Statutory Rules of Northern Ireland

(a) is an individual who carries on the agency—


(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 Regulation and Improvement Authority of the name, address and position in the organisation of an individual who is a director, manager, secretary or other officer of the organisation and is responsible for supervising the management of the agency; 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 agency;

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

    (4) A person shall not carry on an agency 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has been awarded and (in either case) he has not been discharged and the bankruptcy order has not been annulled or rescinded; or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, his 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;

(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 13 or a care review undertaken under regulation 19;

(f) that, where possible, the placement agreement names an individual who is neither a member of staff of the agency 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 20;

(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 care 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 placing 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, 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 person shall, in relation to the conduct of the agency—

(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 the work he has to perform; 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 agency, 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 agency;

(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 liability which may be incurred by him in relation to the agency in respect of death, injury, public liability, damage or other loss.

    (3) The registered person shall—

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

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

(c) supply a copy of the accounts to the Regulation and Improvement Authority at its request.

    (4) In this regulation, a company is an associated company of 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 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 care, health, welfare 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 has expired; and

(d) the person contravenes any of the provisions of the regulations mentioned in the notice.

    (3) Where the Regulation and Improvement Authority considers that the registered person has contravened 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 any of the regulations;

(b) what action in the opinion of the Regulation and Improvement Authority, the registered person should take so as to comply with any of those regulations;

(c) the period, not exceeding three months, within which the registered person should take any action; and

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

(a) where a certificate is required for a purpose which is prescribed by regulations under section 113B of the Police Act 1997 an enhanced criminal record certificate issued under that section; or

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

     3. Two written references relating to the person, including a reference from the person's present or most recent employer, if any.

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

     5. Documentary evidence of any relevant qualifications or accredited training of the person and if applicable, registration with an appropriate professional regulatory body.

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

     7. Evidence that the person is physically and mentally fit for the purposes of the work which he is to perform or, where it is impracticable for the person to obtain such evidence, a declaration signed by the person that he is so fit.

(a) where a certificate is required for a purpose which is prescribed by regulations under section 113B the Police Act 1997, an enhanced criminal record certificate issued under that section; or

(b) in any other case, a criminal record certificate issued under section 113A 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 person's present or most recent employer if any.

     5. Details of health record.

     6. Details of a check with the HSS trust 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, including where appropriate a valid driving licence.

     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 agency.

     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, address and telephone number;

(b) date of birth;

(c) sex;

(d) marital status;

(e) next of kin including address and telephone number;

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

(g) the assessment referred to in regulation 19(1);

(h) the service user's plan;

(i) the placement agreement;

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

(k) details of placing authority and contact, details, including emergency out of hours contact details.

     2. An alphabetical index of all persons working for the purposes of the agency, 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 and accredited training 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. An alphabetical index of all adult placement carers with whom the agency 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 and accredited training 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 13;

(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.

Other Records
     4. A record of—

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

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

(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 agency, or to an adult placement carer working for the purposes of the agency.