedings: witness summons
10.—(1) For the purposes of registration appeals proceedings—
(a) a registration appeals panel may administer oaths,
(b) SCW may of its own motion issue a witness summons requiring a person to attend a hearing to supply information or to produce any document, and any other party may request SCW to issue such a summons.
(2) No person is to be compelled by a summons issued under paragraph (1)(b) to produce any document which that person could not be compelled to produce in civil proceedings in England and Wales.
Special measures for witnesses etc. in registration appeals hearings
11.—(1) A person giving evidence in a registration appeals hearing, including the appellant, is entitled to special measures if—
(a) the person is under 18, or
(b) the registration appeals panel considers that the quality of evidence given by the person is likely to be diminished by reason of—
(i) physical disability, learning disability, mental health problems, an illness or health condition or a dependence on drugs or alcohol, or
(ii) fear or distress in connection with giving evidence.
(2) In deciding whether the quality of evidence given by a person is likely to be diminished by reason of a matter specified in paragraph (1)(b), the registration appeals panel must take into account the views of the person concerned.
(3) A registration appeals panel may offer special measures to a person not entitled to them under paragraph (1) if it thinks that it would be in the public interest to do so.
(4) In this regulation ‘special measures’ (‘mesurau arbennig’) means such special measures as the registration appeals panel considers appropriate for the purpose of improving the quality of evidence given by a person at...
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