Reporting Incidents to CQC
While every single incident that happens in care does not to be reported to the CQC (Care Quality Commission), many providers are surprised to learn just how many do need to be, and the types of incidents that qualify for reporting.
All providers must send notifications directly to the CQC, excluding those that are local authorities, providers of primary medical services, or health service bodies. So if you operate a care home or domiciliary care business you must directly report incidents to CQC.
The reporting of incidents is covered by CQC Regulation 18: Notification of other incidents. CQC can prosecute for a breach of Regulation 18 or part of it.
This means CQC can move directly to prosecution without serving a notice first, although they may take other regulatory action first depending on the severity of the breach.
Therefore, it’s very important for care providers to know which incidents they have to report to CQC, the section below gives you the information you need.
Which incidents need to be reported to CQC?
Providers must notify CQC of all incidents that affect the health, welfare, or safety of service users. The full guidance is available via the CQC, if in doubt check there or confirm directly with the CQC. For a simplified, easier to understand view, here are the eight types of incidents that must be reported to the CQC:
Abuse or abuse allegations
Providers need to report incidents to the CQC that concern any abuse or accusations of abuse within their service, regardless of whether they see them as credible.
Abuse can include physical or mental abuse, discrimination, unlawful restraint, inappropriate deprivation of liberty (under the terms of the Mental Capacity Act 2005), neglect, subjecting people to degrading treatment. For full guidance on abuse see CQC Regulation 13: Safeguarding service users from abuse and improper treatment.
Serious injuries
Injuries that need to be reported to the CQC include any ‘serious injuries.’ The CQC categories serious injuries as those that (in the reasonable opinion of a health and care professional) has resulted in:
- An impairment to the sensory, motor or intellectual functions of the service user which is not likely to be temporary.
- Changes to the structure of a service user’s body
- The service user experiencing prolonged pain or prolonged psychological harm
- Shortens the service user’s life expectancy
Examples of common serious injuries that would need reporting include broken hips.
Deprivation of liberty applications
Applying to deprive someone of their liberty is a serious step that can be taken in line with the provisions of the Mental Capacity Act 2005.
When making an application you should always inform the CQC. Given the seriousness of the process it’s not simple, so you should familiarise yourself with as much information as possible.
The Social Care Institute for Excellence has published guidance on Deprivations of Liberty Safeguards (DoLS) and the application process for deprivation of liberty. Its important to note that these safeguards are being replaced by the Liberty Protection Safeguards. This video from SCIE gives an introduction to the changes:
Incidents investigated by/reported to the police
When they inform the police of an incident, care providers often think that because they are dealing with an enforcement authority, or they mistakenly think the police and CQC share a system, that they do not need to inform the CQC too.
This is not the case. If any incident involves the police, however minor or trivial it may seem, it is always a good idea to protect your organisation and its registered status by informing the CQC.
Unauthorized absences
This is especially relevant to providers of care in secure settings, such as forensic mental health. If a person is detained under the Mental Health Act and is absent for whatever reason without authorisation you must report such an incident to the CQC.
- Risks to carrying out the regulated activity safely
Any event or incident must be reported to CQC if it threatens, or the provider thinks is likely to threaten, the ability to carry on the regulated activity (i.e. the care service) safely, or in line with regulatory requirements.
These could include:
- Insufficient numbers of staff or of suitably qualified/skilled/experienced staff
- Interruptions to the supply of electricity, gas, water, sewerage for longer than a continuous 24-hour period (to premises used for care e.g. a care home)
- Physical damage to premises used for care that has or is likely to have a detrimental effect on the care or treatment of service users
- Failure/malfunctioning of fire alarms or other safety devices for longer than a continuous 24-hour period (in premises used for care)
Placement of young people in psychiatric units
You must report to the CQC any placement of a service-user under the age of 18 (for longer than a 48 hour continuous period) in a psychiatric unit whose services are intended for persons over the age of 18.
Deaths of service users
The death of any service user must be reported as an incident to the CQC without delay. Notifications must not identify the person, instead using a unique code which the provider needs to record for future reference.
How to report incidents to CQC
Reporting incidents to the CQC can be done online via the CQC Provider Portal. If you don’t have access or an account to the Portal, you will need to select a form from the CQC’s Notification Finder, complete it and send to the specified email address.
Everything you need to handle CQC notifications is easier within our care compliance software, from generating and sending notifications, to tracking and viewing your historic notifications. This is just one aspect of the system though, with mock inspections, auditing and action plans forming a complete care compliance system.
How to prevent incidents
Incidents will occur in the provision of care. However, a great many incidents are preventable. As we’ve written previously conducting risk assessment in health and social care properly can prevent minor and severe incidents alike, even service user deaths.
Find out more about our care compliance software
