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United Kingdom Statutory Instruments
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URL: http://www.bailii.org/uk/legis/num_reg/2001/20013969.html

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STATUTORY INSTRUMENTS

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 


ARRANGEMENT OF REGULATIONS


PART I

GENERAL
1. Citation, commencement and extent
2. Interpretation

PART II

APPLICATIONS FOR REGISTRATION
3. Information and documents to be provided by an applicant
4. Convictions
5. Interview
6. Notice of changes
7. Information as to staff engaged after application made

PART III

CERTIFICATES OF REGISTRATION
8. Registers
9. Contents of certificate
10. Return of certificate
11. Offence

PART IV

CONDITIONS AND REPORTS
12. Application for variation or removal of condition
13. Report as to financial viability

PART V

CANCELLATION OF REGISTRATION
14. Cancellation of registration
15. Application for cancellation of registration

SCHEDULES

  1. Information to be supplied on an application for registration as a person who carries on an establishment or agency

  2. Documents to be supplied on an application for registration as a person who carries on an establishment or agency

  3. Information and documents to be supplied on an application for registration as the manager of an establishment or agency

  4. Information to be supplied on an application for registration in respect of a care home

  5. Information to be supplied on an application for registration in respect of a children's home

  6. Information to be supplied on an application for registration in respect of an independent hospital, independent clinic, or independent medical agency

  7. Particulars to be recorded in the registers kept by the Commission

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 2000[1], 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 - 

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;

    (2) In these Regulations, unless the context otherwise requires, references to an establishment or agency are to be construed as references - 

    (3) In these Regulations, a reference - 



PART II

APPLICATIONS FOR REGISTRATION

Information and documents to be provided by an applicant
     3.  - (1) An application for registration shall - 

    (2) A person who is seeking to be registered as a person who carries on an establishment or agency shall provide to the Commission - 

    (3) A person who is seeking to be registered as a manager in respect of an establishment or agency shall provide to the Commission - 

    (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 1974[8] and informs him at the time the question is asked that by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975[9] spent 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 - 

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 - 

    (2) This paragraph applies where any certificate or information on any matters referred to in paragraph 10 of Schedule 2 is not available to an individual because any provision of the Police Act 1997 has not been brought into force.



PART III

CERTIFICATES OF REGISTRATION

Registers
     8.  - (1) The Commission shall keep a register in respect of each description of establishment or agency specified in section 4(8)(a) or (9)(a) of the Act, other than that of voluntary adoption agency.

    (2) Each register shall contain, in relation to each establishment or agency in respect of which a person's application for registration has been granted - 

Contents of certificate
     9. Where the Commission is required to issue a certificate of registration it shall ensure that the certificate contains the following particulars - 

Return of certificate
     10. If the registration of a person in respect of an establishment or agency is cancelled, he shall, not later than the day on which the decision or order cancelling the registration takes effect, return the certificate of registration to the Commission by - 

Offence
     11.  - (1) A failure to comply with regulation 10 shall be an offence.

    (2) The Commission shall not bring proceedings against a person in respect of any failure to comply with that regulation unless - 

    (3) Where the Commission considers that the person has failed to comply with regulation 10, it may serve a notice on the person specifying - 



PART IV

CONDITIONS AND REPORTS

Application for variation or removal of a condition
     12.  - (1) In this regulation - 

    (2) An application shall be - 

    (3) The following information is specified - 

    (4) The registered person shall provide the Commission with any other information or any documents that it may reasonably require in relation to his application.

Report as to financial viability
     13. If it appears to the registered person that the establishment or agency is likely to cease to be financially viable at any time within the next following six months, the registered person shall give a report to the Commission of the relevant circumstances.



PART V

CANCELLATION OF REGISTRATION

Cancellation of registration
     14. The following grounds are specified for the purposes of section 14(1)(d) of the Act as grounds on which the Commission may cancel the registration of a person in respect of an establishment or agency - 

Application for cancellation of registration
     15.  - (1) In this regulation - 

    (2) An application for cancellation shall be - 

    (3) If the registered person makes an application for cancellation he shall not more than seven days thereafter give notice of application for cancellation to each of the persons specified in paragraph (4)(d), other than a person to whom he has given such notice within three months before he made the application for cancellation.

    (4) The following information is specified - 

    (5) The registered person shall provide the Commission with any other information or any documents that it may reasonably require in relation to his application for cancellation.



