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CQC Notifications Policy

1. Purpose and Scope

The purpose of this CQC Notifications Policy is to ensure that our domiciliary care company adheres to the Care Quality Commission’s (CQC) requirements for reporting specific incidents, events, and changes as outlined in Regulation 18 of the Care Quality Commission (Registration) Regulations 2009. This policy provides clear guidance on what must be reported, the timelines for reporting, and the responsibilities of staff involved in the notification process.

This policy applies to all employees, including care workers, managers, and administrative staff, involved in the provision of domiciliary care services. It covers all aspects of CQC notifications, including safeguarding incidents, serious injuries, deaths, changes in service, and other significant events.

2. Policy Statement

Our domiciliary care company is committed to:

• Ensuring full compliance with CQC notification requirements.
• Promoting a culture of transparency, accountability, and safety.
• Responding promptly and accurately to incidents requiring notification.
• Protecting the well-being and rights of service users through effective reporting.
• Maintaining comprehensive records of all notifications submitted.

We believe that timely and accurate notifications contribute to service improvement, safeguarding, and adherence to regulatory standards.

3. Legal and Regulatory Framework

This policy aligns with the following legislation and guidelines:

• Care Quality Commission (Registration) Regulations 2009 (Regulation 18)
• Health and Social Care Act 2008
• Data Protection Act 2018 (GDPR)
• Care Act 2014
• Safeguarding Vulnerable Adults and Children Guidelines
• CQC Fundamental Standards

Compliance with these regulations ensures that our organisation remains accountable and responsive to incidents impacting service users and care delivery.

4. Types of CQC Notifications

CQC requires providers to submit notifications for specific incidents and changes. These include:

4.1 Death of a Service User:

• Any death of a service user receiving care must be reported to CQC without delay.
• The notification must include the service user’s details, date and place of death, cause (if known), and any contributing factors.
• If the death is unexpected or suspicious, staff must follow safeguarding and incident management procedures alongside the notification.

4.2 Serious Injuries:

• Any injury requiring medical treatment, including fractures, burns, or head injuries, must be reported.
• Notifications must detail the nature of the injury, how it occurred, the treatment provided, and any ongoing risks.

4.3 Allegations of Abuse or Safeguarding Concerns:

• All allegations, suspicions, or incidents of abuse (physical, emotional, financial, or neglect) must be reported.
• Notifications must include the nature of the concern, action taken, and involvement of safeguarding authorities.

4.4 Incidents Affecting Service Delivery:

• Events that disrupt service delivery, such as power failures, IT system breaches, or staff shortages, must be reported.
• The notification should include the nature, duration, and impact of the disruption.

4.5 Police Involvement:

• Any incident requiring police intervention, including theft, violence, or safeguarding issues, must be reported.
• Details should include the reason for police involvement and the outcome of the incident.

4.6 Absence of a Registered Manager:

• If the registered manager is absent for more than 28 days, CQC must be notified, along with details of interim management arrangements.

4.7 Changes in Registration Details:

• Changes to the registered provider, premises, or service capacity must be reported promptly.

5. Responsibilities and Reporting Procedures

5.1 Management Responsibilities:

• The Registered Manager is responsible for ensuring all notifiable incidents are reported to CQC.
• Managers must oversee incident investigations, gather necessary information, and complete notifications accurately.

5.2 Staff Responsibilities:

• All staff members must report incidents requiring notification to the Registered Manager immediately.
• Staff should document incidents thoroughly and cooperate with investigations.

5.3 Notification Submission:

• Notifications must be submitted via the CQC Provider Portal.
• Urgent incidents, such as deaths or safeguarding concerns, should be reported within 24 hours.
• Routine notifications, such as changes in management, should be submitted within 48 hours.

6. Incident Recording and Documentation

Accurate documentation supports effective reporting and continuous improvement. Staff must:

• Complete incident forms immediately after an event.
• Record service user details, date, time, location, and nature of the incident.
• Include witness statements, risk assessments, and care plan updates.
• Maintain secure, confidential records in accordance with GDPR requirements.

7. Safeguarding and Duty of Candour

Our company prioritises safeguarding and open communication. In cases involving abuse or neglect:

• Immediate action is taken to protect the service user and others at risk.
• Local safeguarding authorities and CQC are notified without delay.
• Families and advocates are informed, respecting the service user’s wishes and privacy.

8. Training and Staff Competency

All staff receive comprehensive training on:

• Recognising notifiable incidents.
• Incident reporting procedures.
• Safeguarding and the Duty of Candour.
• Data protection and confidentiality.

Training is refreshed annually, and competency is assessed through supervision, audits, and feedback.

9. Monitoring and Quality Assurance

To ensure compliance with CQC notification requirements:

• The Registered Manager conducts monthly audits of incident reports and notifications.
• Incident trends are analysed to identify risks and implement preventive measures.
• Findings are shared with staff during team meetings and used for continuous improvement.

10. Communication and Stakeholder Engagement

Effective communication ensures stakeholders remain informed and involved. This includes:

• Notifying service users and families of incidents affecting their care.
• Engaging with healthcare providers and safeguarding authorities.
• Providing updates on incident investigations and outcomes.

11. Complaints and Whistleblowing

If staff or service users believe an incident has not been properly reported:

• They should raise concerns with the Registered Manager.
• Whistleblowing channels are available for confidential reporting.
• All complaints are investigated, and outcomes are communicated.

12. Data Protection and Confidentiality

All notification-related data is handled in accordance with GDPR:

• Personal information is stored securely and accessed only by authorised personnel.
• Notifications are submitted using encrypted platforms, such as the CQC Provider Portal.
• Data breaches are reported immediately, and corrective actions are taken.

13. Continuous Improvement and Policy Review

We are committed to continuous improvement through:

• Regular policy reviews, incorporating CQC guidance and best practices.
• Feedback from service users, staff, and external audits.
• Lessons learned from incidents and near misses.

14. Policy Review

This policy is reviewed annually or sooner if legislative changes or incident trends indicate the need for updates.

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