Statutory Instruments made by the National Assembly for Wales

"the Act" means the Care Standards Act 2000;

"the 1989 Act" means the Children Act 1989;

"applicant" means a person seeking to be registered;

"appropriate office of the National Assembly" means - 

(a) be in writing on a form approved by the National Assembly;

(b) be sent or delivered to the appropriate office of the National Assembly;

(c) be accompanied by a recent photograph of the responsible person, of whom the photograph shall be a true likeness;

(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 shall provide to the National Assembly - 

(a) the name, address and telephone number of the appropriate office of the National Assembly;

(b) the name and address of the person who has been registered as the person who carries on the establishment;

(c) where the person is an organisation, the name of the responsible individual;

(d) the name of the person registered as the manager of the establishment;

(e) the description of the establishment by reference to the description of establishment specified in section 4(8)(a) of the Act;

(f) where the registration is subject to any condition, details of the condition including any requirement in the condition as to - 


(i) the facilities or services that are to be provided;

(ii) the number of service users for whom accommodation or services may be provided;

(iii) the description of persons to whom facilities or services are to be provided;

(iv) any period of time within which the condition is to be fulfilled;

(v) the number and description of persons to be working at any specified place and time;



(g) the date of registration;

(h) a statement that if an establishment is not carried on in accordance with the relevant requirements and conditions the registration is liable to be cancelled by the National Assembly;

(i) a statement that the certificate relates only to the person to whom it is issued by the National Assembly and is not capable of being transferred to another person.

"application" means an application by the registered person under section 15(1)(a) of the Act for the variation or removal of a condition in relation to his or her registration;

"proposed effective date" means the date requested by the registered person as the date on which the variation or removal applied for is to take effect.

    (2) An application shall be - 

(a) the person has failed to pay at the time prescribed under subsection (3) of section 16 of the Act the annual fee payable by him or her by virtue of that subsection;

(b) the person has in relation to any application by him or her - 


(i) for registration; or

(ii) for the variation or removal of a condition in relation to his or her registration,

     made a statement which is false or misleading in a material respect or provided false information;



(c) the establishment has ceased to be financially viable, or is likely to cease to be so within the next six months.

(a) be in writing on a form approved by the National Assembly;

(b) be sent or delivered to the appropriate office of the National Assembly;

(c) be accompanied by a recent photograph of the responsible person of whom the photograph shall be a true likeness;

(d) give full information or documentation, as the case may be, in respect of the matters specified in Schedules 7 and 8 in relation to the applicant and, as the case may be, any person other than the applicant who works for or is intended to work for the applicant in relation to child minding or the provision of day care.

(a) the applicant's full name, date of birth, address and telephone number;

(b) details of the applicant's professional or technical qualifications, and experience of carrying on an establishment, so far as such qualifications and experience are relevant to providing services for persons to whom services are to be provided at the establishment;

(c) details of the applicant's employment history, including the name and address of his or her present employer and of any previous employers;

(d) details of any business the applicant carries on or has carried on;

(e) the name and addresses of two referees - 


(i) who are not relatives of the applicant;

(ii) each of whom is able to provide a reference as to the applicant's competence to carry on an establishment of the same description as the establishment; and

(iii) one of whom has employed the applicant for a period of at least 3 months,



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;

(f) where any certificate or information on any matters referred to in paragraph 4 of Schedule 2 is not available to the responsible person because any provision of the Police Act 1997 has not been brought into force, details of any criminal offences - 



(i) of which the responsible person has been convicted, including details of any convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders Act 1974 and which may be disclosed by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975; or

(ii) in respect of which he or she has been cautioned by a constable and which, at the time the caution was given, he admitted.

     2. Where the applicant is an organisation - 

(a) the name of the organisation and the address of the registered office or principal office of the organisation;

(b) the full name, date of birth, address and telephone number of the responsible individual;

(c) details of the professional or technical qualifications of the responsible individual and his or her experience of carrying on an establishment of the same description as the establishment, so far as such qualifications and experience are relevant to providing services for persons for whom services are to be provided at the establishment;

(d) if the organisation is a subsidiary of a holding company, the name and address of the registered or principal office of the holding company and of any other subsidiary of that holding company.

