National Care Standards Commission (Registration) Regulations 2001
| Jurisdiction | UK Non-devolved |
| Citation | SI 2001/3969 |
2001 No. 3969
SOCIAL CARE, ENGLAND
CHILDREN AND YOUNG PERSONS, ENGLAND
PUBLIC HEALTH, ENGLAND
The National Care Standards Commission (Registration) Regulations 2001
Made 11th December 2001
Laid before Parliament 12th December 2001
Coming into force 1st January 2002
The Secretary of State, in exercise of the powers conferred upon him by sections 11(4), 12(2), 14(1)(d), 15(3), 16(1), 25(1) and 118(5) to (7) of the Care Standards Act 20001, and of all other powers enabling him in that behalf, hereby makes the following Regulations:—
PART I
GENERAL
Citation, commencement and extent
1.—(1) These Regulations may be cited as the National Care Standards Commission (Registration) Regulations 2001 and shall come into force on 1st January 2002.
(2) These Regulations extend to England only.
Interpretation
2.—(1) In these Regulations, unless the context otherwise requires—
“the Act” means the Care Standards Act 2000;
“applicant” means a person seeking to be registered;
“half-way house” means a children’s home in which children aged 16 or over may prepare, or be assisted in preparing, for independent living;
“holding company” has the meaning given to it by section 736 of the Companies Act 19852;
“organisation” means a body corporate or any unincorporated association other than a partnership;
“placement plan” has the meaning given to it in regulation 12 (child’s placement plan) of the Children’s Homes Regulations 20013;
“registered” means registered under Part II of the Act;
“registered manager” means a person who is registered as the manager of an establishment or agency;
“registered person” means a person who is the registered provider or registered manager in respect of an establishment or agency;
“registered provider” means a person who is registered as a person carrying on an establishment or agency;
“registration” means registration under Part II of the Act;
“relative”, in relation to any person, means—
(a) the person’s spouse;
(b) any parent, grandparent, child, grandchild, brother, sister, uncle, aunt, nephew or niece of his or his spouse;
(c) the spouse of any relative within sub-paragraph (b) of this definition,
and for the purpose of determining any such relationship a person’s step-child shall be treated as his child, and references to “spouse” in relation to any person include a former spouse and a person who is living with the person as husband and wife;
“representative” means, in relation to a service user, a person, other than the registered person or a person employed at or for the purposes of the establishment or agency, who with the service user’s express or implied consent takes an interest in the service user’s health and welfare;
“responsible individual” means an individual who is a director, manager, secretary or other officer of an organisation and is responsible for supervising the management of an establishment or agency;
“responsible person” means—
(a) where the applicant is an individual—
(i) the applicant; and
(ii) if the applicant carries on or intends to carry on the establishment or agency in partnership with others, each partner of his;
(b) where the applicant is a partnership, each member of the partnership;
(c) where the applicant is an organisation, the responsible individual;
“service user” means any person who is to be provided with accommodation or services in an establishment, or by an agency;
“statement of purpose” means—
(a) in relation to a care home, the written statement required to be compiled in relation to the care home in accordance with regulation 4(1) of the Care Homes Regulations 20014;
(b) in relation to a children’s home, the written statement required to be compiled in relation to the children’s home in accordance with regulation 4(1) of the Children’s Homes Regulations 20015;
(c) in relation to an independent hospital, independent clinic, or independent medical agency, the written statement required to be compiled in relation to the independent hospital, independent clinic, or independent medical agency in accordance with regulation 5(1) of the Private and Voluntary Health Care (England) Regulations 20016;
(d) in relation to an establishment or agency of any other description, a statement of the aims and objectives of the establishment or agency;
“subsidiary” has the meaning given to it by section 736 of the Companies Act 1985.
(2) In these Regulations, unless the context otherwise requires, references to an establishment or agency are to be construed as references—
(a)
(a) in the case of an applicant, to the establishment or agency in respect of which he is seeking to be registered;
(b)
(b) in the case of a registered person, to the establishment or agency in respect of which he is registered.
