Statutory Rules of Northern Ireland

"the Order" means the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003;

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

(a) is an individual who carries on the day care setting—


(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 day care setting; 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 day care setting; 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 day care setting 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has been awarded and (in either case) he has not been discharged and the bankruptcy order has not been annulled or rescinded; or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) to promote and make proper provision for the care and welfare of service users;

(b) to make proper provision for the supervision of service users.

    (2) The registered person shall so far as practicable enable service users or their representatives to make decisions with respect to the care they are to receive.

    (3) The registered person shall, for the purpose of providing care to service users, so far as practicable, ascertain and take into account their wishes and feelings.

    (4) Subject to paragraph (5), the registered person shall make suitable arrangements where necessary for the handling, safe keeping, safe administration and disposal of medicines used in the day care setting to ensure that—

(a) any medicine which is kept in a day care setting is stored in a secure place;

(b) medicine which is prescribed is administered as prescribed to the service user for whom it is prescribed, and to no other service user; and

(c) a written record is kept of the administration of any medicine to a service user.

    (5) Paragraph (4) does not apply to medicine which—

(a) is stored by the individual for whom it is provided in such a way that others are prevented from using it; and

(b) may be safely self-administered by that individual.

    (6) In this regulation, "prescribed" means—

(a) the physical design and layout of the premises to be used as the day care setting meets the needs of the service users;

(b) the premises to be used as the day care setting are of sound construction and kept in a good state of repair externally and internally;

(c) equipment provided in the day care setting for use by service users or persons who work in the day care setting is in good working order, properly maintained in accordance with the manufacturer's guidance, and suitable for the purpose for which it is to be used;

(d) all parts of the day care setting are kept clean and reasonably decorated;

(e) the size and layout of rooms used by service users are suitable for their needs;

(f) there is adequate seating, recreational and, where appropriate, dining space;

(g) there are provided at appropriate places in the premises sufficient numbers of lavatories and washing facilities fitted with a hot and cold water supply;

(h) any necessary sluicing facilities are provided;

(i) there is suitable storage provision for the purposes of the day care setting;

(j) suitable adaptations are made, and such support, equipment and facilities, including passenger lifts, as may reasonably be required are provided to meet the needs of service users;

(k) ventilation, heating, cooling and lighting suitable for service users is provided in all parts of the day care setting which are used by service users;

(l) the engineering services are maintained in good working order;

(m) any vehicle used by the day care setting for transporting service users is suitable for that purpose and maintained in good working order; and

(n) a risk assessment to manage health and safety is carried out and updated when necessary.

    (3) The registered person shall, having regard for the number of persons employed and the duties they undertake provide, where appropriate, suitable facilities for staff.

    (4) The registered person shall—

(a) have in place a current written risk assessment and fire management plan which is revised and actioned when necessary or whenever the fire risk has changed;

(b) take adequate precautions against the risk of fire, including the provision of suitable fire equipment;

(c) provide adequate means of escape;

(d) make adequate arrangements—


(i) for detecting, containing and extinguishing fires;

(ii) for giving warnings of fires;

(iii) for the evacuation, in the event of fire, of all persons in the day care setting and safe placement of service users;

(iv) for the maintenance of all fire equipment; and

(v) for reviewing fire precautions, and testing fire equipment, at suitable intervals;



(e) make arrangements for persons employed in the day care setting to receive suitable training from a competent person in fire prevention; and

(f) ensure, by means of fire drills and practices at suitable intervals, that the persons employed in the day care setting and, so far as practicable, service users, are aware of the procedure to be followed in case of fire, including the procedure for saving life.

(a) the annual accounts of the day care setting 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 day care setting;

(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 day care setting 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 day care setting and kept up to date;

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

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

(a) the death of any service user in the day care setting, including the circumstances of his death;

(b) the outbreak in the day care setting of any infectious disease which in the opinion of any general medical practitioner is sufficiently serious to be so notified;

(c) any serious injury to a service user in the day care setting;

(d) any event in the day care setting which adversely affects the wellbeing or safety of any service user;

(e) any theft or burglary in the day care setting;

(f) any accident in the day care setting;

(g) any allegation of misconduct by the registered person or any person who works in the day care setting.