     3. In every case - 

(a) a reference from a bank expressing an opinion as to the applicant's financial standing;

(b) a statement as to whether the responsible person has been adjudged bankrupt, or sequestration of his or her estate has been ordered, or he or she has made a composition or arrangement with, or granted a trust deed for, his creditors;

(c) a statement as to the applicant's ability to ensure the financial viability of the establishment for the purpose of achieving the aims and objectives of the establishment set out in its statement of purpose;

(d) a business plan in respect of the establishment;

(e) details as to cash-flow in respect of the establishment.

(a) a description of the premises, including a statement as to whether the premises are purpose-built or have been converted for use as an establishment;

(b) a description of the area in which the premises are located.

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

(a) achieving the aims and objectives set out in the statement of purpose of the establishment; and

(b) providing facilities and services in accordance with the statement referred to in paragraph 7,

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.

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

(a) safeguarding access to information held by the establishment; and

(b) restricting access from adjacent premises or, when the premises form part of a building, from other parts of the building.

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

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

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

(a) the person's name, sex and date of birth;

(b) the person's duties and responsibilities in relation to his or her work.

(a) whether the person is, or is intended to be, resident in the premises used as the establishment;

(b) if he or she is a relative of any person who has made an application in respect of the establishment, his or her relationship to such person;

(c) whether the person works or is intended to work, on a full-time basis or on a part-time basis and, if on a part-time basis, the number of hours per week for which it is intended that the person will work;

(d) the date on which the person commenced, or is intended to commence, working at the establishment;

(e) information as to the person's qualifications, experience and skills in so far as is relevant to the work that the person is to perform;

(f) a statement by applicant that he or she is satisfied as to the authenticity of the qualifications, and has verified the experience and skills that are referred in sub-paragraph (e);

(g) a statement as to - 


(i) the suitability of the person's qualifications for the work that the person is to perform;

(ii) whether the person has the skills necessary for such work;

(iii) the person's fitness to work, and have regular contact, with service users;



(h) a statement by the person as to the state of his or her physical and mental health;

(i) a statement by the applicant that the person is physically and mentally fit for the purposes of the work which he or she is to perform;

(j) a statement by the applicant as to whether he or she is satisfied as to the person's identity, the means by which the applicant so satisfied himself or herself and whether the applicant has obtained a copy of the person's birth certificate;

(k) confirmation by the applicant that he or she has a recent photograph of the person;

(l) a statement by the applicant that he or she has obtained two references relating to the person and that the applicant is satisfied as to the authenticity of those references;

(m) details of any criminal offences of which the person has been convicted, including details of any convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders Act 1974 and which may be disclosed by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, and, in relation to each such offence, a statement by the person - 



(i) as to whether in his or her view the offence is relevant to his or her suitability to care for, train, supervise or be in sole charge of any person and, if so,

(ii) as to why he or she considers that he or she is suitable to perform the work in which he or she is to be employed;



(n) details of any criminal offences in respect of which he or she has been cautioned by a constable and which, at the time the caution was given, he or she admitted.

(a) who are not relatives of the applicant;

(b) each of whom is able to provide a reference as to the applicant's competence to carry on an establishment of the same description as the establishment; and

(c) one of whom has employed the applicant for a period of at least 3 months,

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.

     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 - 

(i) of which the applicant has been convicted, including details of any convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders Act 1974 and which may be disclosed by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975; or

(ii) in respect of which he has been cautioned by a constable and which, at the time the caution was given, he admitted.

(a) service users; and

(b) persons working at the care home.

     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 - 

(a) their sex;

(b) the reason or reasons for their need of nursing or personal care as mentioned in paragraph 1 of this Schedule;

(c) service users who are children.

(a) their age range;

(b) their sex;

(c) the maximum number of such children;

(d) whether the children to be accommodated are selected by reference to other criteria than age or sex, and if so those criteria.

     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 or her 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.

