2019 No. 887 (W. 159)
The Regulated Services (Penalty Notices) (Wales) Regulations 2019
Made
Laid before the National Assembly for Wales
Coming into force
See section 189 of the Act for the definition of “prescribed”.
Title and commencementI31
1
The title of these Regulations is the Regulated Services (Penalty Notices) (Wales) Regulations 2019.
2
These Regulations come into force on 1 July 2019.
InterpretationI42
In these Regulations—
-
“the Act” (“y Ddeddf”) means the Regulation and Inspection of Social Care (Wales) Act 2016;
-
“the 2017 Regulations” (“Rheoliadau 2017”) means the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 F3;
-
“the Adoption Services Regulations” (“y Rheoliadau Gwasanaethau Mabwysiadu”) means the Regulated Adoption Services (Service Providers and Responsible Individuals) (Wales) Regulations 2019 F4;
-
“the Adult Placement Services Regulations” (“y Rheoliadau Gwasanaethau Lleoli Oedolion”) means the Adult Placement Services (Service Providers and Responsible Individuals) (Wales) Regulations 2019 F5;
-
“the Advocacy Services Regulations” (“y Rheoliadau Gwasanaethau Eirioli”) means the Regulated Advocacy Services (Service Providers and Responsible Individuals) (Wales) Regulations 2019 F6;
-
“the Fostering Services Regulations” (“y Rheoliadau Gwasanaethau Maethu”) means the Regulated Fostering Services (Service Providers and Responsible Individuals) (Wales) Regulations 2019 F7;
-
“offence” (“trosedd”) means a prescribed offence;
-
“payment period” (“cyfnod talu”) has the meaning given in regulation 10;
-
“penalty notice” (“hysbysiad cosb”) means a penalty notice given pursuant to section 52 of the Act;
-
“recipient” (“derbynnydd”) means a person to whom a penalty notice is given in accordance with section 52 of the Act;
-
“service provider (“darparwr gwasanaeth”) means a person whose application for registration as provider of a regulated service has been granted under section 7(1) of the Act.
Offences under the ActI53
An offence committed under section 47 (making false statements) of the Act is prescribed as an offence for the purposes of section 52(1) of that Act. The penalty to be paid is an amount corresponding to two and a half times level 4 on the standard scale F8.
I64
An offence committed under section 48 (failure to submit an annual return) or 49 (failure to provide information) of the Act is prescribed as an offence for the purposes of section 52(1) of that Act. The penalty to be paid is an amount corresponding to level 4 on the standard scale.
Offences under the 2017 RegulationsI75
1
The offences under the provisions of the 2017 Regulations listed in the first column of the table in Schedule 1 are prescribed as offences for the purposes of section 52(1) of the Act.
2
The second column of the table in Schedule 1 contains a description of the prescribed offence.
3
The amount of the penalty to be paid for each offence is specified in the third column of the table in Schedule 1.
Offences under the Adoption Services RegulationsI86
1
The offences under the provisions of the Adoption Services Regulations listed in the first column of the table in Schedule 2 are prescribed as offences for the purposes of section 52(1) of the Act.
2
The second column of the table in Schedule 2 contains a description of the prescribed offence.
3
The amount of the penalty to be paid for each offence is specified in the third column of the table in Schedule 2.
Offences under the Adult Placement Services RegulationsI97
1
The offences under the provisions of the Adult Placement Services Regulations listed in the first column of the table in Schedule 3 are prescribed as offences for the purposes of section 52(1) of the Act.
2
The second column of the table in Schedule 3 contains a description of the prescribed offence.
3
The amount of the penalty to be paid for each offence is specified in the third column of the table in Schedule 3.
Offences under the Advocacy Services RegulationsI18
1
The offences under the provisions of the Advocacy Services Regulations listed in the first column of the table in Schedule 4 are prescribed as offences for the purposes of F11section 52(1) of the Act.
2
The second column of the table in Schedule 4 contains a description of the prescribed offence.
