United Kingdom Statutory Instruments

"the Act" means the Care Standards Act 2000;

"adult placement carer" means a person who, under the terms of a carer agreement entered into with a person who carries on an adult placement scheme, provides, or intends to provide, care or support (which may include accommodation in the carer's home) for service users;

"adult placement scheme" means a scheme carried on (whether or not for profit) by a local authority or other person for the purposes of - 

(a) recruiting and training adult placement carers;

(b) making arrangements for the placing of service users with adult placement carers; and

(c) supporting and monitoring placements,

but does not include arrangements made by a person solely for the provision of care and support for his or her relative;

"approval panel" means the panel appointed by the provider of an adult placement scheme for the purpose of approving applications to schemes from prospective carers;

"carer agreement" shall be construed in accordance with regulation 17;

"complaints procedure" shall be construed in accordance with regulation 23;

"home", where a person has more than one home, means the home where the person ordinarily resides;

"organisation" means a body corporate or any unincorporated association other than a partnership;

"placement" means an arrangement whereby an adult is provided with care or support by an adult placement carer and "placed" shall be construed accordingly;

"placement agreement" shall be construed in accordance with regulation 13;

(a) is an individual who carries on the scheme - 


(i) otherwise than in partnership with others, and satisfies the requirements set out in paragraph (3);

(ii) in partnership with others, and he and each of his partners satisfies the requirements set out in paragraph (3);



(b) is a partnership and each of the partners satisfies the requirements set out in paragraph (3);

(c) is an organisation and - 



(i) the organisation has given notice to the CSCI of the name, address and position in the organisation of an individual (in these Regulations referred to as "the responsible individual") who is a director, manager, secretary or other officer of the organisation and who is responsible for supervising the management of the scheme; and

(ii) that individual satisfies the requirements set out in paragraph (3).

    (3) The requirements are that - 

(a) he is of integrity and good character;

(b) he is physically and mentally fit to carry on the scheme or, in the case of the responsible individual, supervise its management; and

(c) full and satisfactory information is available in relation to him in respect of each of the matters specified in Schedule 2.

    (4) A person shall not carry on a scheme if - 

(a) he has been adjudged bankrupt or sequestration of his estate has been awarded and (in either case) he has not been discharged and the bankruptcy order has not been annulled or rescinded; or

(b) he has made a composition or arrangement with his creditors and has not been discharged in respect of it.

(a) that - 


(i) the service user or, where appropriate, the service user's representative; and

(ii) the placing authority (if any),



are parties to the placement agreement;

(b) that the placement agreement specifies the number of service users, which shall not in any event exceed 3, that the adult placement carer may have placed with him at any one time under that and any other placement agreement;

(c) that the placement agreement specifies which elements of the service user's plan are to be met by the adult placement carer under the scheme;

(d) that the placement agreement provides that the specification described in sub-paragraph (c) may be amended as a consequence of an amendment to the service user's plan;

(e) that the placement agreement provides that it may be amended as a consequence of a review undertaken under regulation 14;

(f) that, where possible, the placement agreement names an individual who is neither a member of staff of the scheme provider nor the adult placement carer and whose role is to support the service user in expressing his views and wishes in relation to the placement;

(g) that the placement agreement reflects the obligations of the registered person under regulation 21;

(h) that the placement agreement specifies the records to be kept by the adult placement carer in relation to the service user's plan and requires the adult placement carer to keep those records up to date, in good order and in a secure manner, and to return them to the registered provider if the placement is terminated; and

(i) that the placement agreement specifies - 



(i) details of the service user's plan;

(ii) the room to be occupied by the service user in the adult placement carer's home;

(iii) the fees payable in respect of the placement, details of who is responsible for the payment of those fees, and the method of payment;

(iv) the qualifications (if any) and experience of the adult placement carer;

(v) the terms and conditions in respect of the accommodation, care or other services to be provided;

(vi) suitable arrangements to assist the service user with mobility in the adult placement carer's home, where required;

(vii) the procedure to be followed where an adult placement carer acts as agent for, or receives money from, the service user.

