Care and Social Services Inspectorate Wales
Regulation 38 Care
Homes (Wales) Regulations 2002
NOTIFICATION OF DEATH, ILLNESS AND
OTHER EVENTS
GUIDANCE - COMPLYING WITH NOTIFICATION REQUIREMENTS
INTRODUCTION
Regulation 38 of the Care Homes (Wales) Regulations 2002 places a duty on
registered persons to notify Care and Social Services Inspectorate Wales without
delay of the occurrence of the following events:1. the death of any service user and the circumstances of his or her death;
2. the outbreak in a care home of any infectious disease which in the opinion of
any registered medical practitioner attending persons in the care home is
sufficiently serious to be so notified;
3. any serious injury to a service user;
4. a serious illness of a service user at a care home at which nursing is not
provided;
5. any event in the care home which affects the well being or safety of any service
user;
6. any theft, burglary or serious accident in the care home;
7. any allegation of misconduct by the registered person or any person who works
at the care home.
It is also a requirement of the Regulation that an oral notification to Care and Social
Services Inspectorate Wales (CSSIW) must be confirmed in writing.
The aim of this Guide is to help registered persons comply with this Regulation. It
sets out lists of the type of circumstances which CSSIW considers would fall within
the events specified by the Regulation. The lists are however not exhaustive and
registered persons are encouraged to notify their local office of the Inspectorate of
any occurrences which they may feel require notification. It is vital that notification
is given without delay and CSSIW would expect this to be within 24 hours of its
occurrence. There are 2 forms to be used - one covering the death of a service
user and the second covering all other occurrences.
According to the nature of the occurrence registered persons are reminded of the
need to consider notifying other authorities. Particularly there is a requirement to
report certain occurrences under the Reporting of Injuries, Diseases and
Dangerous Occurrences Regulations 1995 whose website is found at
www.riddor.gov.uk (Tel: 0845 3009923). Consideration will have to be given to
notifying the Police or Local Authority in appropriate circumstances.
Notification examples:
• death of service user
• serious Injury to service user
• serious illness of service user
• serious accident to staff member, service user, visitor, volunteer or self
employed person working within the premises
A serious injury or serious accident will include circumstances where death or
serious injury resulting in hospital treatment derives from an accident or physical
violence.
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Examples of serious injury/serious illness/serious accident:Serious injury
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fractures
head injury
amputation
dislocation of the shoulder, hip, knee or spine
loss of sight (temporary or permanent)
chemical or any penetrating injury to the eye
injury resulting from an electric shock or electrical burn leading to
unconsciousness or requiring resuscitation or treatment in hospital
any other injury leading to hypothermia, heat induced illness, burns,
unconsciousness, requiring resuscitation or requiring treatment in hospital
unconsciousness caused by asphyxia or exposure to harmful substance or
biological agent
Serious illness
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acute illness requiring medical treatment where there is reason to believe that
this, resulted from exposure to a biological agent or its toxins or infected
material
acute illness requiring medical treatment or loss of consciousness arising from
absorption of any substance by inhalation, ingestion or through the skin
occupational/contact dermatitis
outbreak of any infectious disease (see below).
Serious accident
If there is an accident connected with work (including an act of physical violence)
and your employee or self employed person working on your premises suffers ‘an
over-three-day injury’ it should be notified as a serious accident. Such an injury is
one which results in the injured person being away from work or unable to do their
normal work or activity for more than three days (including any days they would not
normally be expected to work such as weekends rest days or holidays) not
counting the day of the injury itself. A serious accident may also involve a service
user, volunteer or visitor and these must also be reported.
If something happens which does not result in a serious injury but clearly could
have then it may be properly treated as a serious accident and should be notified.
The following would constitute serious accidents
• collapse, overturning or malfunction of hoisting equipment (including slings)
• explosion, collapse or bursting of any storage tank or associated pipework
• electrical short circuits or overload causing fire or explosion.
• failure of radiography or irradiation equipment to return to safe position after
intended exposure period
• malfunction of breathing/suction apparatus
• collapse or partial collapse of scaffolding over 5 metres high
• collapse of existing building or structure or of any building under construction or
alteration
• serious lift malfunction which entails seeking assistance to enable persons to
exit the lift.
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™ Event affecting the well being or safety or any service user
This may include threats made by visitors, other service users or staff
members inside the home.
A service user being treated as a ‘missing person’.
Essential services such as gas or electricity are permanently or temporarily
terminated as a result of non- payment of bill or storm damage etc.
Any fire at the home should also be reported stating how the fire occurred and
what action was taken.
™ Burglary/Theft
This includes personal items and money belonging to staff, service users and
visitors as well as items belonging to the registered persons.