3
The amount of the penalty to be paid for each offence is specified in the third column of the table in Schedule 4.
Offences under the Fostering Services RegulationsI109
1
The offences under the provisions of the Fostering Services Regulations listed in the first column of the table in Schedule 5 are prescribed as offences for the purposes of section 52(1) of the Act.
2
The second column of the table in Schedule 5 contains a description of the prescribed offence.
3
The amount of the penalty to be paid for each offence is specified in the third column of the table in Schedule 5.
Period for payment of the penaltyI1110
1
The time by which the penalty specified in a penalty notice is to be paid is the end of the period of 28 days beginning with the date of receipt of the notice (“payment period”).
2
Section 184 of the Act F9 applies to a penalty notice as it applies to a notice required to be given under the Act.
Payment of the penaltyI1211
1
Payment of the penalty specified in a penalty notice must be made to the Welsh Ministers by the method specified in the notice.
2
In any proceedings a certificate purporting to be signed by or on behalf of the Welsh Ministers stating that payment of a penalty was or was not received by the date specified in the certificate is evidence of the facts stated.
Period during which proceedings may not be institutedI1312
Where a recipient is given a penalty notice, proceedings for the offence to which the notice relates may not be instituted against the recipient before the expiry of the payment period.
Withdrawal of penalty noticeI1413
1
The Welsh Ministers may withdraw a penalty notice by giving written notice of the withdrawal to the recipient if—
a
the Welsh Ministers determine that—
i
it ought not to have been given, or
ii
it ought not to have been given to the person named as the recipient; or
b
it appears to the Welsh Ministers that the notice contains material errors.
2
A penalty notice may be withdrawn in accordance with paragraph (1) whether or not the payment period has expired, and whether or not the penalty has been paid.
3
Where a penalty notice has been withdrawn in accordance with paragraph (1), the Welsh Ministers must repay any amount paid by way of penalty in pursuance of that notice to the person who paid it.
4
Except as provided in paragraph (5), no proceedings may be instituted or continued against a recipient for the offence to which the penalty notice relates where the notice has been withdrawn in accordance with paragraph (1).
5
Where a penalty notice has been withdrawn under paragraph (1)(b), proceedings may be instituted or continued for the offence in connection with which that penalty notice was given if a further penalty notice in respect of the offence has been given and the penalty has not been paid before the expiry of the payment period.
Content of penalty noticeI1514
1
A penalty notice must give such details of the circumstances alleged to constitute the offence as seem to the Welsh Ministers to be reasonably required to give the recipient information about it.
2
A penalty notice must state—
a
the name and address of the recipient;
b
the amount of the penalty;
c
the payment period;
d
that payment within that period will discharge any liability for the offence;
e
the period within which proceedings in respect of the offence to which the notice relates will not be brought;
f
the consequences of the penalty not being paid before the expiry of the period for paying it;
g
the person to whom and the address at which the penalty may be paid and to which any correspondence about the penalty notice may be sent;
h
the means by which payment of the penalty may be made;
i
the grounds on which the penalty notice may be withdrawn.
RecordsI1615
The Welsh Ministers must keep a record of any penalty notices given, which must include—
a
a copy of each penalty notice given;
b
a record of all payments made and the dates upon which they were received;
c
details of any penalty notice which was withdrawn and the grounds for its withdrawal;
d
details of whether the recipient was prosecuted for the offence for which the penalty notice was given.
RevocationI216
The Regulated Services (Penalty Notices) (Wales) Regulations 2017 F10 are revoked.