    (3) The registered person shall not make a placement of a service user unless he has - 

(a) ascertained and taken into account the service user's wishes and feelings; and

(b) whenever practicable, provided the service user with comprehensive information and suitable choice as to the placements that may be available to the service user.

(a) he is of integrity and good character;

(b) he is physically and mentally fit to meet his obligations under the agreement;

(c) he has the skills, competence and experience necessary to meet his obligations under the agreement;

(d) full and satisfactory information is available in relation to him in respect of the matters specified in Schedule 3;

(a) an assessment of the needs of the service user in respect of his health and welfare has been undertaken; and

(b) a written plan ("the service user's plan") has been produced for the purposes of the placement indicating how those needs are to be met.

    (2) If it has not been practicable to comply with paragraph (1) prior to the commencement of a placement, the registered person shall comply with sub-paragraphs (a) and (b) of paragraph (1) as soon as reasonably practicable after the commencement of a placement.

    (3) The registered person shall keep the service user's plan under review and amend it as appropriate.

    (4) In producing or amending a service user's plan, the registered person shall - 

(a) ensure the service user's plan is consistent with any care plan for the service user produced by or on behalf of a public authority;

(b) consult the service user or, where appropriate, his representative and any placing authority, care manager or social worker responsible for the service user.

    (5) The registered person shall make the service user's plan available to the service user or his representative.

(a) so as to ensure the safety of service users;

(b) so as to ensure that a placement is not made in an emergency unless that is in the interests of the service user in question, and the needs of the adult placement carer and other household members have been considered;

(c) so as to safeguard service users against abuse, harm or neglect;

(d) so as to promote the independence of service users;

(e) so as to ensure the safety and security of service users' property;

(f) in a manner which respects the privacy, dignity and wishes of service users, and the confidentiality of information relating to them; and

(g) with due regard to the sex, sexual orientation, age, religious persuasion, racial origin, and cultural and linguistic background and any disability of service users, and to the way in which they wish to conduct their lives.

    (2) The registered provider and the registered manager (if any) shall, in relation to the conduct of the scheme - 

(a) maintain good personal and professional relationships with each other and with adult placement carers, service users and staff;

(b) encourage and assist staff to maintain good personal and professional relationships with both adult placement carers and service users;

(c) encourage and assist adult placement carers to maintain good personal and professional relationships with service users.

(a) he is of integrity and good character;

(b) he has the qualifications, skills and experience necessary for the work he is to perform;

(c) he is physically and mentally fit for that work; and

(d) full and satisfactory information is available in relation to him in respect of the matters specified in Schedule 2.

(a) the annual accounts of the scheme, certified by an accountant;

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

(c) information as to the financing and financial resources of the scheme;

(d) where the registered provider is a company, information as to any of its associated companies;

(e) a certificate of insurance for the registered provider in respect of any liability which may be incurred by him in relation to the scheme in respect of death, injury, public liability, damage or other loss.

    (3) Subject to paragraph (4) the registered provider shall - 

(a) ensure that adequate accounts are maintained in respect of the scheme and kept up to date;

(b) ensure that the accounts give details of the running costs of the scheme, including rent, payments under a mortgage and expenditure on salaries and wages of staff; and

(c) supply a copy of the accounts to the CSCI at its request.

    (4) Paragraphs (2) and (3) do not apply where the registered provider is a local authority or a National Health Service body.

    (5) For the purposes of this regulation, one company is associated with another if one of them has control of the other, or both are under the control of the same person.

(a) the death of any service user, including the circumstances of his death;

(b) the outbreak within the adult placement carer's home of any infectious disease which in the opinion of any registered medical practitioner attending persons in the home is sufficiently serious to be so notified;

(c) any serious injury to a service user;

(d) any serious illness of a service user;

(e) any event of which the adult placement carer is aware which adversely affects the well-being or safety of any service user;

(f) any theft or burglary at the adult placement carer's home;

(g) any incident which - 


(i) occurs in connection with the placement; and

(ii) is reported to, or investigated by the police;



(h) any allegation of misconduct by a service user in relation to the adult placement carer or a member of his family;

(i) any unexplained absence of more than 12 hours of a service user from the adult placement carer's home.