™ Infectious Disease
These are too numerous to list but the following are amongst the more common
you are likely to encounter:
• Giardia lamblia
• Hepatitis
• Legionellosis
• Leptospirosis
• Measles
• Meningitis
• Mumps
• Scarlet Fever
• Streptococcus Suis
• Tetanus
• Tuberculosis
Confirmed gastroenteritis caused by salmonella, staphylococcus, botulism,
clostridum, shigella.
Any infection reliably attributed to the workplace including outbreaks of
diarrhoea and vomiting involving more than two people within a few days.
™ Any allegation of misconduct by the registered person or any person who works
at the care home.
Where there is any allegation of inappropriate care reference should be made
to ‘In Safe Hands’ (vulnerable adult protection procedure).
If the attached forms are completed electronically please print off for signing
and return to your local CSSIW office.
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Care and Social Services Inspectorate Wales
Regulation 38 Notification
Please ensure that this form is completed clearly in block capitals.
An extra sheet of paper is included for your use if required.
(See separate form for reporting the death of a service user)
Please indicate which of the following notification is relevant:
• The outbreak in the care home of any infectious disease which in the opinion
of any registered medical practitioner attending persons in the care home is
sufficiently serious to be notified
• serious injury to a service user
• serious illness of a service user at a care home at which nursing is not
provided
• any event in the care home which affects the well-being or safety of any
service user
• any theft, burglary or serious accident in the care home
• any allegation of misconduct by the registered person or any person who
works at the care home
Name and address of establishment:
If applicable-Name of service user:
Tel No:
Date of admission to establishment:
Date of birth:
Address admitted from:
[ ]
[ ]
[ ]
[ ]
[ ]
[ ]
Nature of occurrence being reported include date, time, location, action taken and if staff/visitors
affected (use separate sheet if necessary):
Name and designation of person reporting event:
Name and address of any witness to event (where relevant):
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If allegation of misconduct-Name(s) &
Professional Status of person against whom
allegation made:
State further action to be taken:
If applicable-Name of Medical Practitioner who attended the service user/time notified and time
visited the Home:
If attributable to equipment failure state type,
make and model number:
Did this result in:
Treatment at A/E:
Hospital admission:
Yes / No / NA
Yes / No / NA
Has the incident been reported under RIDDOR
Regulations1995?
Yes / No / NA
Have next of kin been
informed?
Yes / No / NA
Have the police been informed? Yes / No / NA
Have Public Health been informed of disease
outbreak?
Yes / No / NA
Has LA (SSD) been informed? Yes / No / NA
Note any other body to whom this has been
reported (e.g. professional registering body)
…………………………………………..
Name of person competing this:
…………………………………………………………
Designation:
…………………………………………………………
Date:
…………………………………………………………
Signature:
…………………………………………………………
CSSIW Office use only:
File only:
Yes / No
Further info required (state action):
Signed:
Date:
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Care and Social Services Inspectorate Wales
Regulation 38 Notification
Please use this sheet if you need extra space to provide the information
required
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Care and Social Services Inspectorate Wales
Regulation 38 (1)(A) Notification
Please ensure that the form is completed clearly in block capitals.
An extra sheet of paper is provided for your use if required.
NOTIFICATION OF DEATH
1.Name and address of establishment:
Tel No:
2. Name of deceased:
Date of birth:
Date of admission:
3. Address admitted from:
……………………………………………………………………………………………………………………….
……………………………………………………………………………………………………………………….
……………………………………………………………………………………………………………………….
4. Medical history:
5.Date of death:
Time of death:
Place of death:
6.Cause of death if known:
If not known, circumstances of death:
7. If death occurred in hospital:
Date of admission:
Circumstances of admission:
8.Name of person who reported the death:
Designation:
Date:
9.Name of Medical Doctor confirming death:
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10.Details of others notified:
Next of kin informed:
Yes / No
Riddor Regulations 1995:
Yes / No / NA
Police :
Yes / No / NA
Local Authority Social Services:
Yes / No / NA
Any other agency please:
Detail
…………………………………………………………………………………………………………….
…………………………………………………………………………………………………………….
11. Coroner involvement?
Yes / No
(Please contact Inspecting Officer further with results of post mortem/investigation if known)
12. Name of person completing:
…………………………………………………………..
Designation:
…………………………………………………..………
Signature:
.………………………………………………………….
Date:
…………………………………………………………..
CSSIW Office use only
Date recorded on QA: ……………………….
File only:
Yes / No
Further info required (state action taken):
Signed:
……………………………………………………
Date: …………………………………………………….
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Care and Social Services Inspectorate Wales
Regulation 38 (1)(A) Notification
Please use this sheet if you require extra space to provide the information required.
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