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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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CQC Notifications Policy

1. Purpose

This policy ensures that {{org_field_name}} meets its legal obligation to notify the Care Quality Commission (CQC) about specific incidents, events, and changes, in compliance with CQC Fundamental Standards, the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, and CQC (Registration) Regulations 2009. Proper notification enables CQC to monitor compliance, investigate concerns, and ensure high standards of care are maintained. By adhering to this policy, {{org_field_name}} promotes transparency, accountability, and a culture of continuous improvement.

2. Scope

This policy applies to the Registered Manager, senior management, and all staff responsible for reporting incidents that require CQC notification. It ensures that any significant events affecting the health, safety, and welfare of people we support are promptly reported. The policy applies to all regulated activities carried out at {{org_field_name}}, including residential care, nursing care, and any specialist services provided.

3. Related Policies

• Incident Reporting and Management Policy – Guides staff on how to record and manage incidents before notifying CQC.
• Safeguarding Adults from Abuse and Improper Treatment Policy (CH13) – Ensures safeguarding concerns are properly reported and escalated.
• Duty of Candour Policy (CH35) – Promotes openness and honesty when things go wrong.
• Good Governance Policy (CH04) – Ensures compliance with regulatory requirements and internal governance procedures.
• Risk Management and Assessment Policy (CH18) – Provides a framework for identifying, assessing, and mitigating risks associated with care delivery.

4. Policy Statement

{{org_field_name}} is committed to full transparency and compliance with CQC regulations by promptly reporting required incidents and changes. Notifications ensure that the regulator is kept informed of any issues affecting the safety, quality, and effectiveness of care. We maintain a robust internal reporting system to support timely and accurate CQC notifications. All staff must understand their role in identifying and reporting events that require notification to the regulator.

5. When to Notify the CQC

CQC must be notified about certain incidents, including but not limited to:

• Serious injuries to people we support, including fractures, burns, or hospitalisation.
• Deaths of people receiving care, including expected and unexpected deaths.
• Safeguarding concerns where a person is at risk of abuse, neglect, or exploitation.
• Absence of a Registered Manager lasting 28 days or more, including interim management arrangements.
• Outbreaks of infectious diseases (e.g., COVID-19, norovirus, influenza) requiring medical intervention.
• Significant equipment failures affecting care delivery, such as power outages or medical device malfunctions.
• Unauthorised absence of a person detained under the Mental Health Act requiring police involvement.
• Police involvement or criminal investigations concerning the service, staff, or people we support.
• Allegations of misconduct against a registered provider or staff member affecting service users.
• Events stopping the service from running safely, such as fire, flooding, or structural damage.

6. Responsibilities for CQC Notifications

• Registered Manager:
  • Ensures all required notifications are submitted within the required timeframe.
  • Maintains accurate records of submitted notifications and correspondence with CQC.
  • Ensures all incidents are investigated and reported correctly, taking corrective actions where necessary.
• Senior Staff and Team Leaders:
  • Must escalate incidents requiring notification to the Registered Manager immediately.
  • Ensure all relevant documentation is completed and available for audit.
  • Support staff in understanding when and how to report significant events.
• All Staff:
  • Must report incidents immediately in line with internal reporting procedures.
  • Must follow safeguarding protocols and risk assessment processes to prevent harm.
  • Cooperate fully with any investigations or follow-ups related to a CQC notification.

7. How to Submit a CQC Notification

• Notifications must be submitted via CQC’s online portal (or by email if required).
• The submission must include all relevant details, including:
  • Date, time, and location of the event.
  • Name and details of the person(s) affected, where applicable.
  • A full description of the incident and actions taken by the service.
  • Any external agencies involved (e.g., police, safeguarding teams, health professionals).
  • Follow-up measures and future risk mitigation strategies.
  • Contact details for further inquiries.
• A copy of the notification must be retained in incident records for audit and compliance purposes.

8. Reporting Timeframes

• Deaths: Must be reported without delay (within 24 hours of occurrence or discovery).
• Serious injuries: Must be reported as soon as possible, but within 24 hours.
• Safeguarding concerns: Report immediately to the local authority and CQC.
• Absence of a Registered Manager (28+ days): Notify before the absence begins, with interim arrangements clearly documented.
• Service disruptions (e.g., fires, floods, power failure): Must be reported without delay, including contingency plans.

9. Maintaining Records of Notifications

• All CQC notifications must be logged in an incident tracking system for future reference and audit purposes.
• Documentation must include:
  • A copy of the submitted notification.
  • Any correspondence with CQC, including responses and follow-ups.
  • Actions taken as a result of the notification, including risk mitigation.
• Records must be retained for at least three years to ensure regulatory compliance and future reference.

10. Staff Training and Awareness

• All staff must receive mandatory training on incident reporting and CQC notification requirements as part of their induction.
• The Registered Manager must ensure that team leaders and senior staff understand when and how to escalate reportable events.
• Regular refresher training and audits will ensure compliance with notification procedures.
• Staff must be informed of updates to CQC notification requirements and reporting best practices.

11. Policy Compliance and Continuous Improvement

• Regular internal audits will be conducted to review compliance with CQC reporting requirements and identify areas for improvement.
• Any missed or delayed notifications will be investigated to improve internal reporting systems.
• Feedback from CQC inspections will be used to enhance reporting efficiency and staff awareness.
• Learning from past notifications will be shared with staff to improve reporting culture and prevent recurring issues.

12. Policy Review This policy will be reviewed annually or sooner if changes in CQC regulations, operational needs, or service improvements require an update. Any amendments will be communicated to all relevant staff to ensure continued compliance.

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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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