(3) In these Regulations, a reference—
(a)
(a) to a numbered regulation or Schedule is to the regulation in, or Schedule to, these Regulations bearing that number;
(b)
(b) in a regulation or Schedule to a numbered paragraph is to the paragraph in that regulation or Schedule bearing that number;
(c)
(c) in a paragraph to a lettered or numbered sub-paragraph is to the sub-paragraph in that paragraph bearing that letter or number.
PART II
APPLICATIONS FOR REGISTRATION
Information and documents to be provided by an applicant
3.—(1) An application for registration shall—
(a)
(a) be in writing on a form approved by the Commission;
(b)
(b) be sent or delivered to the Commission;
(c)
(c) be accompanied by a recent photograph of the responsible person, of whom the photograph shall be a true likeness;
(d)
(d) give the information that the applicant is required to provide in accordance with paragraphs (2) to (4).
(2) A person who is seeking to be registered as a person who carries on an establishment or agency shall provide to the Commission—
(a)
(a) full information in respect of the matters listed in Parts I and II of Schedule 1;
(b)
(b) the documents listed in paragraphs 1 to 3 and 5 to 9 of Schedule 2;
(c)
(c) the documents listed in paragraphs 4 and 10 of Schedule 2, except where any certificate or information on any matters referred to in those paragraphs is not available to an individual because any provision of the Police Act 19977has not been brought into force.
(3) A person who is seeking to be registered as a manager in respect of an establishment or agency shall provide to the Commission—
(a)
(a) full information in respect of each of the matters listed in Part I of Schedule 3;
(b)
(b) the documents listed in paragraphs 9 to 11 of that Schedule;
(c)
(c) the documents listed in paragraphs 12 and 13 of that Schedule, except where any certificate or information on any matters referred to in those paragraphs is not available to the person because any provision of the Police Act 1997 has not been brought into force.
(4) A person who is seeking to be registered in respect of an establishment or agency of a description specified in column (1) below shall provide to the Commission full information in respect of each of the matters listed in the Schedule specified in the corresponding entry in column (2) below.
(1) |
(2) |
Establishment or agency |
Schedule |
Care home |
Schedule 4 |
Children’s home |
Schedule 5 |
Independent hospital, independent clinic, or independent medical agency |
Schedule 6 |
(5) If the Commission so requests, the applicant shall provide full information to the Commission in respect of the matters listed in Part III of Schedule 1 in relation to any person specified for this purpose by the Commission who works, or is intended to work, at the establishment or for the purposes of the agency.
(6) The applicant shall provide to the Commission any other information or documents that it may reasonably require in relation to his application for registration.
Convictions
4. Where the Commission asks the responsible person for details of any criminal convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders Act 19748and informs him at the time the question is asked that by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 19759spent convictions are to be disclosed, he shall supply in writing to the Commission details of any spent convictions that he has.
Interview
5. The responsible person shall attend an interview for the purpose of enabling the Commission to determine whether the applicant is fit to carry on or manage the establishment or agency in respect of which the applicant seeks to be registered.
Notice of changes
6. The applicant shall give notice in writing to the Commission of any change specified below which occurs after the application for registration is made and before it is determined—
(a) any change of the name or address of the applicant or any responsible person;
(b) where the applicant is a partnership, any change of membership of the partnership;
(c) where the applicant is an organisation, any change of director, manager, secretary or other person responsible for the management of the organisation.
Information as to staff engaged after application made
7.—(1) Where an applicant applies for registration as a person who carries on an establishment or agency, and before the application is determined, engages a person to work at the establishment or for the purposes of the agency, he shall, in respect of each person so engaged—
(a)
(a) obtain the information specified in paragraphs 16 and 17 of Schedule 1 and, except where paragraph (2) applies, the documents specified in paragraph 10 of Schedule 2, in relation to the position in which the person is to work;
(b)
(b) provide to the Commission, if it so requests, any of the information or documents which he is required to obtain under paragraph (a).
(2) This paragraph applies where any...
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