Notifying CQC of an Allegation of Abuse: When, How and Alongside a Safeguarding Referral

Notifying CQC of an Allegation of Abuse: When, How and Alongside a Safeguarding Referral

An allegation is enough. Here is when to notify CQC, how it sits alongside a local authority referral and police report, and what to record.

You must notify CQC without delay of any abuse or allegation of abuse concerning a person using your service. You do not wait to confirm that abuse happened. The notification is separate from your safeguarding referral to the local authority. Do both, and report to the police if a crime may have been committed.

Managers often ask whether a CQC notification replaces a safeguarding referral. It does not. A single concern can trigger three separate actions: a referral to the local authority, a statutory notification to CQC and, where a crime is suspected, a report to the police.

This guide follows CQC’s notification page (CQC: allegations of abuse notification form) and Regulation 18 (CQC: Regulation 18). For the wider picture on safeguarding, see what is safeguarding adults.

When Must You Notify CQC About Abuse?

CQC says you must tell it about abuse or allegations of abuse if any of the following applies:

• the person using your service is affected by abuse;
• they are affected by alleged abuse;
• the person is an abuser; or
• they are an alleged abuser.

That last point surprises some managers. A resident who is the alleged perpetrator of abuse against another resident is also within scope. Notifications about concerns involving visitors, relatives, staff and other residents all count, so long as a person using your service is involved.

What Counts as Abuse for a CQC Notification?

Regulation 18 defines abuse, in relation to a person using a service, as:

• sexual abuse;
• physical or psychological ill-treatment;
• theft, misuse or misappropriation of money or property; or
• neglect and acts of omission which cause harm or place the person at risk of harm.

The definition includes allegations. You notify when a concern is raised, whether by the person, a relative, a member of staff, a visitor or anyone else. You do not wait for an investigation to conclude. Our guide to safeguarding adults covers the wider Care Act categories of abuse.

Three Separate Duties: Local Authority, CQC and Police

CQC uses notifications to be aware of what is happening in a service, to identify issues of concern, to decide whether regulatory action is needed and to monitor trends. Your local authority works to its own process, covered in safeguarding referrals to the local authority.

If police are involved because of an abuse allegation, use the allegation of abuse form. CQC says not to use the police involvement form where a more specific form applies.

What to Do, Step by Step

1. Make the person safe. Remove or reduce immediate risk. Get medical help if needed.
2. Report to the local authority following your safeguarding policy and local procedures.
3. Call the police if a crime may have been committed or there is immediate danger.
4. Notify CQC without delay through the provider portal form, or by completing the Word form and emailing HSCA_notifications@cqc.org.uk.
5. Preserve evidence and record what you were told in the person’s own words, with dates and times.
6. Check duty of candour. Where an incident is a notifiable safety incident, Regulation 20 applies. See duty of candour in a care home.
7. Investigate and learn. Review staffing, training, supervision and care plans, and update risk assessments.
8. Record everything in the safeguarding log, including references from the local authority and CQC.

As with other notifications, CQC asks you to use a unique code, not the person’s name, date of birth or other identifying details, and to keep a secure record of who the code refers to.

Edge Cases That Catch Managers Out

• Serious injury caused by an assault. CQC says to use the allegation of abuse form instead of the serious injury form.
• Medicines errors. A medicines error is notifiable only if it causes one of the listed events, including an allegation of abuse. Make clear in the notification that a medicines error was a known or possible cause.
• Whistleblowing. Staff may raise concerns about abuse. Make sure they know how, and that you treat the concern as an allegation. See whistleblowing policy for care providers.
• Delegation. If a deputy notifies, you remain accountable. Keep a record of who sent what and when.
• Not sure whether it is abuse? Treat the concern as an allegation until assessed, and take advice from your local authority safeguarding team and CQC.

Keeping the Records Joined Up

CQCLogic includes a safeguarding log for referrals, an incident log with CQC and safeguarding notification flags, and a CQC notification tracker with deadlines. The tracker records notifications and does not send them to CQC. Link each safeguarding entry to its notification reference and to the actions that followed, such as retraining or a care plan review.