(a) subject to paragraph (4), he is a registered person;

(b) notice has been given to him in accordance with paragraph (3);

(c) the period specified in the notice, within which the registered person may make representations to the CSCI, has expired; and

(d) in a case where, in accordance with paragraph (3)(b), the notice specifies any action that is to be taken within a specified period, the period has expired and the action has not been taken within that period.

    (3) Where the CSCI considers that the registered person has contravened, or failed to comply with, any of the provisions of the regulations mentioned in paragraph (1), it may serve a notice on the registered person specifying - 

(a) in what respect in its opinion the registered person has contravened, or has failed to comply with, any of the regulations;

(b) where it is practicable for the registered person to take action for the purpose of complying with any of those regulations, the action which, in the opinion of the CSCI, the registered person should take for that purpose;

(c) the period, not exceeding three months, within which the registered person should take any action specified in accordance with sub-paragraph (b);

(d) the period, not exceeding one month, within which the registered person may make representations to the CSCI about the notice.

(a) where the position falls within section 115(4) of the Police Act 1997, an enhanced criminal record certificate issued under section 115 of that Act; or

(b) in any other case, a criminal record certificate issued under section 113 of that Act,

including, where applicable, the matters specified in the following provisions, namely section 113(3C)(a) and (b) and section 115(6B)(a) and (b) of that Act.

     3. Two written personal references from persons (not being relatives of the adult placement carer) who have known the adult placement carer for at least 2 years.

     4. A written reference from the last employer if any.

     5. Details of health record.

     6. Details of a check with the local authority in whose area the adult placement carer resides.

     7. Where a person has previously worked in a position whose duties involved work with children or vulnerable adults, so far as reasonably practicable, verification of the reason why the position ended.

     8. Documentary evidence of any relevant qualification.

     9. A full employment history, together with a satisfactory written explanation of any gaps in employment.

     10. A letter from a mortgage lender or landlord (as the case may be) confirming - 

(a) that the adult placement carer has sought and obtained permission to undertake placements where such permission is required by the terms of any mortgage, lease or tenancy agreement; and

(b) that the adult placement carer is not in arrears with his mortgage payments, rent or (where applicable) service charges and that he is not in breach of the terms of his mortgage, lease or tenancy agreement.

     11. A copy of the assessment report in respect of the adult placement carer prepared on behalf of an adult placement scheme.

     12. A written statement as to the suitability of a person for the role and responsibilities of an adult placement carer signed by the chair of the approval panel.

(a) full name and address;

(b) date of birth;

(c) sex;

(d) marital status;

(e) next of kin;

(f) ethnic origin where the person agrees to provide that information;

(g) the assessment referred to in regulation 20(1);

(h) the service user's plan;

(i) the placement agreement;

(j) the date that the placement commenced and, where applicable, ceased.

     2. A record of all persons working for the purposes of the scheme, which shall include the following matters - 

(a) full name;

(b) sex;

(c) ethnic origin where the person agrees to provide that information;

(d) date of birth;

(e) home address;

(f) qualifications relevant to, and experience of, work involving vulnerable adults;

(g) written confirmation that the information referred to in Schedule 2 is available in relation to the person;

     3. A record of all persons with whom the scheme has placed an adult including - 

(a) full name;

(b) sex;

(c) ethnic origin where the person agrees to provide that information;

(d) date of birth;

(e) where relevant, the address of the premises to which the placement relates;

(f) qualifications relevant to, and experience of, work involving vulnerable adults;

(g) a copy of the placement agreement;

(h) a record of the monitoring undertaken in respect of the placement under regulation 14;

(i) written confirmation that the information referred to in Schedule 3 is available in relation to the adult placement carer.

