CQC Notifications Audit - Care Homes)

Q1 | Unanswered

Is there a current CQC Notifications policy/procedure that defines what must be notified, by whom, how, and within what timescales?

Q2 | Unanswered

Is there a named lead responsible for CQC notifications oversight (e.g., Registered Manager/Provider) with clear accountability and deputy cover?

Q3 | Unanswered

Do relevant staff understand the difference between CQC notifications, safeguarding alerts, RIDDOR, coroner referrals, and commissioner notifications?

Q4 | Unanswered

Is there a clear internal escalation pathway so incidents are flagged promptly to the person responsible for notifying CQC?

Q5 | Unanswered

Are CQC notification compliance and themes reviewed in governance/quality meetings with actions recorded?

Q6 | Unanswered

Is there a mechanism to audit notification quality (accuracy, completeness, consistency with incident records) and improve practice?

Q7 | Unanswered

Is there an up-to-date notification trigger checklist available to staff (e.g., in office, incident pack, digital system prompts)?

Q8 | Unanswered

Are staff able to describe common notifiable events for care homes (death, serious injury, abuse allegations, DoLS events, police involvement, service interruptions)?

Q9 | Unanswered

Are deaths screened consistently for notification triggers (unexpected death, safeguarding concerns, police/coroner involvement, deprivation of liberty factors)?

Q10 | Unanswered

Are serious injuries assessed consistently for notification triggers (fractures, head injuries, hospital admissions, severe pressure ulcers where applicable)?

Q11 | Unanswered

Are safeguarding incidents assessed consistently for notification (allegation/incident of abuse, neglect, or serious harm, including peer-on-peer)?

Q12 | Unanswered

Are incidents involving restraint/restriction screened appropriately (including where restraint results in injury or police involvement)?

Q13 | Unanswered

Are incidents involving the police notified when required (e.g., suspected crime, safeguarding, missing person incidents)?

Q14 | Unanswered

Are DoLS/LPS-related events monitored (applications granted/authorised, urgent authorisations, conditions, deprivation without authorisation) and notified where required?

Q15 | Unanswered

Are service interruptions assessed for notification (loss of utilities, staffing crisis, evacuation, major building issues, outbreak disruption)?

Q16 | Unanswered

Are medication incidents screened for notification where harm is significant (hospitalisation, life-threatening error, repeated systemic failure)?

Q17 | Unanswered

Are pressure ulcer events screened appropriately (including safeguarding triggers and severe harm events) and aligned with local expectations?

Q18 | Unanswered

Are outbreaks and significant IPC events considered for notification if they cause serious disruption or harm (and aligned with local guidance)?

Q19 | Unanswered

Are changes in key persons (registered manager/registered provider/nominated individual) and locations managed with timely statutory notifications?

Q20 | Unanswered

Are CQC notifications submitted within required timescales (e.g., without delay / within specific statutory windows where stated)?

Q21 | Unanswered

Is there evidence of same-day/next-day notification for serious incidents where prompt reporting is expected?

Q22 | Unanswered

Is there deputy/on-call cover to submit notifications during leave, weekends, and out-of-hours periods?

Q23 | Unanswered

Are incidents logged promptly so notification triggers are not missed due to delays in reporting?

Q24 | Unanswered

Is there a tracking system to ensure notifications are completed (log with due date, submitted date, reference ID, and status)?

Q25 | Unanswered

Are notification submissions followed up where additional information is required (updates, outcomes, investigation results)?

Q26 | Unanswered

Are late notifications identified, reasons recorded, and preventative actions implemented?

Q27 | Unanswered

Do CQC notifications match internal incident records (dates/times, individuals involved, location, injury details, immediate actions)?

Q28 | Unanswered

Are resident identifiers accurate and consistent (correct person, DOB where required, placement/unit) to avoid misreporting?

Q29 | Unanswered

Are narratives factual, objective, and free from speculation, with clear description of what happened and impact?

Q30 | Unanswered

Do notifications include key contextual details (what happened, when, where, who was involved, immediate actions taken, current status)?

Q31 | Unanswered

Are injury descriptions clinically accurate (e.g., suspected vs confirmed fracture) and updated when confirmed information is available?

Q32 | Unanswered

Are safeguarding allegations described appropriately with actions taken (protective measures, referrals, police/LA involvement)?

Q33 | Unanswered

Are medication-related notifications clear on drug, dose, route, error type, harm level, and remedial actions?

Q34 | Unanswered

Where the coroner/police are involved, is this accurately stated and consistent with other documentation?

Q35 | Unanswered

Are service interruption notifications clear on duration, impact, mitigation (contingency plans), and whether residents were moved/evacuated?

Q36 | Unanswered

Are DoLS/LPS-related notifications accurate (authorisation status, urgent authorisations, conditions, any breach/unauthorised deprivation)?

Q37 | Unanswered

Are attachments or supporting documents handled appropriately (only if needed, correct redaction, confidentiality maintained)?

Q38 | Unanswered

Are notifiable incidents investigated proportionately with documented findings and root cause analysis where appropriate?

Q39 | Unanswered

Are action plans produced for systemic issues identified through notifications (e.g., falls patterns, medication systems, staffing gaps)?

Q40 | Unanswered

Is there evidence of learning shared with staff (briefings, supervision topics, training updates) following notifiable events?

Q41 | Unanswered

Are outcomes and additional information provided to CQC when appropriate (e.g., investigation results, safeguarding outcomes)?

Q42 | Unanswered

Are duty of candour processes followed and documented where harm occurred (openness, apology, explanation, actions)?

Q43 | Unanswered

Are commissioners and other stakeholders notified as required, with evidence retained?

Q44 | Unanswered

Have relevant leaders been trained on CQC notification requirements and how to submit notifications via the portal?

Q45 | Unanswered

Do staff know how to recognise notifiable events and escalate to the responsible person promptly?

Q46 | Unanswered

Are reference guides/tools available (flowcharts, triggers list, examples of good notifications) to support consistent quality?

Q47 | Unanswered

Are periodic refresher sessions conducted or updates provided when CQC guidance changes?

Q48 | Unanswered

Is there a process to quality-check notifications before submission (peer review, manager sign-off) where feasible?

Q49 | Unanswered

Is there a central notifications log including incident type, date/time, submitted date/time, notifier, CQC reference number, and status?

Q50 | Unanswered

Are copies/PDF exports of submitted notifications retained securely for audit and inspection?

Q51 | Unanswered

Are notification logs reconciled against incident logs, safeguarding logs, deaths register, and accident reports to confirm nothing was missed?

Q52 | Unanswered

Is there evidence of regular sampling audits comparing a notification to the full incident file (accuracy, completeness, timeliness)?

Q53 | Unanswered

Are data protection and confidentiality maintained in all notification submissions (minimum necessary information, secure handling)?

Q54 | Unanswered

Can the home produce the last 3–6 months of CQC notifications with evidence of submission dates and reference numbers?

Q55 | Unanswered

Can the home demonstrate reconciliation between incident logs and the CQC notification log (showing no missed notifiable events)?

Q56 | Unanswered

Can a manager describe how they decide whether an event is notifiable and what their internal escalation process is?

Q57 | Unanswered

Are there examples where initial notifications were updated after investigation/confirmation, and is this clearly evidenced?