(a) the assessment of needs referred to in regulation 15(1)(a);

(b) the service user's plan referred to in regulation 16(1).

     2. A recent photograph of the service user.

     3. A record of the following matters in respect of each service user—

(a) the name, address, date of birth and marital status of each service user;

(b) the name, address and telephone number of the service user's next of kin or of any person authorised to act on his behalf;

(c) the name, address and telephone number of the service user's general medical practitioner and of any officer of a HSS trust whose duty it is to supervise the welfare of the service user;

(d) the date on which the service user commenced attendance at the day care setting;

(e) the date on which the service user ceased to attend the day care setting;

(f) if the service user transfers to another day care setting, the name of the day care setting and the date on which the service user transfers;

(g) if the service user died in the day care setting, the date and time of death;

(h) the name and address of any HSS trust, organisation or other body which arranged the service user's attendance in the day care setting;

(i) a record of all medicines brought into the day care setting for the service user, and the date on which they were administered to the service user;

(j) a record of any accident affecting the service user in the day care setting and of any other incident in the day care setting which is detrimental to the health or welfare of the service user including the nature, date and time of the accident or incident, whether medical treatment was required and the name of the persons who were respectively in charge of the day care setting and supervising the service user;

(k) details of any specialist communications needs of the service user and methods of communication that may be appropriate to the service user;

(l) details of any healthcare plan relating to the service user in respect of medication, specialist health care provision or nutrition;

(m) a record of falls and of treatment provided to the service user;

(n) a record of any restraint used in relation to the service user;

(o) a record of any limitations agreed with the service user or his representative as to the service user's freedom of choice, liberty of movement and power to make decisions.

     4. A copy of correspondence relating to each service user.

(a) his full name, address, date of birth, qualifications, experience and if applicable, confirmation of his registration status with an appropriate professional regulatory body;

(b) a copy of his birth certificate and passport (if any);

(c) a copy of each reference obtained in respect of him;

(d) the dates on which he commences and ceases to be so employed;

(e) the position he holds in the day care setting, the work that he performs and the number of hours for which he is employed each week;

(f) correspondence, reports, records of disciplinary action and any other records in relation to his employment including the recruitment process under which he was appointed;

(g) the training and development activities completed by him.

     7. A copy of the duty roster of persons working in the day care setting, and a record of whether the roster was actually worked.

     8. Where applicable, a record of the day care setting's charges to service users, including any extra amounts payable for additional services not covered by those charges, and the amounts paid by or in respect of each service user.

     9. A record of all complaints made by service users or representatives or relatives of service users or by persons working in the day care setting about the operation of the day care setting, and the action taken by the registered person in respect of any such complaint.

     10. A record of any of the following events that occur in the day care setting—

(a) any accident;

(b) any incident which is detrimental to the health or welfare of a service user, including the outbreak of infectious disease in the day care setting;

(c) any injury or serious illness;

(d) any fire;

(e) except where a record to which paragraph 12 refers is to be made, any occasion on which the fire alarm equipment is operated;

(f) any theft or burglary.

     11. Records of the food provided for service users in sufficient detail to enable any person inspecting the record to determine whether the diet is satisfactory, in relation to nutrition and otherwise, and of any special diets prepared for individual service users.

     12. A record of every fire practice, drill or test of fire equipment (including fire alarm equipment) conducted in the day care setting and of any action taken to remedy defects in the fire equipment.

     13. A statement of the procedure to be followed in the event of a fire, or where a fire alarm is activated.

     14. A statement of the procedure to be followed in the event of accidents or in the event of a service user becoming missing.

     15. A record of charges made to service users for transport and the amounts paid by or in respect of each service user.

     16. A record of the programme of events and activities that includes the name of the person leading the activity and the names of those who participated.

     17. A record of all staff meetings held and the names of all those attending.

     18. A record of training undertaken as referred to in regulation 20(1)(c)(i).

     19. A record of all visitors to the day care setting, including the names of all visitors.