Statutory Rules of Northern Ireland

"applicant" means a person seeking to be registered;

"placement plan" shall be construed in accordance with Regulation 13 of the Children's Homes Regulations (Northern Ireland) 2005;

"general medical practitioner" means a medical practitioner providing primary medical services;

(a) be in writing on a form approved by the Regulation and Improvement Authority;

(b) be sent to the Regulation and Improvement Authority;

(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 or agency shall provide to the Regulation and Improvement Authority -

(a) full information in respect of the matters listed in Parts I and II of Schedule 1;

(b) the documents listed in Schedule 2.

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

(a) full information in respect of each of the matters listed in Part I of Schedule 3;

(b) the documents listed in Part II of that Schedule.

(a) the particulars specified in Part I of Schedule 6; and

(b) the particulars specified in respect of the register in Part II of that Schedule.

"application" means an application by the registered person under Article 16(1)(a) of the Order for the variation or removal of a condition in relation to his 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) made in writing on a form approved by the Regulation and Improvement Authority;

(b) sent to the Regulation and Improvement Authority not less than six weeks before the proposed effective date or such shorter period (if any) before that date as may be agreed with the Regulation and Improvement Authority;

(c) accompanied by the information specified in paragraph (3);

(d) accompanied by a fee of such amount as may be prescribed in relation to the variation or removal applied for by any regulation made under Article 16(3) of the Order.

    (3) The following information is specified -

(a) the proposed effective date;

(b) the registered person's reasons for making the application;

(c) details of changes that the registered person proposes to make in relation to the establishment or agency as a consequence of the variation or removal applied for, including details of -


(i) proposed structural changes to the premises that are used as an establishment or for the purposes of an agency;

(ii) additional staff, facilities or equipment, or changes in management that are required to ensure that the proposed changes are carried into effect.

(a) he has failed to pay at the time prescribed under Article 17(3) of the Order the annual fee payable by him by virtue of that paragraph;

(b) he has in relation to any application by him -


(i) for registration; or

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



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

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

(a) if he intends to carry on the establishment or agency in partnership with others, the information specified in the following sub-paragraphs of this paragraph in relation to each partner of the firm;

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

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

(d) details of his employment history, including the name and address of his present employer and of any previous employers;

(e) details of any business he carries on or has carried on;

(f) the name and addresses of two referees -


(i) who are not relatives of the responsible person;

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

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



but the requirement for the name and address of a referee who has employed the responsible person 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.

     2. Where the applicant is a partnership -

(a) the name and address of the partnership;

(b) in relation to each member of the partnership, the information specified in paragraph 1(b) to (f).

     3. 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 experience of carrying on an establishment or agency of the same description as the establishment or agency, so far as such qualifications and experience are relevant to providing services for persons for whom services are to be provided at the establishment or by the agency;

(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.

     4. In every case, other than where the applicant is an officer of a Health and Social Services Board or HSS trust -

(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 estate has been ordered, or he 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 or agency for the purpose of achieving the aims and objectives of the establishment or agency set out in its statement of purpose;

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

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

(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.

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

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

(b) providing facilities and services in accordance with the statement referred to in paragraph 8,

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 planning permission, building works or conversion needed.

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

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

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

     14. The name and address of any other establishment or agency of a description specified in Article 8(1) or (2) of the Order in which the applicant has or has had a business or financial interest, or at which he is or has been employed, and details of such interest or employment.

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

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

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

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

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

(b) if he is a relative of any person who has made an application in respect of the establishment or agency, his 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 or for the purposes of the agency;

(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 is satisfied as to the authenticity of the qualifications, and has verified the experience and skills that are referred to 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 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 is to perform;

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

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

(l) a statement by the applicant that he has obtained two references relating to the person and that he 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 the Rehabilitation of Offenders (Northern Ireland) Order 1978 and which may be disclosed by virtue of the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979, and, in relation to each such offence, a statement by the person -



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

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



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

(a) a criminal record certificate -


(i) which has been issued under section 113 of the Police Act 1997; and

(ii) the application for which was countersigned by the Regulation and Improvement Authority,



including, where applicable, the matters specified in section 113(3EA)(a) and (b) of that Act and the following provisions once they are in force namely section 113(3EC)(a) and (b) of that Act;

(b) an enhanced criminal record certificate -



(i) which has been issued under section 115 of that Act; and

(ii) the application for which was countersigned by the Regulation and Improvement Authority,



including, where applicable, the matters specified in section 115(6EA)(a) and (b) of that Act and the following provisions once they are in force, namely section 115(6EB)(a) and (b) of that Act.