(j) a copy of the carer agreement.

     4. A record of - 

(a) all accidents that have occurred during the course of placements made by the scheme involving service users;

(b) any use of physical restraint upon a relevant adult placed by the scheme;

(c) any allegation of abuse, neglect or other harm made by or in relation to a relevant adult whom the scheme has placed; and

(d) any complaint made in relation to the scheme or to an adult placement carer working for the purposes of the scheme.

(a) in subsection (1) - 


(i) after the word "description" on the first occasion where it occurs, insert "or an adult placement scheme"; and

(ii) after the word "description" on the second occasion where it occurs, insert "or as an adult placement scheme";



(b) in subsection (2) - 



(i) after the word "agency" on the first occasion where it occurs, insert "or adult placement scheme"; and

(ii) after the word "agency" on the second occasion where it occurs, insert "or adult placement scheme (as the case may be)";



(c) in subsection (6) - 



(i) in paragraph (a), after the word "agency" insert "or adult placement scheme"; and

(ii) for paragraph (b) substitute - 


" (b) in the case of a conviction in relation to an establishment or agency, the conviction is a second or subsequent conviction of the offence and the earlier conviction, or one of the earlier convictions, was of an offence in relation to an establishment or agency of the same description; or

(c) in the case of a conviction in relation to an adult placement scheme, the conviction is a second or subsequent conviction of the offence.".

Modification of section 12 of the Act
     2. In section 12 (applications for registration) - 

(a) in subsection (3), after the word "agency" insert "or of an adult placement scheme"; and

(b) in subsection (4), after the word "agency" insert "or adult placement scheme".

Modification of section 13 of the Act
     3. In section 13 (grant or refusal of registration) - 

(a) in subsection (1), after the word "agency" insert "or adult placement scheme"; and

(b) in subsection (2), after the word "agency" insert "or adult placement scheme".

Modification of section 14 of the Act
     4. In section 14(1) (cancellation of registration) - 

(a) in paragraph (b), after the word "agency" insert "or adult placement scheme"; and

(b) in paragraph (c), after the word "agency" insert "or adult placement scheme"

Modification of section 17 of the Act
     5. In section 17 (notice of proposals) - 

(a) in subsection (1), after the word "agency" insert "or adult placement scheme"; and

(b) in subsection (4), after the word "agency" insert "or adult placement scheme".

Modification of section 19
     6. In section 19(1) (notice of decisions), after the word "agency" insert "or adult placement scheme".

Modification of section 20
     7. In section 20 (urgent procedure for cancellation etc.) - 

(a) in subsection (1)(a)(i), after the word "agency" insert "or adult placement scheme";

(b) in subsection (5), after the word "agency" insert "or adult placement scheme"; and

(c) in subsection (6)(a) and (b), after the word "agency" insert "or adult placement scheme".

Modification of section 21
     8. In section 21 (appeals to the tribunal), in subsection (5)(a) and (c), after the word "agency" insert "or adult placement scheme".

Modification of section 23
     9. In section 23 (national minimum standards), in subsection (1), after the word "agencies" insert "or adult placement schemes".

Modification of section 24
     10. In section 24 (failure to comply with conditions), after the word "agency" on both occasions where it occurs, insert "or adult placement scheme".

Modification of section 26 of the Act
     11. In section 26 (false descriptions of establishments and agencies) - 

(a) in subsection (1), after the word "description" in both places where it occurs, insert "or an adult placement scheme"; and

(b) in subsection (3), after the word "agency", on both occasions where it occurs, insert "or adult placement scheme".

Modification of section 28 of the Act
     12. In section 28 (failure to display certificate of registration) - 

(a) in subsection (1) - 


(i) after the word "agency" on the first occasion where it occurs, insert "or adult placement scheme"; and

(ii) after the word "agency" on the second occasion where it occurs, insert "or at any premises from which the adult placement scheme is carried on"; and



(b) in subsection (2), after the word "agency" insert "or adult placement scheme".

