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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 the statutory notification requirements set out in Regulations 12, 14, 15, 16, 17, 18, 21, 22 and 22A of the Care Quality Commission (Registration) Regulations 2009 (as amended), and following CQC’s current notifications guidance and forms/processes.

Regulation 12 requires us to maintain an accurate Statement of Purpose and keep it under review; where the Statement of Purpose is updated, we will follow CQC requirements for notifying and/or submitting updates in the required format and timescales. This policy explains how we identify, escalate, submit and evidence statutory notifications.

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 unauthorided absences and their impact should also be included if applicable.

3.3 Notification of Other Incidents (Regulation 18)​

Providers must notify CQC (without delay) of notifiable events and incidents captured by Regulation 18 and CQC notification categories, including where applicable:

• Serious injury to a person using the service.
• Allegations of abuse / safeguarding concerns, including suspected or confirmed abuse.
• Police involvement in an incident connected to the safety/welfare of a person using the service or the safe running of the service.
• Events that stop, or may stop, the service running safely and properly, including significant loss/failure of essential systems or premises issues that materially affect safe delivery of care.
• Any other event/incident that CQC expects to be notified via its statutory notifications framework and forms.
  Where a safeguarding concern is identified, we will also follow local safeguarding procedures and make referrals to the Local Authority as required.

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.

Where a registered manager (or registered individual) returns to duty following an absence of 28 days or more, we will also submit the relevant “return from absence” notification to CQC in line with CQC notification requirements and the required form/process.

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 Insolvency, liquidation, administration, receivership or trustee in bankruptcy (Regulation 22)

If our organisation becomes subject to insolvency processes (for example, the appointment of a liquidator, administrator, receiver/manager, or trustee in bankruptcy), we will notify CQC in line with Regulation 22 and CQC’s current notification process/forms.

The notification will include the details CQC requires, including the nature of the insolvency process, key dates, and the plans for continuing, varying, or ceasing regulated activities so that risks to people using the service are minimised and continuity of care is maintained.

Note: Regulation 19 (Fees) requires providers to give people clear written information about fees, contracts and terms/conditions. This is managed under our Fees/Charging information processes and is not treated as a statutory notification in this policy.

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 recognise 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

Statutory notifications must be submitted using the current CQC notification method and the CQC forms provided for that purpose, in line with Regulation 22A. We will submit notifications either:

• via the CQC Provider Portal (where that notification is available online), or
• by completing the current CQC statutory notification Word form for the relevant event/incident and submitting it using CQC’s published submission route.
  We will not use outdated forms/templates. The Registered Manager is responsible for ensuring the correct form/process is used and that the notification is complete, accurate and submitted within the required timescales.

4.3 Information governance when making notifications (privacy and identifiers)

When making a statutory notification, we will provide the detail CQC requires while minimising personal data. In most cases we will not identify a person by name; instead we will use a unique internal identifier/code so that we protect privacy and reduce unnecessary sharing of personal data. Any information shared will be limited to what is necessary, handled securely, and recorded in our incident/notification log.

4.4 Record-Keeping and Compliance Monitoring

• A detailed record of all statutory notifications and supporting evidence will be retained in line with our Record Retention Schedule and, as a minimum, for 6 years from the end of the person’s service involvement (or the date of the incident/last action, whichever is later), unless a longer period is required due to safeguarding, litigation, contractual requirements, or other lawful reasons.
• 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.

Appendix A – Statutory notifications checklist (CQC)

The Registered Manager will maintain and periodically review a checklist of CQC statutory notifications relevant to our regulated activities, aligned to CQC’s current notifications guidance. The checklist will include: the notification type, trigger/threshold, internal escalation route, responsible person, submission route (portal vs form), and evidence/recording requirements.

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