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

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

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

     8. Except where the applicant is a Health and Social Services Board or a HSS trust a reference from a bank expressing an opinion as to the applicant's financial standing.

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

Criminal record certificates in respect of staff
     10.  - (1) In the case of an establishment or agency other than a nursing agency a statement confirming that -

(a) the documents specified in sub-paragraph (2) have been issued -


(i) in the case of any applicant, to every person, other than the applicant, who works, or is intended to work, for the purposes of the establishment or agency; and

(ii) where the applicant is an organisation, to the responsible individual; and



(b) the applicant will make the documents so issued available for inspection by the Regulation and Improvement Authority if the Regulation and Improvement Authority so requires.

    (2) The following documents are specified -

(a) where the position falls within section 115(3) or (4) of the Police Act 1997 , an enhanced criminal record certificate issued to the person under section 115 of that Act; or

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

including, where applicable the matters specified in section 113(3EA) and 115(6EA) of that Act and the following provisions, once they are in force, namely section 113(3EC)(a) and (b) and section 115(6EB)(a) and (b) of that Act.

    (3) The following information is specified, that is to say, details of any criminal offences -

(a) of which a person has been convicted including details of any convictions which are spent within the meaning of section 1 of the Rehabilitation of Offenders (Northern Ireland) Order 1978 and which may be disclosed by virtue of the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979; or

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

    (4) In the case of a nursing agency, a statement confirming that -

(a) the documents specified in sub-paragraph (2) have been issued -


(i) in the case of any applicant, to any person who carries out, or is intending to carry out, the selection of any nurses to be supplied by the nursing agency; and

(ii) where the applicant is an organisation, to the responsible individual;



(b) the information specified in sub-paragraph (3) has been provided to the applicant in relation to any nurse who is supplied, or is intended to be supplied, by the nursing agency;

(c) the applicant will make the documents or information referred to in this sub-paragraph, available for inspection by the Regulation and Improvement Authority if that Authority so requires.

(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 or agency of the same description as the establishment or agency; 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 in the last five years, shall not apply where it is impracticable to obtain a reference from a person who fulfils that requirement.

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

(a) which has been issued to the applicant under section 113 of the Police Act 1997; and

(b) the application for which was countersigned by the Regulation and Improvement Authority,

including, where applicable, the matters specified in section 113(3EA)(a) and (b) of that Act and the following provisions, once they are in operation, namely section 113(3EC)(a) and (b) of that Act.

     12. An enhanced criminal record certificate -

(a) which has been issued to the applicant under section 115 of that Act; and

(b) the application for which was countersigned by the Regulation and Improvement Authority,

including, where applicable, the matters specified in section 115(6EA)(a) and (b) of that Act and the following provisions, once they are in operation, namely section 115(6EB)(a) and (b) of that Act.

(a) service users; and

(b) persons working at the residential care home.

     2. 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 categories listed in paragraph 6(c) of Schedule 8.

     3. If a residential care home and nursing home are to be carried on at the same site details of the composition of each according to the requirements of paragraph 2 and 3 of this Schedule.

(a) service users; and

(b) persons working at the nursing home.

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

(a) their sex;

(b) the categories listed in paragraph 6(c) of Schedule 8.

     3. If a nursing home and residential care home are to be carried on at the same site details of the composition of each according to the requirements of paragraph 1 and 2 of this Schedule.

(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 safeguarding children and promoting the health and well-being of any children accommodated.