Signed by authority of the Secretary of State for Health


Jacqui Smith
Minister of State, Department of Health

11th December 2001



SCHEDULE 1
Regulation 3(2)(a) and (5)


INFORMATION TO BE SUPPLIED ON AN APPLICATION FOR REGISTRATION AS A PERSON WHO CARRIES ON AN ESTABLISHMENT OR AGENCY




PART I

Information about the applicant
     1. Where the applicant is an individual - 

     2. Where the applicant is a partnership - 

     3. Where the applicant is an organisation - 

     4. In every case - 



PART II

Information about the establishment or agency
     5. The name, address, telephone number, facsimile number, and electronic mail address (if any) of the establishment or agency.

     6. The description of establishment or agency specified in section 4(8)(a) or (9)(a) of the Act in respect of which the applicant seeks to be registered.

     7. The statement of purpose of the establishment or agency.

     8. A statement as to the accommodation, facilities and services which are to be provided by the establishment or agency including the extent and, where appropriate, location of such accommodation, facilities and services.

     9. The date on which the establishment or agency was established or is proposed to be established.

     10. Details of the scale of charges payable by the service users.

     11. In respect of the premises to be used by an establishment - 

     12. In respect of the premises to be used by an establishment or for the purposes of an agency, a statement as to whether at the date the application is made the premises are capable of being used for the purpose of - 

without the need for planning permission, building works, or conversion of the premises and, if the premises are not capable of such use at the date the application is made, details of the permission, works or conversion needed.

     13. A statement as to the security arrangements, including arrangements for the purposes of - 

     14. The name and address of any other establishment or agency of a description specified in section 4(8)(a) or (9)(a) of the Act in which the applicant has or has had a business or financial interest, or at which he is or has been employed, and details of such interest or employment.

     15. Whether any other business is or will be carried on in the same premises as those of the establishment or agency and, if so, details of such business.

Information about staff
     16. In respect of any person, other than the applicant, who works at, or is intended to work at the establishment or for the agency - 



PART III

Further information about staff
     17. In respect of any person, other than the applicant, who works at, or is intended to work at the establishment or for the purposes of the agency - 



SCHEDULE 2
Regulation 3(2)(b)


DOCUMENTS TO BE SUPPLIED ON AN APPLICATION FOR REGISTRATION AS A PERSON WHO CARRIES ON AN ESTABLISHMENT OR AGENCY


Documents concerning applicant
     1. The responsible person's birth certificate.

     2. Certificates or other suitable evidence relating to the responsible person's professional or technical qualifications, so far as such qualifications are relevant to providing services for persons for whom services are to be provided at the establishment or by the agency.

     3.  - (1) Subject to sub-paragraph (2), a report by a general medical practitioner as to whether the responsible person is physically and mentally fit to carry on an establishment or agency of the same description as the establishment or agency.

    (2) Where the responsible person is unable to obtain the report referred to in sub-paragraph (1), a statement by the responsible person as to the state of his physical and mental health.

     4. The following documents in relation to the responsible person - 

     5. Where the applicant is a corporate body, a copy of each of its last two annual reports.

     6. Where the organisation is a subsidiary of a holding company, the name and address of the registered or principal office and the last two annual reports (if any) of the holding company and of any other subsidiary of that holding company.

     7. The last annual accounts (if any) of the establishment or agency.

     8. Except where the applicant is a local authority or NHS trust, a reference from a bank expressing an opinion as to the applicant's financial standing.

     9. A certificate of insurance for the applicant in respect of liability which may be incurred by him in relation to the establishment or agency in respect of death, injury, public liability, damage or other loss.

Criminal record certificates in respect of staff
     10.  - (1) A statement confirming that - 

    (2) The following documents are specified - 



SCHEDULE 3
Regulation 3(3)


INFORMATION AND DOCUMENTS TO BE SUPPLIED ON AN APPLICATION FOR REGISTRATION AS THE MANAGER OF AN ESTABLISHMENT OR AGENCY




PART I

Information
     1. The applicant's full name, date of birth, address and telephone number.

     2. Details of the applicant's professional or technical qualifications, and experience of managing an establishment or agency, so far as such qualifications and experience are relevant to providing services for persons for whom services are to be provided at the establishment or by the agency.

     3. Details of the applicant's professional training relevant to carrying on or managing an establishment or agency.

     4. Details of the applicant's employment history, including the name and address of his present employer and of any previous employers.

     5. Details of any business the applicant carries on or manages or has carried on or managed.

     6. The name and addresses of two referees - 

but the requirement for the name and address of a referee who has employed the applicant for a period of at least 3 months shall not apply where it is impracticable to obtain a reference from a person who fulfils that requirement.

     7. The name, address, telephone number, facsimile number, and electronic mail address (if any) of the establishment or agency.

