| Guvnor

Enforced by: CIW
Status: In Force
Penalty ceiling: Imprisonment 2 of 87 obligations carry up to 2 years imprisonment. 85 have no criminal penalty — flagged in the list below.

Does it bind you?

Business-side roles with duties under this instrument.

Any Person32 Employer22 Trader22 Operator7 Director or Officer2 Occupier1 Self-Employed Person1

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Any Person — also bound by 2340 other Acts

Human Medicines Regulations 2012 184 duties

Merchant Shipping Act 1995 144 duties

Insolvency (England and Wales) Rules 2016 104 duties

Communications Act 2003 92 duties

Road Traffic Act 1988 92 duties

Employer — also bound by 682 other Acts

The Income Tax (Pay As You Earn) Regulations 2003 241 duties

Provision and Use of Work Equipment Regulations 1998 120 duties

TULRCA 1992 72 duties

Income Tax (Earnings and Pensions) Act 2003 54 duties

Employment Rights (Northern Ireland) Order 1996 (current NI employment law) 53 duties

Trader — also bound by 825 other Acts

Value Added Tax Regulations 1995 416 duties

Companies Act 2006 243 duties

The Large and Medium-sized Companies and Groups (Accounts and Reports) Regulations 2008 133 duties

Companies Act 1985 85 duties

Insolvency (England and Wales) Rules 2016 62 duties

Operator — also bound by 746 other Acts

Regulation (EU) No 965/2012 (Air Operations) 203 duties

Commission Implementing Regulation (EU) 2018/2066 of 19 December 2018 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council and amending Commission Regulation (EU) No 601/2012 (Text with EEA relevance) 121 duties

Commission Regulation (EU) No 601/2012 of 21 June 2012 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council (Text with EEA relevance) (repealed) 112 duties

Space Industry Regulations 2021 76 duties

Regulation (EU) 2016/429 of the European Parliament and of the Council of 9 March 2016 on transmissible animal diseases and amending and repealing certain acts in the area of animal health (‘Animal Health Law’) (Text with EEA relevance) 66 duties

Director or Officer — also bound by 429 other Acts

Insolvency (England and Wales) Rules 2016 162 duties

Companies Act 2006 126 duties

Insolvency Act 1986 77 duties

The Large and Medium-sized Companies and Groups (Accounts and Reports) Regulations 2008 68 duties

Building Societies Act 1986 32 duties

Occupier — also bound by 235 other Acts

The Water Resources (Control of Agricultural Pollution) (Wales) Regulations 2021 47 duties

Avian Influenza and Influenza of Avian Origin in Mammals (England) (No. 2) Order 2006 46 duties

The Welfare of Animals (Slaughter or Killing) Regulations 1995 34 duties

Highways Act 1980 23 duties

Nitrate Pollution Prevention Regulations 2015 19 duties

Self-Employed Person — also bound by 80 other Acts

General Dental Services Regulations (Northern Ireland) 1993 12 duties

The National Health Service (General Dental Services) (Scotland) Regulations 2010 7 duties

The General Chiropractic Council (Indemnity Arrangements) Rules Order of Council 2015 5 duties

Personal Protective Equipment at Work Regulations (Northern Ireland) 1993 5 duties

The Management of Health and Safety at Work Regulations 1992 4 duties

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 1

General

0 of 1 section shown

1 other section in this Part — procedural and definitional

s.001 Title, commencement, application and interpretation

Part 2

Exceptions

0 of 4 sections shown

4 other sections in this Part — procedural and definitional

s.002 Care home services

s.003 Domiciliary support services

s.004 Residential family centre services

s.005 Meaning of family or personal relationship

Part 3

General requirements on service providers

7 of 8 sections shown

s.006 Requirements in relation to the provision of the service Regulated

Ensure regulated services are delivered with sufficient care, competence and skillAny Person

s.007 Requirements in relation to the statement of purpose Regulated

Maintain, review and update your statement of purpose, and notify the regulator and affected partiesAny Person

s.008 Requirements in relation to monitoring and improvement Regulated

Monitor, review and improve quality of care and supportEmployer

s.010 Requirements in relation to the responsible individual where the service provider is an individual Regulated

Train yourself and arrange coverage when you are absentSelf-Employed Person

s.011 Requirements in relation to the financial sustainability of the service Regulated

Maintain up‑to‑date accounts and provide them when requestedDirector or Officer

s.012 Requirements to provide the service in accordance with policies and procedures Regulated