     5. The fire precautions and emergency procedures.

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

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

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

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

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

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

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

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

(b) the full names, dates of birth and addresses of any individual who is a director, manager, secretary or other officer of an organisation and is responsible for supervising the management of the establishment or agency.

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

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

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

(a) which (if any) of the following categories of residential care home or nursing homes are applicable, each category to be indicated by reference to the following code -



Residential Care Home only	RC
Nursing Home	NH


(b) the number of service users of each sex;

(c) which (if any) of the following categories in respect of service users are applicable, each category to be indicated by reference to the following code -



Old age not falling within any other category	I
Service users who are over 65 years of age but do not fall within the category of old age	E
Dementia	DE
Mental disorder excluding learning disability or dementia	MP
Mental disorder excluding learning disability or dementia - over 65 years	MP(E)
Learning disability	LD
Learning disability - over 65 years	LD (E)
Physical disability other than sensory impairment	PH
Physical disability other than sensory impairment -     over 65 years	PH (E)
Past or present drug dependence	D
Past or present alcohol dependence	A
Terminally ill	TI
Sensory impairment	SI

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

(a) which (if any) of the following categories of children's home are applicable, each category to be indicated by reference to the following code -



Children's Home (excluding any of the following categories in this sub-paragraph)

CH


(b) the number of service users of each sex;

(c) which (if any) of the following categories in respect of service users are applicable, each category to be indicated by reference to the following code -



Children (with none of the following conditions)	X
Children with emotional or behavioural difficulties	EBD
Children with physical disabilities other than sensory impairment	PD
Children with learning disabilities	LD
Children with mental disorders, excluding learning disability	MD
Children with present drug dependence	D
Children with present alcohol dependence	A
Children with sensory impairment	SI

Registers relating to independent hospitals, independent hospitals in which treatment or nursing or both are provided for persons liable to be detained under the Mental Health (Northern Ireland) Order 1986, independent clinics and independent medical agencies
     8.

(a) In the case of the register relating to -


(i) independent hospitals, the code IH;

(ii) independent clinics, the code IC;

(iii) independent medical agencies, the code IMA.



(a) In the case of each of the registers relating respectively to independent hospitals, independent hospitals in which treatment or nursing (or both) are provided for persons liable to be detained under the Mental Health (Northern Ireland) Order 1986, independent clinics and independent medical agencies, which (if any) of the following categories in respect of service users are applicable, each category to be indicated by reference to the following code -



Acute hospitals (with overnight beds)	AH
Acute hospitals (day surgery only)	AH(DS)
Mental health treatment establishments, not including those where
people are liable to be detained	MH
Mental health establishments taking people liable to be detained	MH(D)
Hospices for adults	H(A)
Hospices for children	H(C)
Maternity hospitals/clinics	MAT
Prescribed techniques or prescribed technology: establishments using Class 3B or Class 4 lasers	PT(L)
Prescribed techniques or prescribed technology: establishments using intense light sources	PT(IL)
Prescribed techniques or prescribed technology: establishments providing dialysis	PT(DL)
Prescribed techniques or prescribed technology: establishments using endoscopy	PT(E)
Prescribed techniques or prescribed technology: establishments providing in vitro fertilisation	PT(IVF)
Prescribed techniques or prescribed technology: establishments providing hyperbaric oxygen treatment	PT(HBO)
Private doctors: walk-in medical centres	PD(M)
Private doctors (other)	PD
Private doctors: independent medical agencies	PD(IMA)

Nursing Agencies
     9. In the case of the register relating to -

(a) nurses agencies, the code NA.

Residential Care homes

Childrens Residential Care Homes

Nursing Homes

Nursing Agencies

Indepent Hospitals, Clinics and Medical Agencies

The relevant provisions of the Order in relation to other establishments and agencies will come into force at a later stage.

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

Regulations 3 and 4 of, and Schedules 1 to 8 to, these Regulations specify the information and documents that are to be provided by an applicant for registration.

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

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

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

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

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

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

Regulation 14 specifies certain grounds on which the Regulation and Improvement Authority may cancel a person's registration. Other grounds on which registration may be cancelled are specified by Article 15 of the Order.

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