     8. Where any certificate or information on any matters referred to in paragraph 12 or 13 is not available to the applicant because any provision of the Police Act 1997 has not been brought into force, details of any criminal offences - 



PART II

Documents
     9. The applicant's birth certificate.

     10. Certificates or other suitable evidence relating to the applicant's professional or technical qualifications, so far as such qualifications are relevant to providing services for persons for whom services are to be provided at the establishment or by the agency.

     11. A report by a general medical practitioner as to whether the applicant is physically and mentally fit to manage an establishment or agency of the same description as the establishment or agency.

     3.  - (1) Subject to sub-paragraph (2), a report by a general medical practitioner as to whether the applicant is physically and mentally fit to carry on an establishment or agency of the same description as the establishment or agency.

    (2) Where the applicant is unable to obtain the report referred to in sub-paragraph (1), a statement by the applicant as to the state of his physical and mental health.

     12. A criminal record certificate - 

including, where applicable, the matters specified in section 113(3A)(a) and (b) and (3C)(a) and (b) of that Act.

     13. An enhanced criminal record certificate - 

including, where applicable, the matters specified in section 115(6A)(a) and (b) and (6B)(a) and (b) of that Act.



SCHEDULE 4
Regulation 3(4)


INFORMATION TO BE SUPPLIED ON AN APPLICATION FOR REGISTRATION IN RESPECT OF A CARE HOME


     1. In this Schedule "service user" means any person in the care home who is in need of nursing or personal care by reason of disability, infirmity, past or present illness, past or present mental disorder or past or present dependence on alcohol or drugs.

     2. Details of the accommodation available for - 

     3. Whether it is proposed to provide nursing at the care home.

     4. Whether it is proposed to provide at the care home accommodation, nursing or personal care to service users who are children.

     5. The maximum number of service users for whom the care home is proposed to be used, and the number of such users by reference to - 



SCHEDULE 5
Regulation 3(4)


INFORMATION TO BE SUPPLIED ON AN APPLICATION FOR REGISTRATION IN RESPECT OF A CHILDREN'S HOME


     1. The following details about the children who are intended to be accommodated at the children's home - 

     2. The organisational structure of the children's home.

     3. The facilities and services to be provided within the children's home for the children accommodated.

     4. The arrangements for protecting and promoting the health of any children accommodated.

     5. The fire precautions and emergency procedures.

     6. The arrangements to allow children to follow religious observance.

     7. The arrangements for contact between a child and his parents, relatives and friends.

     8. Details as to the use of restraint and discipline, the circumstances in which they will be used, and who is permitted to authorise such use.

     9. The procedure for dealing with any unauthorised absence of a child from the children's home.

     10. The arrangements for allowing children in the children's home to raise issues, and the procedure for dealing with complaints.

     11. The arrangements for the education of any child accommodated.

     12. The arrangements for dealing with reviews of the placement plans of any children accommodated.



SCHEDULE 6
Regulation 3(4)


INFORMATION TO BE SUPPLIED ON AN APPLICATION FOR REGISTRATION IN RESPECT OF AN INDEPENDENT HOSPITAL, INDEPENDENT CLINIC, OR INDEPENDENT MEDICAL AGENCY


     1. The nature of the services to be provided including, in particular, details of any listed services.

     2. The equipment and facilities to be provided.

     3. The number of patient beds to be provided in an independent hospital or independent clinic.

     4. The anticipated number of patients to be treated annually.

     5. The arrangements made for the supply of blood and blood products.

     6. The arrangements made for the provision of pathology and radiology services.

     7. The number of registered medical practitioners who are to be involved in the treatment of patients.

     8. Details of any services which are to be provided to children.



SCHEDULE 7
Regulation 8


PARTICULARS TO BE RECORDED IN THE REGISTERS KEPT BY THE COMMISSION




PART I

     1. The full name, address and date of birth of each person registered in respect of the establishment or agency.

     2. Where the registered person is an organisation - 

     3. The full name, address and telephone number of the establishment or agency.

     4. The date of registration and of the issue of the certificate of registration and, where applicable, the date of any cancellation of registration.

     5. The details of any conditions imposed on registration, any additional conditions imposed and any variation of any condition.



PART II

Care homes register
     6. In the case of the register relating to care homes - 

Children's homes register
     7. In the case of the register relating to children's homes - 

Registers relating to independent hospitals, independent hospitals in which treatment or nursing (or both) are provided for persons liable to be detained under the Mental Health Act 1983, independent clinics and independent medical agencies
     8.