Modification of section 31
     13. In section 31 (inspections by persons authorised by registration authority) - 

(a) in subsection (1), after the word "agency" on both occasions where it occurs, insert "or adult placement scheme";

(b) in subsection (2), after the word "agency" insert "or adult placement scheme";

(c) in subsection (3)(c), after the word "agency" insert "or adult placement scheme";

(d) in subsection (3)(e), after the word "there" insert ", or in the case of an adult placement scheme, any person provided with care or support under such a scheme,"; and

(e) in subsection (4)(a), after the word "agency" insert "or adult placement scheme".

Modification of section 32
     14. In section 32 (inspections: supplementary) - 

(a) in subsection (4), after the word "agency" on both occasions where it occurs, insert "or adult placement scheme";

(b) in subsection (5), after the word "agency" on both occasions where it occurs, insert "or adult placement scheme"; and

(c) in subsection (8), after the word "agency" insert "or adult placement scheme".

Modification of section 34
     15. In section 34(3) (liquidators etc.) - 

(a) in the definition of "relevant company", after the word "agency" insert "or adult placement scheme"; and

(b) in the definition of "relevant individual", after the word "agency" insert "or adult placement scheme".

Modification of section 35
     16. In section 35(1)(a) (death of registered person), after the word "agency" insert "or adult placement scheme".

Modification of section 37
     17. In section 37 (service of documents) - 

(a) in subsection (1), after the word "agency" insert "or adult placement scheme"; and

(b) in subsection (2) - 


(i) after the word "agency" on the first occasion where it occurs, insert "or adult placement scheme"; and

(ii) at the end, insert "or the premises from which the adult placement scheme is carried on".

(a) during a period of 12 months beginning on the relevant date; and

(b) if, within that period, an application is made to the CSCI for registration under Part 2 of the Act,

until that application is finally disposed of or withdrawn.

    (3) Where paragraph (2) applies, section 11(1), (2), (5) and (6) of the Act shall not apply to such a person.

    (4) In this regulation "finally disposed of" means the date 28 days following the grant or refusal of registration and, if an appeal is made, the date when the appeal is finally determined or abandoned.

     3.  - (1) This paragraph applies where, immediately prior to the relevant date, a person was the registered provider ("the adult placement carer") in respect of a care home providing an adult placement.

    (2) Where paragraph (1) applies - 

(a) the amendments set out in Schedules 5 to 7 of these Regulations shall not have effect in relation to the adult placement carer until the date on which the provider of an adult placement scheme with whom the adult placement carer has entered into a carer agreement to provide a placement for a service user is registered with the CSCI under Part 2 of the Act; and

(b) the provisions of the Care Homes Regulations 2001 shall continue in force in relation to that adult placement carer until that date.

     4.  - (1) This paragraph applies where - 

(a) at any time after the relevant date, an adult placement carer wishes to enter, or has entered, into a carer agreement with the provider of an adult placement scheme to provide a placement ("the placement") for a service user;

(b) the provider of that adult placement scheme has not applied to be registered under Part 2 of the Act; and

(c) the adult placement carer has not entered into a carer agreement to provide a placement with the provider of another adult placement scheme who is registered under Part 2 of the Act.

    (2) Where paragraph (1) applies - 

(a) the amendments set out in Schedules 5 to 7 of these Regulations shall not have effect in relation to the adult placement carer until the date on which the provider of the adult placement scheme with whom he has entered into a carer agreement to provide the placement is registered with the CSCI under Part 2 of the Act; and

(b) the provisions of the Care Homes Regulations 2001 shall apply in relation to that adult placement carer until that date.

     5. Where an appeal under section 21 of the Act (appeals to the tribunal) is made by a registered provider in respect of a care home providing an adult placement against a decision of the CSCI - 

(a) before the relevant date but where the appeal has not been determined by that date; or

(b) on or after the relevant date but within the time limit specified in section 21 of the Act,