SL70-CQC Notifications Policy

Registration Number: {{org_field_registration_no}}

CQC Notifications Policy

1. Purpose

At {{org_field_name}}, we are committed to ensuring compliance with Care Quality Commission (CQC) regulations by promptly and accurately reporting notifiable incidents. This policy outlines our procedures for notifying the CQC about significant events that may affect the well-being, safety, or quality of care provided to individuals we support.

This policy aligns with Regulation 16 – Receiving and Acting on Complaints, Regulation 18 – Notification of Other Incidents, Regulation 17 – Good Governance, and the CQC’s Statutory Notification Guidance under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014.

2. Scope

This policy applies to all staff, management, and designated responsible persons within our Supported Living service. It covers the types of incidents that must be reported, the process for submitting notifications, and the timeframes for compliance with CQC requirements.

3. Related Policies

SL12 – Safe Care and Treatment Policy
SL07 – Person-Centred Care Policy
SL13 – Safeguarding Adults from Abuse and Improper Treatment Policy
SL16 – Infection Prevention and Control Policy
SL21 – Medication Management and Administration Policy
SL34 – Confidentiality and Data Protection (GDPR) Policy
SL42 – Communication and Engagement with Service Users and Families Policy

4. Notifiable Incidents to CQC

The following incidents must be reported to the CQC without delay:

4.1 Death of an Individual Receiving Support

Any death that occurs on the premises, during care provision, or shortly after discharge from care must be reported.
The Registered Manager must submit the Notification of Death (Form NOD) to the CQC within 24 hours.
A full incident review must be conducted, and findings recorded.

4.2 Serious Injuries

Any injury resulting in hospitalisation, fractures, burns, significant blood loss, or long-term impairment must be reported.
Immediate actions must be taken to assess and manage risks.
A Notification of Serious Injury (Form NSI) must be submitted within 48 hours.

4.3 Safeguarding Concerns and Allegations of Abuse

Any safeguarding incidents involving neglect, physical, sexual, emotional, or financial abuse must be reported to the Local Authority Safeguarding Team and CQC.
A Notification of Abuse or Allegation (Form NOA) must be completed within 24 hours.
Internal investigations must be fully documented and reviewed.

4.4 Outbreaks of Infectious Diseases

Confirmed or suspected outbreaks of diseases such as COVID-19, Clostridium Difficile (C. diff), norovirus, flu, or MRSA must be reported.
The Registered Manager must notify the CQC and follow Public Health England (PHE) infection control protocols.
Reports must include:
- Number of affected individuals
- Control measures implemented
- Ongoing risk assessments

4.5 Incidents Affecting Business Continuity

The CQC must be notified of:
- Major power failures or utility disruptions affecting service delivery.
- Floods, fires, or structural damage to premises.
- IT system failures impacting record-keeping or medication administration.
The Notification of Service Disruption (Form NSD) must be completed within 24 hours.

4.6 Missing Persons

If an individual receiving care goes missing, immediate action must be taken to locate them.
If the individual is not found within a reasonable timeframe, the police, family, and safeguarding teams must be notified.
A Notification of Missing Person (Form NMP) must be submitted to the CQC within 48 hours.

4.7 Deprivation of Liberty Safeguards (DoLS)

Any Deprivation of Liberty Safeguards (DoLS) applications or authorisations must be reported.
The CQC must be informed when a DoLS application is made or granted.
Changes to an individual’s liberty or restrictions must be recorded and updated in care plans.

4.8 Police Involvement

If the police are called due to:
- A violent incident or physical assault.
- A criminal investigation involving a staff member or individual receiving support.
- A serious safeguarding concern requiring police action.
A Notification of Police Involvement (Form NPI) must be submitted within 24 hours.

4.9 Changes in Management or Service Provision

The CQC must be notified of:
- A change in the Registered Manager or Responsible Individual.
- Service closures or planned major operational changes.
- Changes to the business’s Statement of Purpose.
A Notification of Changes (Form NOC) must be submitted within 28 days.

5. Process for Submitting Notifications

5.1 Responsibility for Reporting

The Registered Manager holds primary responsibility for submitting all CQC notifications.
Deputy Managers or senior staff must ensure the correct documentation is completed if the Registered Manager is unavailable.
All incidents must be logged and reviewed internally before submission.

5.2 How to Submit Notifications

Notifications should be submitted via the CQC Provider Portal.
If the portal is unavailable, forms must be emailed to CQC’s regional office.
In urgent cases, CQC must be contacted by phone first, followed by written notification.
Copies of submitted forms must be stored securely in the organisation’s records.

5.3 Internal Documentation and Audit Trail

All notifications must be recorded in the incident log.
A root cause analysis (RCA) must be conducted for serious incidents.
Lessons learned reviews should be completed to prevent recurrence.

6. Staff Training and Compliance

All staff must complete training on CQC notification requirements as part of induction and annual refresher training.
Staff should be aware of:
- What incidents require reporting.
- Timeframes for notifications.
- Their role in escalating concerns to senior management.
Compliance will be monitored through monthly audits and spot checks by senior management.

7. Confidentiality and Data Protection

All CQC notifications must be handled in compliance with GDPR.
Incident records must be stored securely and accessed only by authorised personnel.
Personal data within reports must be anonymised where appropriate to protect individuals’ privacy.

8. Monitoring and Continuous Improvement

Monthly compliance checks must be conducted to ensure all notifiable incidents are reported within required timeframes.
Any failures to notify CQC on time must be reviewed, and corrective actions implemented.
Feedback from CQC inspections, individuals receiving support, and staff will inform policy updates and improvements.

9. Policy Review

This policy will be reviewed annually or sooner if required due to:

Regulatory changes from the CQC.
Feedback from CQC inspections.
Identified incidents or lessons learned requiring updates.

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}}
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