{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

---

CIW Notifications Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} complies with the Care Inspectorate Wales (CIW) notification requirements by reporting relevant incidents, changes, and significant events promptly and in line with regulatory standards. Timely and accurate notifications ensure transparency, safeguard service users, and enable CIW to monitor service quality, safety, and compliance.

This policy ensures compliance with:

• The Regulation and Inspection of Social Care (Wales) Act 2016.
• The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 (as amended), specifically:
  • Regulation 60 and Schedule 3 (notifications by the service provider); and
  • Regulation 84 and Schedule 4 (notifications by the Responsible Individual, including notifications about the appointed manager).
• CIW’s statutory guidance for care home and domiciliary suppliers (2024).
• Data Protection Act 2018 / UK GDPR (ensuring notifications are lawful, necessary and proportionate).

2. Scope

This policy applies to:

• All employees, managers, and responsible individuals at {{org_field_name}}.
• Significant incidents, safeguarding concerns, and operational changes that require notification to CIW.
• Service users, families, and external agencies affected by incidents or service changes.

It covers:

• What must be reported to CIW.
• Timeframes and reporting procedures.
• Staff responsibilities for CIW notifications.
• Confidentiality and compliance with GDPR.
• Record-keeping and audit requirements.

Definitions: In this policy, “Appointed Manager (Service Manager)” means the manager appointed to manage the regulated service. “Responsible Individual (RI)” means the person designated under section 21 of the Regulation and Inspection of Social Care (Wales) Act 2016. References to notifications reflect the provider’s duties under Regulation 60 / Schedule 3 and the RI’s duties under Regulation 84 / Schedule 4.

3. When to Notify CIW

Notifications must be made in line with:

• Regulation 60 / Schedule 3 (service provider notifications); and
• Regulation 84 / Schedule 4 (Responsible Individual notifications).

3.1 Notifications by the Service Provider (Regulation 60 – Schedule 3, Part 1)

The service provider must notify CIW of the following (as applicable to the service):

Governance / registration changes

• Any revision to the Statement of Purpose (notification is required before it takes effect).
• A change to the service provider’s name.
• Corporate/unincorporated management changes (e.g., changes to directors/trustees/management & control).
• Insolvency-related appointments (trustee in bankruptcy, receiver/manager/liquidator/provisional liquidator).
• Partnership changes (death of a partner / any change in partners) where relevant.
• Proposal to change the address of the principal office (notification is required before the change).

Responsible Individual (RI) status (provider notifications)

• Expected absence of the RI for 28 days or more.
• Unexpected absence of the RI.
• Unexpected absence of the RI for 28 days or more (where no prior notification has been given).
• Return from absence of the RI.
• RI ceases, or proposes to cease, being the RI.

Incidents and concerns (provider notifications)

• Any abuse or allegation of abuse involving the provider and/or staff/volunteers.
• Any allegation of misconduct by a member of staff.
• Any conviction of a criminal offence by the provider, RI or appointed manager (where relevant).
• Any occurrence of category 3 or 4 pressure damage or unstageable pressure damage.
• Serious accident or injury to an individual. (See 3.3 for the “serious” threshold).
• Outbreak of any infectious disease.
• Any incident reported to the police.
• Any event which prevents, or could prevent, the provider from continuing to provide the service safely.

Where accommodation is provided (may be not applicable to domiciliary support services)

• Death of an individual and the circumstances (where accommodation is provided).
• Any DoLS-related request to a supervisory body (where applicable).
• Significant premises alterations / additional premises acquisition (where applicable).

3.2 Notifications by the Responsible Individual (Regulation 84 – Schedule 4)

The Responsible Individual must notify CIW of:

• Appointment of an appointed manager.
• Expected absence of the appointed manager for 28 days+ (prior notification required).
• Unexpected absence of the appointed manager (notification required).
• Unexpected absence for 28 days+ where no prior notification has been given.
• Return from absence of the appointed manager and any interim management arrangements.
• Someone other than the appointed manager is managing / proposes to manage the service, or the appointed manager ceases/proposes to cease.