Registers relating to residential family centres, domiciliary care agencies, nurses agencies and fostering agencies
     9. In the case of the register relating to - 


EXPLANATORY NOTE

(This note is not part of the Regulations)


These Regulations are made under the Care Standards Act 2000 ("the Act ") and apply to England only. Part I of the Act establishes, in relation to England, the National Care Standards Commission ("the Commission"). Part II provides for the registration and inspection by the Commission of the following descriptions of establishments and agencies: children's homes, independent hospitals, independent hospitals in which treatment or nursing (or both) are provided for persons liable to be detained under the Mental Health Act 1983, independent clinics and independent medical agencies and care homes (sections 1 to 3 of the Act); and residential family centres, domiciliary care agencies, fostering agencies, nurses agencies and voluntary adoption agencies (section 4 of the Act).

These Regulations make provision in relation to the registration of the establishments and agencies referred to above, except for voluntary adoption agencies, for which the relevant provisions of the Act are not in force.

Under Part II of the Act, the Commission has the function of granting or refusing applications for registration under the Act. It may grant registration subject to conditions and may vary or remove any condition or impose an additional condition. It also has power to cancel registration.

Regulations 3 and 4 of, and Schedules 1 to 6 to, these Regulations specify the information and documents that are to be provided by an applicant for registration.

Regulation 5 requires the responsible person to attend an interview. Regulations 6 and 7 require the applicant to give notice of certain changes that take place, or details of staff engaged, after the application for registration is made and before it is determined.

Regulation 8 requires the Commission to keep a register in respect of each description of establishment or agency. It provides, together with Schedule 7, for the information that each register is to contain.

Regulation 9 specifies the particulars that any certificate of registration is to contain.

Regulation 10 requires a person who is registered in respect of an establishment or agency to return the certificate to the Commission if the registration is cancelled. Failure to comply with that requirement is an offence under regulation 11.

Regulation 12 makes provision in respect of an application by the registered person to apply for the variation or removal of a condition in relation to his registration.

Regulation 13 requires the registered person to report the relevant circumstances to the Commission if it appears that the establishment or agency is likely to cease to be financially viable.

Regulation 14 specifies certain grounds on which the Commission may cancel a person's registration. Other grounds on which registration may be cancelled are specified by section 14 of the Act.

Regulation 15 provides for the registered person to apply for his registration to be cancelled.

Notes:

 [1] 2000 c.14. The powers are exercisable by the appropriate Minister, who is defined in section 121(1), in relation to England, Scotland and Northern Ireland, as the Secretary of State. See section 121(1) for the definitions of "prescribed" and "regulations".back

[2] 1985 c.6; section 736 was substituted by section 144(1) of the Companies Act 1989 (c.40).back

[3] S.I. 2001/3967.back

[4] S.I. 2001/3965.back

[5] S.I. 2001/3967.back

[6] S.I. 2001/3968.back

[7] 1997 c.50. Sections 113 and 115, as amended, have not yet been brought into force.back

[8] 1974 c.53.back

[9] S.I. 1975/1023.back

[10] 1974 c.53.back

[11] S.I. 1975/1023. Relevant amendments have been made by S.I. 1986/1249, 1986/2268, 2001/1192.back

[12] 1974 c.53.back

[13] S.I. 1975/1023. Relevant amendments have been made by S.I. 1986/1249, 1986/2268, 2001/1192.back

[14] 1997 c.50. Sections 113 and 115, as amended, have not been brought into force. Sections 113(3A), (3B) and 115(6A) were added by section 8(1) and (2) of the Protection of Children Act 1999 (c.14) and amended by sections 104 and 116 of, and paragraph 25(1) and (2) of Schedule 4 to, the Care Standards Act 2000 (c.14). Sections 113(3C) and 115(6B) are to be added to the Police Act 1997 by section 90(1) and (2) of the Care Standards Act 2000 on a date to be appointed. Section 115(5)(ea) was inserted by the Care Standards Act 2000, section 104, on a date to be appointed.back

[15] 1974 c.53.back

[16] S.I. 1975/1023. Relevant amendments have been made by S.I. 1986/1249, 1986/2268, 2001/1192.back

[17] 1997 c.50. Section 113(3A) was added by section 8(1) of the Protection of Children Act 1999 (c.14) and amended by section 116 of, and paragraph 25(1) of Schedule 4 to, the Care Standards Act 2000 (c.14). Section 113(3C) was added by section 90(1) of the Care Standards Act 2000.back

[18] 1983 c.20.back


ISBN 0 11 039228 0


 © Crown copyright 2001

Prepared 29 January 2002

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URL: http://www.bailii.org/uk/legis/num_reg/2001/20013969.html