Create, keep up‑to‑date and follow service policies and proceduresEmployer

s.013 Duty of candour Regulated

Act with candour when giving care or supportEmployer

1 other section in this Part — procedural and definitional

s.009 Requirements in relation to the responsible individual

Part 4

Requirements on service providers as to the steps to be taken before agreeing to provide care and support

1 of 1 section shown

s.014 Suitability of the service Regulated

Ensure the service is suitable before providing care and supportEmployer

Part 5

Requirements on service providers as to the steps to be taken on commencement of the provision of care and support

4 of 4 sections shown

s.015 Personal plan Regulated

Prepare a personal care plan for each clientTrader

s.016 Review of personal plan Regulated

Review each client's personal plan quarterlyAny Person

s.017 Records of personal plans Regulated

Keep and share personal care plansEmployer

s.018 Provider assessment Regulated

Assess and review care plans within 7 daysEmployer

Part 6

Requirements on service providers as to the information to be provided to individuals on commencement of the provision of care and support

2 of 2 sections shown

s.019 Information about the service Regulated

Prepare and keep up‑to‑date a written guide for people you supportEmployer

s.020 Service agreement Regulated

Give individuals signed copies of service agreements and explain themAny Person

Part 7

Requirements on service providers as to the standard of care and support to be provided

5 of 5 sections shown

s.021 Standards of care and support - overarching requirements Regulated

Provide safe, personalised care and keep individuals informedEmployer

s.022 Continuity of care Regulated

Ensure continuity of care for individualsEmployer

s.023 Information Regulated

Provide clear, understandable information to service usersAny Person

s.024 Language and communication Regulated

Provide language support and communication aidsAny Person

s.025 Respect and sensitivity Regulated

Treat clients with respect, privacy and dignityAny Person

Part 8

Requirements on service providers -safeguarding

6 of 7 sections shown

s.026 Safeguarding - overarching requirement Regulated

Ensure service protects clients from abuse, neglect and misuseAny Person

s.027 Safeguarding policies and procedures Regulated

Create and run safeguarding policy and proceduresEmployer

s.028 Supporting individuals to manage their money Regulated

Maintain a written policy to support people managing their moneyEmployer

s.029 The appropriate use of control and restraint Regulated

Implement and monitor appropriate use of control and restraintEmployer

s.030 Prohibition on the use of corporal punishment Regulated

Ban corporal punishment in your child care servicesEmployer

s.031 Deprivation of liberty Regulated

Do not deprive a care recipient of liberty without lawful authorityEmployer

1 other section in this Part — procedural and definitional

s.032 Interpretation of Part 8

Part 9

Requirements on service providers which only apply where accommodation is provided

1 of 1 section shown

s.033 Access to health and other services Regulated

Provide health access for residents and appoint a link worker for each childEmployer

Part 10

Requirements on service providers as to staffing

5 of 6 sections shown

s.034 Staffing - overarching requirements Regulated

Plan, manage and monitor staff to meet care needsEmployer

s.036 Supporting and developing staff Regulated

Provide staff with a policy, induction, training and supportEmployer

s.037 Compliance with employer's code of practice Regulated

Follow the Social Care Wales code for hiring and managing workersEmployer

s.038 Information for staff Regulated

Provide service information and conduct standards to staffEmployer

s.039 Disciplinary procedures Regulated

Implement a disciplinary procedure that covers suspension for safety and abuse reportingEmployer

1 other section in this Part — procedural and definitional

s.035 Fitness of staff

Part 11

Requirements on service providers in respect of domiciliary support services

2 of 3 sections shown

s.041 Delineation of travel time and care time Regulated

Prepare, give and keep a schedule of each worker’s visits, travel and breaksEmployer

s.042 Offering domiciliary care workers on non-guaranteed hours contracts the choice of alternative contractual arrangements Regulated

Offer care workers on non-guaranteed hours a choice of contractOperator

1 other section in this Part — procedural and definitional

s.040 Application of regulations in this Part

Part 12

Requirements on service providers as to premises, facilities and equipment

6 of 6 sections shown

s.043 Overarching requirement Regulated

Ensure premises, facilities and equipment are suitable for the serviceAny Person

s.044 Premises – accommodation-based services only Regulated

Provide safe, suitable premises for your care/home serviceEmployer

s.045 Single occupancy and shared rooms - adults Regulated

Ensure single‑room accommodation for adults unless conditions applyTrader

s.046 Single occupancy and shared rooms – children Regulated

Provide single rooms for children unless specific exceptions applyTrader

s.047 Premises – all services Regulated

Provide adequate supervision and secure record‑storage facilitiesTrader

s.048 Facilities and equipment Regulated

Keep facilities and equipment safe, maintained and cleanTrader

Part 13

Additional requirements on service providers in respect of premises – new accommodation