(a) the applicant's full name, date of birth, address and telephone number;

(b) details of the applicant's professional or technical qualifications, and experience, so far as such qualifications and experience are relevant to looking after children under the age of eight;

(c) details of the applicant's employment history, including the name and address of his or her present employer and of any previous employers;

(d) details of any business the applicant carries on or has carried on;

(e) the name and addresses of two referees - 


(i) who are not relatives of the applicant;

(ii) each of whom is able to provide a reference as to the applicant's competence to carry on an establishment of the same description as the establishment; and

(iii) one of whom is the applicant's most recent employer;



(f) where any certificate or information on any matters referred to in paragraph 4 of Schedule 2 is not available to the responsible person because any provision of the Police Act 1997 has not been brought into force, details of any criminal offences - 



(i) of which the responsible person has been convicted, including details of any convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders Act 1974 and which may be disclosed by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975; or

(ii) in respect of which he or she has been cautioned by a constable and which, at the time the caution was given, he or she admitted.

     2. Where the applicant is an organisation - 

(a) the name of the organisation and the address of the registered office or principal office of the organisation;

(b) the full name, date of birth, address and telephone number of the responsible individual;

(c) details of the professional or technical qualifications of the responsible individual and his or her experience, so far as such qualifications and experience are relevant to supervising the provision of care to children under the age of eight;

(d) if the organisation is a subsidiary of a holding company, the name and address of the registered or principal office of the holding company and of any other subsidiary of that holding company.

     3. In every case - 

(a) a reference from a bank expressing an opinion as to the applicant's financial standing;

(b) a statement as to whether the responsible person has been adjudged bankrupt, or sequestration of his or her estate has been ordered, or he or she has made a composition or arrangement with, his or her creditors;

(c) a statement as to the applicant's ability to ensure that the child minding or provision of day care, as the case may be, is financially viable.

(a) achieving the aims and objectives set out in the statement of purpose ; and

(b) providing the facilities described pursuant to paragraph 5.

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.

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

(a) safeguarding access to information held at the premises; and

(b) restricting access from adjacent premises or, when the premises form part of a building, from other parts of the building.

     11. Whether any other business or activity is or will be carried on in the premises at the same time as children are looked after there under the proposed registration and, if so, details of such business or activity.

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

(a) the person's name, sex and date of birth;

(b) the person's duties and responsibilities in relation to his or her work.

(a) whether the person is, or is intended to be, resident in the premises;

(b) if he or she is a relative of any person who has made an application, his or her relationship to such person;

(c) whether the person works or is intended to work, on a full-time basis or on a part-time basis and, if on a part-time basis, the number of hours per week for which it is intended that the person will work;

(d) the date on which the person commenced, or is intended to commence, work;

(e) information as to the person's qualifications, experience and skills in so far as is relevant to the work that the person is to perform;

(f) a statement by the applicant that he or she is satisfied as to the authenticity of the qualifications, and has verified the experience and skills that are referred in sub-paragraph (e);

(g) a statement as to - 


(i) the suitability of the person's qualifications for the work that the person is to perform;

(ii) whether the person has the skills necessary for such work;

(iii) the person's fitness to work, and have regular contact, with children under the age of eight;



(h) a statement by the person as to the state of his or her physical and mental health;

(i) a statement by the applicant that the person is physically and mentally fit for the purposes of the work which he or she is to perform;

(j) a statement by the applicant as to whether he or she is satisfied as to the person's identity, the means by which the applicant so satisfied himself or herself and whether the applicant has obtained a copy of the person's birth certificate;

(k) confirmation by the applicant that he or she has a recent photograph of the person;

(l) a statement by the applicant that he or she has obtained two references relating to the person and that the applicant is satisfied as to the authenticity of those references;

(m) details of any criminal offences of which the person has been convicted, including details of any convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders Act 1974 and which may be disclosed by virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, and, in relation to each such offence, a statement by the person - 



(i) as to whether in his or her view the offence is relevant to his or her suitability to care for children under the age of eight and, if so,

(ii) as to why he or she considers that he or she is suitable to perform the work in which he or she is to be employed;



(n) details of any criminal offences in respect of which he or she has been cautioned by a constable and which, at the time the caution was given, he or she admitted.