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CIW Notifications Policy (Wales)

1. Purpose

This policy sets out how {{org_field_name}} meets its legal duty to notify Care Inspectorate Wales (CIW) about specified events and changes. It explains what must be reported, how quickly notifications must be made, who is responsible, and how we use learning from incidents to improve safety and quality. It is written for all staff so that notifications are handled promptly, consistently, and professionally in line with the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 and the associated Statutory Guidance. Notifications are made without delay (usually within 24 hours) through CIW Online, unless a regulation sets a different advance timescale.

2. Scope

This policy applies to everyone who works for {{org_field_name}} (including agency and temporary staff), the Responsible Individual (RI), the Registered Manager (RM), and any appointed managers. It also guides how we liaise with external bodies (local authorities, health boards, police) where Welsh law requires parallel notifications.

3. Legal framework (Wales)

• Regulation and Inspection of Social Care (Wales) Act 2016 (RISCA) and the 2017 Regulations, including Regulation 60 (Notifications) and Schedule 3 which lists events that must be notified to CIW.
• CIW Statutory Guidance for Service Providers and Responsible Individuals (current consolidated version).

4. Principles we follow

1. We notify without delay and always in writing via CIW Online; CIW’s guidance indicates this is usually within 24 hours of the event. 2) We give clear, factual detail about what happened, immediate actions taken, who else has been informed, and the plan to reduce risk. 3) We keep complete records to evidence compliance and learning.

5. What we must notify to CIW (summary of Schedule 3)

The following applies to all regulated services; items marked “accommodation only” apply where the service provides accommodation (e.g., care homes). We keep the full Schedule 3 checklist with our incident pack and use it for every notification.

5.1 Safety, safeguarding and health events

• Abuse or allegation of abuse involving the provider, a staff member or volunteer; and any incident reported to the police.
• Serious accident or injury to a person using the service (as interpreted in the Guidance—i.e., requiring health-care treatment and resulting in or risking lasting harm).
• Outbreaks of infectious disease.
• Category 3 or 4 pressure damage or unstageable pressure damage.
• Events that prevent or could prevent safe service delivery, e.g., prolonged utility outages (>24 hours), serious staffing shortfalls, significant premises damage, heating or fire safety system failure (>24 hours).
• Deaths (accommodation only): the death of an individual and the circumstances.
• DoLS: any request to a supervisory body for a deprivation of liberty authorisation.

5.2 Governance, people and premises

• Changes to the statement of purpose (advance notice required—see Section 6).
• Changes to the service provider’s name, directors, partners, or corporate insolvency events.
• RI absences (expected and unexpected) and the RI’s return from absence.
• The RI ceasing (or proposing to cease) as RI.
• Allegations of staff misconduct and criminal convictions of the provider/RI/appointed manager.
• Premises changes (significant alterations/extensions), and acquisition of additional premises.
• Change of principal office address (advance notice).

5.3 Where the service provides accommodation to children

There are additional notifications to CIW and, in some circumstances, to the placing authority, local authority where the home is situated, the police, and the local health board (e.g., CSE concerns, missing children episodes, child protection enquiries). {{org_field_name}} will apply these only if we provide such services.

Note: Schedule 3 is the definitive list. This policy summarises it for usability and must be read alongside the statutory wording.

6. Timeframes and method

• “Without delay” (usually within 24 hours): applies to most incidents in Schedule 3 (e.g., abuse allegations, serious injuries, infectious disease outbreaks, police-reported incidents, service-disrupting events). Submit via CIW Online.
• Advance notifications:
  • Statement of purpose revisions: notify 28 days before changes take effect.
  • Expected RI absence of 28+ days: notify 7 days before the absence; notify return from absence.
  • Change of principal office address: notify 28 days before the change.
    All notifications are in writing, in the form and manner required by CIW.

7. Roles and responsibilities

• Responsible Individual (RI): assures compliance with Regulation 60; ensures notifications are submitted correctly and on time; checks that parallel duties (e.g., safeguarding referrals) are met; oversees corrective actions and learning.
• Registered Manager (RM): leads incident assessment, decides with the RI whether the event is notifiable, prepares and submits the CIW notification via CIW Online, and keeps accurate records.
• Senior staff/shift leaders: recognise notifiable events, make the area safe, inform the RM immediately, preserve evidence, and support factual documentation.
• All staff: report concerns at once, complete contemporaneous notes, and cooperate with investigations and learning.

8. Procedure we follow

1. Make safe / respond to the person’s needs. Call emergency services if required, inform family/representatives as appropriate.
2. Escalate immediately to the RM/RI (or on-call manager) for triage against Schedule 3 thresholds.
3. Notify CIW via CIW Online without delay (usually within 24 hours). Where other bodies must be notified (e.g., local authority safeguarding, police, health board for specified children’s services), the RM ensures these are made and cross-referenced in the CIW notification.
4. Record-keeping: file the submitted notification, acknowledgement, and supporting evidence (witness statements, body maps, MAR extracts, care notes, risk assessments, photos where appropriate). Retain and secure records in line with Regulation 59 and data protection law.
5. Review and learn: complete an incident review, identify root causes and actions (training, supervision, policy updates, environmental fixes), and track actions in the Quality of Care Review.

9. Parallel duties (examples)

• Safeguarding: make referrals to the local authority under the Social Services and Well-being (Wales) Act 2014 where thresholds are met; record decisions and outcomes.
• Infectious diseases: follow current Welsh public health guidance and notify CIW of outbreaks per Schedule 3.

10. Monitoring compliance and evidence for inspection

We audit notifications quarterly to check timeliness, completeness, and learning. For inspection readiness we keep: the notifications log; incident and safeguarding logs; investigation outcomes; action plans; and evidence of team briefings and supervision reflecting learning. CIW may review these as part of its inspection and oversight.

11. Related policies

• CHW13 – Safeguarding Adults from Abuse and Improper Treatment
• CHW14 – Receiving and Acting on Complaints
• CHW25 – Notification of Other Incidents
• CHW31 – Disciplinary and Grievance
• CHW04 – Good Governance; CHW05 – Statement of Purpose; CHW11 – Safe Care and Treatment

12. Review

This policy is reviewed annually, and sooner if CIW updates guidance, Welsh law changes, or service learning indicates improvements are needed. Revisions are shared with staff through supervision and team meetings.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
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