I17SCHEDULE 1Prescribed offences – services regulated under the 2017 Regulations
Sch. 1 in force at 1.7.2019, see reg. 1(2)
Provision creating offence |
General nature of the offence |
Amount of penalty |
---|---|---|
Regulation 7(3) and (5) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the statement of purpose |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 11(3) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the financial sustainability of the service |
An amount corresponding to level 4 on the standard scale |
Regulation 12(1) and (2) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements to have in place specified policies and procedures |
An amount corresponding to level 4 on the standard scale |
Regulation 19(1), (2) and (3) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information about the service |
An amount corresponding to two times level 4 on the standard scale |
Regulation 20(1) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of a service agreement |
An amount corresponding to level 4 on the standard scale |
Regulation 35(1) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the fitness of staff |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 38(1) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information for staff |
An amount corresponding to two times level 4 on the standard scale |
Regulation 59(1), (2) and (3) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to records |
An amount corresponding to two times level 4 on the standard scale |
Regulation 60(1), (2) and (4) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to notifications |
An amount corresponding to two times level 4 on the standard scale |
Regulation 67(1) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 74(1) and (2) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources |
An amount corresponding to two times level 4 on the standard scale |
Regulation 75(1) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider |
An amount corresponding to two times level 4 on the standard scale |
Regulation 80(4) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review |
An amount corresponding to two times level 4 on the standard scale |
Regulation 81(1) of the 2017 Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support |
An amount corresponding to two times level 4 on the standard scale |
Regulation 84(1) and (3) of the 2017 Regulations |
Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator |
An amount corresponding to two times level 4 on the standard scale |
I18SCHEDULE 2Prescribed offences – regulated adoption services
Sch. 2 in force at 1.7.2019, see reg. 1(2)
Provision creating offence |
General nature of the offence |
Amount of penalty |
---|---|---|
Regulation 5(3) and (5) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 9(3) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirement to provide copy accounts |
An amount corresponding to level 4 on the standard scale |
Regulation 10(1) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements to have in place specified policies and procedures |
An amount corresponding to level 4 on the standard scale |
Regulation 13(1), (2) and (3) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information about the service |
An amount corresponding to two times level 4 on the standard scale |
Regulation 14(1) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of a service agreement |
An amount corresponding to level 4 on the standard scale |
Regulation 23(1) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the fitness of staff |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 26(1) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information for staff |
An amount corresponding to two times level 4 on the standard scale |
Regulation 30(1) and (2) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to records |
An amount corresponding to two times level 4 on the standard scale |
Regulation 31(1), (2), (3) and (5) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to notifications |
An amount corresponding to two times level 4 on the standard scale |
Regulation 36(1) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 43(1) and (2) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources |
An amount corresponding to two times level 4 on the standard scale |
Regulation 44(1) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider |
An amount corresponding to two times level 4 on the standard scale |
Regulation 49(4) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of service review |
An amount corresponding to two times level 4 on the standard scale |
Regulation 50(1) of the Adoption Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of support |
An amount corresponding to two times level 4 on the standard scale |
Regulation 53(1) and (3) of the Adoption Services Regulations |
Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator |
An amount corresponding to two times level 4 on the standard scale |
I19SCHEDULE 3Prescribed offences – adult placement services
Sch. 3 in force at 1.7.2019, see reg. 1(2)
Provision creating offence |
General nature of the offence |
Amount of penalty |
---|---|---|
Regulation 3(3) and (5) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 7(3) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirement to provide copy accounts |
An amount corresponding to level 4 on the standard scale |
Regulation 8(1) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements to have in place specified policies and procedures |
An amount corresponding to level 4 on the standard scale |
Regulation 11(1) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of a carer agreement |
An amount corresponding to level 4 on the standard scale |
Regulation 16(1), (2) and (3) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information about the service |
An amount corresponding to two times level 4 on the standard scale |
Regulation 28(1) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the fitness of staff |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 31(1) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information for staff |
An amount corresponding to two times level 4 on the standard scale |
Regulation 40 (1) and (2) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to records |