7 of 8 sections shown

s.049 Reconfiguration of premises Regulated

Comply with premises regulations when increasing accommodation capacityTrader

s.049 Application of Part 13 Regulated

Ensure compliance with Part 13 standards for accommodation servicesTrader

s.050 Additional requirements – en-suite bathrooms Regulated

Provide en‑suite bathrooms in all service bedroomsTrader

s.051 Additional requirements – room sizes Regulated

Provide bedrooms with required minimum floor spaceTrader

s.052 Additional requirements – communal space Regulated

Provide minimum communal space per personOccupier

s.053 Additional requirements – outdoor space Regulated

Make outdoor service areas wheelchair‑accessible and inclusiveAny Person

s.054 Additional requirements – passenger lift Regulated

Provide a passenger lift where service premises span multiple floorsTrader

1 other section in this Part — procedural and definitional

s.049 (1) This regulation applies to a service provider—

Part 14

Requirements on service providers as to supplies, hygiene, health and safety and medicines

4 of 4 sections shown

s.055 Supplies Regulated

Ensure sufficient and appropriate supplies for service deliveryTrader

s.056 Hygiene and infection control Regulated

Maintain hygiene standards and infection‑control policiesAny Person

s.057 Health and safety Regulated

Identify and reduce health and safety risksTrader

s.058 Medicines Regulated

Ensure safe storage and administration of medicinesTrader

Part 15

Other requirements on service providers

7 of 7 sections shown

s.059 Records Regulated

Keep and maintain required service records securelyTrader

s.060 Notifications Regulated

Notify regulator and other authorities of specified eventsAny Person

s.061 Notification with respect to children admitted into, or discharged from, a place at which accommodation is provided to children Regulated

Notify local authority of every child admission and dischargeAny Person

s.062 Notification with respect to the death of a child accommodated in a secure children's home Regulated

Notify authorities and cooperate with investigation after a child's deathTrader

s.063 Conflicts of interest (including prohibitions) Regulated

Identify, record and manage conflicts of interestAny Person

s.064 Complaints policy and procedure Regulated

Maintain a complaints policy and handle complaints effectivelyTrader

s.065 Whistleblowing Regulated

Set up and run a whistleblowing systemTrader

Part 16

Requirements on responsible individuals for ensuring effective management of the service

8 of 8 sections shown

s.066 Supervision of management of the service Regulated

Supervise management of the serviceAny Person

s.067 Duty to appoint a manager Regulated

Appoint a manager for your regulated serviceAny Person

s.068 Fitness requirements for appointment of manager Regulated

Ensure manager is fit before appointmentAny Person

s.069 Restrictions on appointing manager for more than one service Regulated

Do not appoint a manager to oversee multiple services without regulator approvalAny Person

s.070 Duty to report the appointment of manager to service provider Regulated

Notify service provider of new manager appointmentAny Person

s.071 Duty to report appointment of manager to the workforce and service regulators Regulated

Notify workforce and regulators of new manager appointmentAny Person

s.072 Arrangements when manager is absent Regulated

Ensure service management when manager is absent and notify if >28 daysAny Person

s.073 Visits Regulated

Visit service locations and meet staff and users quarterlyAny Person

Part 17

Requirements on responsible individuals for ensuring effective oversight of the service

3 of 3 sections shown

s.074 Oversight of adequacy of resources Regulated

Report quarterly on adequacy of resourcesTrader

s.075 Other reports to the service provider Regulated

Report concerns and significant changes to the service providerTrader

s.076 Engagement with individuals and others Regulated

Arrange to gather and relay service users' views on care qualityAny Person

Part 18

Requirements on responsible individuals for ensuring the compliance of the service

3 of 3 sections shown

s.077 Duty to ensure there are systems in place to record incidents and complaints Regulated

Set up a system to record incidents and complaintsAny Person

s.078 Duty to ensure there are systems in place for keeping of records Regulated

Ensure effective record‑keeping systemsAny Person

s.079 Duty to ensure policies and procedures are up to date Regulated

Maintain up‑to‑date policies and proceduresAny Person

Part 19

Requirements on responsible individuals for monitoring, reviewing and improving the quality of the regulated service

2 of 2 sections shown

s.080 Quality of care review Regulated

Review quality of care at least every six months and report to providerTrader

s.081 Statement of compliance with the requirements as to standards of care and support Regulated

