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Registration Number: {{org_field_registration_no}}

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CQC Notifications Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} complies with the Care Inspectorate Wales (CIW) notification requirements by reporting relevant incidents, changes, and significant events promptly and in line with regulatory standards. Timely and accurate notifications ensure transparency, safeguard service users, and enable CIW to monitor service quality, safety, and compliance.

This policy ensures compliance with:

• The Regulation and Inspection of Social Care (Wales) Act 2016 – Mandates that service providers report notifiable events to CIW.
• The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 – Sets out legal requirements for reporting incidents and changes.
• Care Inspectorate Wales (CIW) Guidance – Specifies the types of incidents and service changes that must be reported.
• The Data Protection Act 2018 (UK GDPR) – Ensures that all notifications comply with data protection regulations.

2. Scope

This policy applies to:

• All employees, managers, and responsible individuals at {{org_field_name}}.
• Significant incidents, safeguarding concerns, and operational changes that require notification to CIW.
• Service users, families, and external agencies affected by incidents or service changes.

It covers:

• What must be reported to CIW.
• Timeframes and reporting procedures.
• Staff responsibilities for CIW notifications.
• Confidentiality and compliance with GDPR.
• Record-keeping and audit requirements.

3. When to Notify CIW

CIW must be notified about significant incidents or changes that may impact service users, staff, or service operations. The following events must be reported:

3.1 Incidents Affecting Service Users

• Deaths of service users (including cause and circumstances).
• Serious injuries (fractures, burns, significant bruising, or hospitalisation).
• Allegations of abuse or neglect (whether proven or under investigation).
• Medication errors leading to harm.
• Significant safeguarding concerns reported to the local authority.
• Service user missing from care.

3.2 Operational and Staffing Changes

• Changes to the Responsible Individual (RI) or Registered Manager.
• Serious staff misconduct affecting service delivery.
• Changes in the legal entity of the provider (ownership, structure).
• Closure or temporary suspension of the service.

3.3 Health and Safety Incidents

• Serious accidents on the premises (falls, fire incidents, or environmental hazards).
• Outbreaks of infectious diseases (COVID-19, norovirus, flu).
• Structural or maintenance failures affecting safety.

3.4 Data Breaches and Confidentiality Issues

• Serious breaches of confidentiality that affect service users.
• Loss or unauthorised disclosure of sensitive service user information.

4. Timeframes for Reporting to CIW

It is essential that CIW is notified promptly of any significant incidents. The required timeframes are:

• Deaths, serious injuries, and safeguarding concerns – Notify CIW within 24 hours of becoming aware.
• Changes to Registered Manager or Responsible Individual – Notify CIW within 14 days of the change.
• Infectious disease outbreaks – Notify CIW as soon as confirmed by Public Health Wales.
• Service closures or operational changes – Notify CIW as soon as a decision is made.

5. How to Submit a CIW Notification

5.1 Online Notification Portal

• CIW notifications must be submitted via the CIW Online Portal:
  📌 CIW Online Notifications: https://careinspectorate.wales
• The Registered Manager or Responsible Individual is responsible for submitting notifications.

5.2 Completing a Notification Form

Each notification must include:

1. Details of the event or incident (date, time, location).
2. Impact on service users and staff.
3. Actions taken and support provided.
4. External agencies involved (e.g., Local Authority Safeguarding, Police).
5. Preventative measures to avoid recurrence.

5.3 Emergency Situations

• If an event poses immediate risk to service users, CIW must be notified by phone first, followed by an online submission.
  📌 CIW Contact Number for Urgent Notifications: 0300 790 0126

6. Staff Responsibilities for CIW Notifications

6.1 Registered Manager Responsibilities

• Ensures compliance with CIW notification requirements.
• Submits all relevant notifications within required timeframes.
• Liaises with external agencies and service users when necessary.
• Reviews incidents and implements improvements to prevent recurrence.

6.2 Care Staff Responsibilities

• Immediately report any incidents or concerns that may require a CIW notification.
• Accurately document events in incident reports.
• Follow safeguarding and emergency procedures if required.

6.3 Responsible Individual Responsibilities

• Monitors overall compliance with CIW regulations.
• Reviews and signs off notifications for submission.
• Ensures action plans are in place for improvement.

7. Confidentiality and Compliance with GDPR

• Personal information must be anonymised where possible in notifications to CIW.
• Only relevant and necessary details should be shared.
• All CIW notifications must comply with GDPR and the Confidentiality and Data Protection Policy (DCW34).

8. Record-Keeping and Audits

• A record of all CIW notifications must be maintained for inspection.
• Incident logs must be regularly reviewed to identify trends and risks.
• Annual audits will assess compliance with notification requirements.

9. Monitoring and Compliance

• The Registered Manager is responsible for monitoring CIW notification processes.
• Quarterly compliance checks will ensure that notifications are submitted correctly.
• Service audits and CIW inspections will assess how notifications are managed.

10. Related Policies

This policy should be read in conjunction with:

• Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13).
• Incident Reporting and Investigation Policy (DCW22).
• Confidentiality and Data Protection (GDPR) Policy (DCW34).
• Emergency and Business Continuity Plan (DCW19).
• Medication Management and Administration Policy (DCW21).

11. Policy Review

This policy will be reviewed annually or sooner if required by legislative changes, CIW regulations, or operational needs.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
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