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Statutory Notifications Policy

1. Purpose and Scope

This policy outlines our domiciliary care service’s responsibilities regarding statutory notifications to the Care Quality Commission (CQC), ensuring full compliance with CQC regulations. Statutory notifications are essential for transparency, safety, and regulatory compliance, allowing CQC to monitor serious incidents, safeguarding concerns, changes in service provision, and other key events that impact care quality.

Failure to notify CQC of certain events may result in enforcement action. Our service must maintain efficient reporting systems to ensure timely, accurate, and complete notifications while ensuring that care remains safe, responsive, and well-led.

2. Responsibilities of the Care Provider

As a domiciliary care provider, we are legally obligated to notify CQC of specific incidents as outlined in the Care Quality Commission (Registration) Regulations 2009. Our responsibilities include:

• Identifying which incidents require notification to CQC.
• Ensuring timely and accurate submission of notifications.
• Keeping detailed records of all reportable incidents.
• Providing training and guidance to staff on when and how to report incidents.
• Complying with CQC Regulations 14-23, which cover various notification requirements.

To remain compliant with Regulation 12 (Statement of Purpose), our policies must reflect how statutory notifications are managed within our service.

3. Types of Statutory Notifications

3.1 Notification of Deaths (Regulation 16)

All deaths of service users that occur while receiving care or that may be linked to care provision must be reported to CQC without delay.

• The notification must include circumstances of the death and any contributory factors.
• If the death occurred under suspicious or unexpected circumstances, additional safeguarding referrals may be required.

3.2 Notification of Deaths of Detained Service Users (Regulation 17)

If a service user is detained or liable to be detained under the Mental Health Act 1983, any death must be reported immediately.

• Notifications must be made regardless of where the death occurs.
• Full details of unauthorized absences and their impact should also be included if applicable.

3.3 Notification of Other Incidents (Regulation 18)

Providers must report incidents that:

• Injure a service user, resulting in a significant impairment, pain, or harm.
• Require emergency medical treatment to prevent death or serious injury.
• Involve safeguarding concerns, abuse, or allegations of abuse.
• Lead to a service user’s hospitalization or serious deterioration in health.
• Disrupt service provision, such as fires, power failures, or safety system failures lasting over 24 hours.
• Result in police involvement, including missing persons or criminal activity related to care.

3.4 Notification of Absence of a Registered Manager (Regulation 14)

• If a registered manager is absent for 28 days or more, CQC must be informed.
• The notification must outline how the service will be managed in their absence, including temporary managerial arrangements.

3.5 Notification of Changes to the Service (Regulation 15)

Providers must notify CQC of any significant changes to service provision, including:

• Changes to legal status, name, or address of the provider.
• Closure of the service or any financial insolvency issues.
• Changes in ownership, directors, or senior management.

3.6 Notification of Fees and Financial Position (Regulation 19)

• Any financial changes that impact care delivery must be reported to CQC.
• If service users are unable to continue receiving care due to financial difficulties, this must be disclosed to ensure alternative arrangements can be made.

3.7 Notification of the Death of a Service Provider (Regulation 21)

If a sole service provider dies, the personal representative must notify CQC in writing:

• Immediately upon death of the provider.
• Within 28 days regarding future intentions for the service.

4. Efficient Management of Statutory Notifications

4.1 Identifying and Logging Notifiable Incidents

• All staff must be trained to recognize incidents that require statutory notifications.
• A central incident log will be maintained for all notifiable events.
• The registered manager must be informed immediately about any serious incidents.

4.2 Submitting Notifications to CQC

• Notifications must be submitted electronically via the CQC portal or by email if necessary.
• All submissions must be accurate, detailed, and submitted within required timeframes.
• The registered manager is responsible for overseeing all statutory notifications.

4.3 Record-Keeping and Compliance Monitoring

• A detailed record of all statutory notifications must be kept for at least three years.
• Records should include incident details, actions taken, and outcomes.
• Compliance will be monitored through internal audits to ensure adherence to CQC requirements.

5. Staff Responsibilities

5.1 Care Workers

• Report any notifiable incidents to management immediately.
• Follow correct documentation procedures for recording incidents.
• Cooperate with investigations and safeguarding processes when required.

5.2 Registered Manager

• Ensure all statutory notifications are submitted on time.
• Maintain accurate records of all reported incidents.
• Liaise with CQC, local authorities, and safeguarding teams where necessary.
• Train and support staff in understanding when and how to report incidents.

6. Reporting and Compliance with CQC Regulations

6.1 Compliance with CQC Statutory Notification Requirements

To ensure compliance with CQC requirements, we must:

• Maintain a clear Statement of Purpose under Regulation 12 (Statement of Purpose), outlining how statutory notifications are managed.
• Notify CQC of serious incidents under Regulation 18 (Notification of Other Incidents).
• Ensure accurate and timely reporting of staffing absences as required under Regulation 14 (Notice of Absence).
• Maintain financial viability and report any issues under Regulation 13 (Financial Position).
• Keep CQC informed of any major operational changes under Regulation 15 (Notice of Changes).

6.2 Internal Monitoring and Audit

• Monthly compliance checks will be carried out on all reported notifications.
• Staff will receive regular refresher training on statutory notification procedures.
• Any missed or delayed notifications will be investigated and reported to senior management.

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