Prepare annual statement on standards of care and supportAny Person

Part 20

Other requirements on responsible individuals

3 of 3 sections shown

s.082 Support for staff raising concerns Regulated

Ensure whistleblowing policy is followed and support staff raising concernsDirector or Officer

s.083 Duty of candour Regulated

Act openly and transparently with service users and their representativesAny Person

s.084 Notifications Regulated

Notify the service regulator of specified eventsAny Person

Part 21

Offences

2 of 2 sections shown

s.085 Offences – service providers Imprisonment

Fail to comply with specified regulated service requirementsAny Person

s.086 Offences – responsible individuals Imprisonment

Fail to comply with specified regulatory requirements (responsible individual)Any Person

Part 22

Service providers who are liquidated etc. or who have died

1 of 2 sections shown

s.087 Appointment of liquidators etc. Regulated

Notify regulator of appointment and future service plansAny Person

1 other section in this Part — procedural and definitional

s.088 Death of service provider

Part 23

Regulations under section 21(5) of the Act

0 of 1 section shown

1 other section in this Part — procedural and definitional

s.089 Designation of responsible individual by Welsh Ministers

Schedules

8 of 85 shown

s.sch002 A record of the following events that occur in the... Regulated

Keep records of listed incidents and events in your serviceOperator

s.sch002 A copy of the duty roster of persons working at... Regulated

Keep a duty roster and record of actual working hoursOperator

s.sch003 Notifications by the service provider Regulated

Notify CIW and other authorities of specified events and changesOperator

s.sch004 Notifications by the responsible individual Regulated

Notify CIW about manager appointments, absences, returns and changesTrader

s.sch004 The expected absence of the appointed manager for 28 days... Regulated

Notify CIW of appointed manager's expected absence of 28+ daysTrader

s.sch004 The unexpected absence of the appointed manager, no later than... Regulated

Notify CIW of unexpected absence of your appointed managerOperator

s.sch004 The unexpected absence of appointed manager for 28 days or... Regulated

Notify CIW of unexpected manager absence reaching 28 daysOperator

s.sch004 Someone other than the appointed manager is proposing to manage... Regulated

Notify CIW when someone other than the appointed manager is to manage the serviceOperator

77 other schedules

s.sch001 Information and documents to be available in respect of persons working in regulated services

s.sch001 Proof of identity including a recent photograph.

s.sch001 Details of registration with or membership of any professional body....

s.sch001 For the purposes of paragraphs 2 and 3 of Part...

s.sch001 Where required for the purposes of an exempted question in...

s.sch001 Where required for the purposes of an exempted question asked...

s.sch001 Two written references, including a reference from the last employer,...

s.sch001 Where a person has previously worked in a position whose...

s.sch001 Documentary evidence of any relevant qualification.

s.sch001 Where relevant, documentary evidence of registration with Social Care Wales....

s.sch001 A full employment history, together with a satisfactory written explanation...

s.sch001 Evidence of satisfactory linguistic ability for the purposes of providing...

s.sch002 Records to be kept in respect of regulated services

s.sch002 In respect of each individual, records of—

s.sch002 A record of any furniture brought by an individual into...

s.sch002 A record of any of the following events that occur...

s.sch002 A record of all visitors to the service, including the...

s.sch002 A record of any charges by the service provider to...

s.sch002 A record of all medicines kept in the service for...

s.sch002 A record of all money or other valuables deposited by...

s.sch002 A record of every fire practice, drill or test of...

s.sch002 A record of all complaints made by individuals or their...

s.sch002 A record of all persons working at the service, which...

s.sch003 Any revision to the statement of purpose, 28 days prior...

s.sch003 Unexpected absence of the responsible individual for 28 days or...

s.sch003 Return from absence of the responsible individual.

s.sch003 The responsible individual ceases, or proposes to cease, being the...

s.sch003 Any abuse or allegation of abuse in relation to an...

s.sch003 Service provider, responsible individual or appointed manager convicted of a...

s.sch003 Any allegation of misconduct by a member of staff.

s.sch003 Any occurrence of category 3 or 4 pressure damage or...

s.sch003 Serious accident or injury to an individual.

s.sch003 The outbreak of any infectious disease.

s.sch003 Any incident reported to the police.

s.sch003 Service provider (individual or organisation) changes their name.

s.sch003 Any events which prevent, or could prevent, the provider from...

s.sch003 Where accommodation is provided, the death of an individual and...

s.sch003 Any request to a supervisory body in relation to the...

s.sch003 The premises are, or are proposed to be, significantly altered...

s.sch003 Additional premises are, or are proposed to be acquired.

s.sch003 Any proposal to change the address of the principal office,...

s.sch003 Any change of telephone number or electronic mail address for...

s.sch003 Any referral to the DBS pursuant to the Safeguarding Vulnerable...

s.sch003 Where the service provider, responsible individual or appointed manager is...

