CQC Notification Log Audit

Use the CQC Notification Log Checklist to assess the care home's incident reporting, investigations, and action plans, ensuring accurate communication with CQC. This audit can be conducted monthly. References: CQC Regulation 18 (Notification of Other Incidents), Care Quality Commission (Registration) Regulations 2009, Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, The Care Act 2014, Data Protection Act 2018 (for handling of personal data related to notifications), CQC Statutory Notification Guidance.

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CQC Notification Log Audit

General Information

Notification Documentation

Timeliness Of Notification Submission

Actions And Follow-Up

Recurring Issues And Trends

Compliance With Policy And Regulations

Communication And Transparency

Incident Types And Severity

Staff Involvement And Training

Learning And Improvement

Audit And Review Process

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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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CQC Notification Log Audit

1. Total Number of Notifications Submitted:

2. Types of Notifications Submitted (Death, Abuse Allegations, Police Involvement, Serious Injuries, etc.):

3. Notifications Submitted on Time:

4. Average Time Taken to Submit (Days):

5. Outstanding Notifications (Pending Submission):

1. Are all statutory notifications logged in the notifications log accurately?

2. Is there a unique reference number or ID for each notification?

3. Are the details of each notification (date, type of incident, person involved) clearly documented?

4. Is the date of the incident and the date of notification recorded?

5. Are incidents that do not meet notification thresholds but are recorded internally logged separately?

1. Were all required notifications submitted within the statutory timeframe (e.g., 24 hours or as specified)?

2. If notifications were submitted late, is there documentation of the reason for the delay?

3. Is there evidence that urgent notifications were prioritised and submitted promptly (e.g., serious injuries or allegations of abuse)?

1. Were appropriate actions taken following the incidents notified to CQC?

2. Is there documentation of who is responsible for submitting each notification?

3. Are follow-up actions taken (e.g., investigation outcomes or changes in care) documented clearly?

4. Was there communication with relevant parties (e.g., family, local authority) following the incident?

5. Were any internal investigations or safeguarding processes initiated in response to the incident?

1. Are there any recurring patterns or types of incidents being reported (e.g., frequent falls, recurring medication errors)?

2. Has there been an action plan or review to prevent the recurrence of common incidents?

3. Are systemic issues identified and acted upon to improve care or reduce risks?

1. Does the process for submitting notifications comply with the care home’s internal policies and relevant CQC regulations (Regulation 18)?

2. Is there documentation showing that all staff members are aware of the notifications policy and their role in it?

3. Are there systems in place to track whether all incidents meeting the notification criteria have been reported to CQC?

4. Is there a protocol in place for determining when and how to escalate incidents that require notification?

1. Is there evidence of transparent communication with CQC regarding the nature and outcome of the incident?

2. Were staff and relevant parties (e.g., local authorities, family) kept informed of progress during investigations or follow-up actions?

3. Was the outcome clearly documented and communicated to relevant external bodies?

1. Are incidents categorised by type (e.g., death, serious injury, allegations of abuse, police involvement)?

2. Are serious incidents (e.g., abuse, neglect, fatalities) escalated and thoroughly investigated by senior management?

3. Is there a defined process for handling severe incidents, ensuring that they are reported promptly?

1. Is staff involvement in incidents or investigations logged (e.g., witness statements, involvement in resolution)?

2. Were staff members involved in the incidents given feedback or additional training if necessary?

3. Has there been any follow-up with staff regarding the incidents and the actions taken to prevent recurrence?

1. Has the care home implemented any changes based on the outcome of reported incidents (e.g., new policies, staff training)?

2. Are lessons learned from incidents shared across the team to prevent future issues?

3. Is there evidence of continuous improvement in the management and reporting of incidents?

1. Have previous audits identified areas for improvement and have those areas been addressed?

2. Are there systems in place to track the outcomes of audits and ensure that recommendations are implemented?

3. Are all notifications logs handled in compliance with the Data Protection Act 2018 and GDPR requirements?

4. Is there a clear policy on how long records of notifications are stored and when they are archived or deleted?