An amount corresponding to two times level 4 on the standard scale |
Regulation 41(1) and (3) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to notifications |
An amount corresponding to two times level 4 on the standard scale |
Regulation 46(1) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 53(1) and (2) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources |
An amount corresponding to two times level 4 on the standard scale |
Regulation 54(1) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider |
An amount corresponding to two times level 4 on the standard scale |
Regulation 59(4) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review |
An amount corresponding to two times level 4 on the standard scale |
Regulation 60(1) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support |
An amount corresponding to two times level 4 on the standard scale |
Regulation 63(1) and (3) of the Adult Placement Services Regulations |
Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator |
An amount corresponding to two times level 4 on the standard scale |
I20SCHEDULE 4Prescribed offences – regulated advocacy services
Sch. 4 in force at 1.7.2019, see reg. 1(2)
Provision creating offence |
General nature of the offence |
Amount of penalty |
---|---|---|
Regulation 4(3) and (5) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 8(3) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirement to provide copy accounts |
An amount corresponding to level 4 on the standard scale |
Regulation 9(1) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements to have in place specified policies and procedures |
An amount corresponding to level 4 on the standard scale |
Regulation 15(1), (2) and (3) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information about the service |
An amount corresponding to two times level 4 on the standard scale |
Regulation 24(1) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the fitness of staff |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 27(1) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information for staff |
An amount corresponding to two times level 4 on the standard scale |
Regulation 31(1) and (2) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to records |
An amount corresponding to two times level 4 on the standard scale |
Regulation 32(1) and (3) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to notifications |
An amount corresponding to two times level 4 on the standard scale |
Regulation 37(1) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 44(1) and (2) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources |
An amount corresponding to two times level 4 on the standard scale |
Regulation 45(1) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider |
An amount corresponding to two times level 4 on the standard scale |
Regulation 50(4) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of service review |
An amount corresponding to two times level 4 on the standard scale |
Regulation 51(1) of the Advocacy Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of advocacy |
An amount corresponding to two times level 4 on the standard scale |
Regulation 54(1) and (3) of the Advocacy Services Regulations |
Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the service regulator |
An amount corresponding to two times level 4 on the standard scale |
I21SCHEDULE 5Prescribed offences – regulated fostering services
Sch. 5 in force at 1.7.2019, see reg. 1(2)
Provision creating offence |
General nature of the offence |
Amount of penalty |
---|---|---|
Regulation 4(3) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirement to give notice of revision to the statement of purpose |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 8(3) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirement to provide copy accounts |
An amount corresponding to level 4 on the standard scale |
Regulation 9(1) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements to have in place specified policies and procedures |
An amount corresponding to level 4 on the standard scale |
Regulation 12(1), (2) and (3) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information about the service |
An amount corresponding to two times level 4 on the standard scale |
Regulation 30(1) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the fitness of staff |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 33(1) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the provision of information for staff |
An amount corresponding to two times level 4 on the standard scale |
Regulation 39(1) and (2) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to records |
An amount corresponding to two times level 4 on the standard scale |
Regulation 40(1), (2), (3), (4), (5) and (8) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to notifications |
An amount corresponding to two times level 4 on the standard scale |
Regulation 50(1) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to appoint a manager |
An amount corresponding to two and a half times level 4 on the standard scale |
Regulation 57(1) and (2) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the duty of a responsible individual to report on the adequacy of resources |
An amount corresponding to two times level 4 on the standard scale |
Regulation 58(1) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the making by a responsible individual of other reports to the service provider |
An amount corresponding to two times level 4 on the standard scale |
Regulation 63(4) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a report in respect of a quality of care review |
An amount corresponding to two times level 4 on the standard scale |
Regulation 64(1) of the Fostering Services Regulations |
Contravention of, or failure to comply with, requirements in relation to the preparation by a responsible individual of a statement of compliance with the requirements as to standards of care and support |
An amount corresponding to two times level 4 on the standard scale |
Regulation 67(1) and (4) of the Fostering Services Regulations |
Contravention of, or failure to comply with requirements in relation to the responsible individual's duty to make notifications to the Welsh Ministers |
An amount corresponding to two times level 4 on the standard scale |
2016 anaw 2.