s.sch003 Instigation and subsequent outcome of any child protection enquiry involving...

s.sch003 Any allegation that a child accommodated by the service has...

s.sch003 Where, on or after 1 April 2020, the service provider...

s.sch003 Any incident of child sexual or criminal exploitation or suspected...

s.sch003 Any incident where an accommodated child goes missing or has...

s.sch003 Any abuse or allegation of abuse in relation to a...

s.sch003 Serious accident or injury to a child accommodated by the...

s.sch003 Any occurrence of category 3 or 4 pressure damage or...

s.sch003 The outbreak of any infectious disease.

s.sch003 Any incident reported to the police.

s.sch003 The death of a child accommodated by the service and...

s.sch003 Any referral to the DBS pursuant to the Safeguarding Vulnerable...

s.sch003 An allegation that a child accommodated by the service has...

s.sch003 Where, on or after 1 April 2020, the service provider...

s.sch003 Where the service provider is an individual, the appointment of...

s.sch003 Any incident where an accommodated child goes missing or has...

s.sch003 Instigation and subsequent outcome of any child protection enquiry involving...

s.sch003 Any incident of child sexual or criminal exploitation or suspected...

s.sch003 Death of a child and the circumstances.

s.sch003 Any incident of child sexual or criminal exploitation or suspected...

s.sch003 Any incident where an accommodated child goes missing or has...

s.sch003 Any incident of child sexual or criminal exploitation or suspected...

s.sch003 The outbreak of any infectious disease.

s.sch003 The death of a child and the circumstances.

s.sch003 Where the service provider is a body corporate or partnership,...

s.sch003 Where the service provider is a partnership, death of one...

s.sch003 Where the service provider is a partnership, any change in...

s.sch003 Expected absence of the responsible individual for 28 days or...

s.sch003 The unexpected absence of the responsible individual, no later than...

s.sch004 The appointment of a manager (see regulation 7(1)).

s.sch004 Return from absence of appointed manager.

s.sch004 Interim arrangements where the manager is absent for longer than...

s.sch004 The appointed manager ceases, or proposes to cease, managing the...

Help complying

Guvnor’s practical routes through this instrument.

Registering a regulated service in Wales

Responding to CIW enforcement action in Wales

Wales care compliance quick check

Quick checklist for Wales care providers to verify CIW registration, Responsible Individual appointment, Social Care Wales workforce registration, Statement of Purpose, and …

CIW inspection preparation checklist

Verification checklist for CIW inspection readiness. Covers Statement of Purpose, Responsible Individual duties, staff qualifications and Social Care Wales registration, care documentation, …

Meet RISCA 2016 compliance requirements for care services in Wales

How to meet the ongoing compliance requirements under the Regulation and Inspection of Social Care (Wales) Act 2016 and the Regulated Services …

Register a care service with Care Inspectorate Wales (CIW)

Step-by-step guide to registering a regulated care service with Care Inspectorate Wales (CIW) under the Regulation and Inspection of Social Care (Wales) …

2 more guides that reference this instrument

Respond to CIW enforcement action in Wales Understanding care regulation in Wales: CIW and RISCA 2016

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.

Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017

Does it bind you?

Other Acts binding the same actors

What it requires

General

Exceptions

General requirements on service providers

Requirements on service providers as to the steps to be taken before agreeing to provide care and support

Requirements on service providers as to the steps to be taken on commencement of the provision of care and support

Requirements on service providers as to the information to be provided to individuals on commencement of the provision of care and support

Requirements on service providers as to the standard of care and support to be provided

Requirements on service providers -safeguarding

Requirements on service providers which only apply where accommodation is provided

Requirements on service providers as to staffing

Requirements on service providers in respect of domiciliary support services

Requirements on service providers as to premises, facilities and equipment

Additional requirements on service providers in respect of premises – new accommodation

Requirements on service providers as to supplies, hygiene, health and safety and medicines

Other requirements on service providers

Requirements on responsible individuals for ensuring effective management of the service

Requirements on responsible individuals for ensuring effective oversight of the service

Requirements on responsible individuals for ensuring the compliance of the service

Requirements on responsible individuals for monitoring, reviewing and improving the quality of the regulated service

Other requirements on responsible individuals

Offences

Service providers who are liquidated etc. or who have died

Regulations under section 21(5) of the Act

Schedules

Help complying

Registering a regulated service in Wales

Responding to CIW enforcement action in Wales

Wales care compliance quick check

CIW inspection preparation checklist

Meet RISCA 2016 compliance requirements for care services in Wales

Register a care service with Care Inspectorate Wales (CIW)