3.3 What counts as “serious accident or injury” (notification threshold)

For the purpose of notification, an accident or injury is treated as “serious” where, in the reasonable opinion of a health care professional, it requires treatment and has or may have resulted in outcomes such as long-lasting impairment, structural changes, prolonged pain/psychological harm, or death/shortening of life expectancy.

3.4 “Unable to provide the service safely” – examples

This includes (but is not limited to) serious staffing shortfalls, significant disruption to the operational base, or other failures that could prevent safe delivery of care and support (for example, loss of critical systems used to coordinate visits).

4. Timeframes for Reporting to CIW

Unless a specific timescale is stated, notifications must be made without delay and in writing, in the form and manner required by CIW (normally this means as soon as possible and usually within 24 hours of the event/issue being identified).

Specific statutory timescales include:

• Statement of Purpose revision: notify CIW 28 days prior to the revised statement taking effect.
• Principal office address change: notify CIW 28 days prior to the change.
• Expected absence of RI (28 days+): notify CIW 7 days prior to the absence starting.
• Unexpected absence of RI: notify CIW no later than 7 days after the absence starts.
• Unexpected RI absence reaches 28 days+ with no prior notice: notify CIW immediately on the expiry of 28 days following the start of the absence.
• Return from RI absence: notify CIW without delay when the RI returns.
• Appointed manager notifications (RI duties): apply the same 7-day/28-day/return pattern as set out in Schedule 4.

Infectious disease outbreaks: notify CIW without delay once identified as an outbreak (do not wait for external confirmation if that would create delay).

5. How to Submit a CIW Notification

5.1 Online Notification Portal

Notifications must be submitted using CIW Online (unless CIW explicitly agrees an alternative route). Care Inspectorate Wales

The Responsible Individual may delegate notification submission to designated CIW Online assistants, but remains accountable for ensuring notifications are accurate and submitted on time. Care Inspectorate Wales

5.2 Completing a Notification Form

Each notification must include:

1. Details of the event or incident (date, time, location).
2. Impact on service users and staff.
3. Actions taken and support provided.
4. External agencies involved (e.g., Local Authority Safeguarding, Police).
5. Preventative measures to avoid recurrence.

5.3 Emergency Situations

• If an event poses immediate risk to service users, CIW must be notified by phone first, followed by an online submission.
  CIW Contact Number for Urgent Notifications: 0300 790 0126

6. Staff Responsibilities for CIW Notifications

6.1 Appointed Manager (Service Manager) Responsibilities

• Ensures compliance with CIW notification requirements.
• Submits all relevant notifications within required timeframes.
• Liaises with external agencies and service users when necessary.
• Reviews incidents and implements improvements to prevent recurrence.

6.2 Care Staff Responsibilities

• Immediately report any incidents or concerns that may require a CIW notification.
• Accurately document events in incident reports.
• Follow safeguarding and emergency procedures if required.

6.3 Responsible Individual Responsibilities

• Monitors overall compliance with CIW regulations.
• Reviews and signs off notifications for submission.
• Ensures action plans are in place for improvement.

7. Confidentiality and Compliance with GDPR

• Personal information must be anonymised where possible in notifications to CIW.
• Only relevant and necessary details should be shared.
• All CIW notifications must comply with GDPR and the Confidentiality and Data Protection Policy (DCW34).

8. Record-Keeping and Audits

• A record of all CIW notifications must be maintained for inspection.
• Incident logs must be regularly reviewed to identify trends and risks.
• Annual audits will assess compliance with notification requirements.

9. Monitoring and Compliance

• The Appointed Manager (Service Manager) is responsible for monitoring CIW notification processes.
• Quarterly compliance checks will ensure that notifications are submitted correctly.
• Service audits and CIW inspections will assess how notifications are managed.

10. Related Policies

This policy should be read in conjunction with:

• Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13).
• Incident Reporting and Investigation Policy (DCW22).
• Confidentiality and Data Protection (GDPR) Policy (DCW34).
• Emergency and Business Continuity Plan (DCW19).
• Medication Management and Administration Policy (DCW21).

11. Policy Review

This policy will be reviewed annually or sooner if required by legislative changes, CIW regulations, or operational needs.

---

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}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.