CARE STANDARDS ACT 2000
Regulation 38 Care Homes (Wales) Regulations 2002 
NOTIFICATION OF DEATH, ILLNESS AND OTHER EVENTS 
Mae'r ffurflen hon hefyd ar gael yn Gymraeg / This form is also available in Welsh

GUIDANCE - COMPLYING WITH NOTIFICATION REQUIREMENTS 
INTRODUCTION 
Regulation 38 of the Care Homes (Wales) Regulations 2002 places a duty on registered persons to notify Care 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 any oral notification to Care Inspectorate Wales (CIW) 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 CIW 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 CIW 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.hse.gov.uk/riddor/ (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. 

Serious Injury                                                                                                Examples include: 

• 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 
                Examples include:
• 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.

•	An 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. 

•	A 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: 
• Hepatitis 
• Legionellosis 
• Leptospirosis 
• Measles 
• Meningitis 
• Mumps 
• Scarlet Fever 
• Streptococcus Suis 
• Tetanus 
• Tuberculosis 
•	Confirmed gastroenteritis caused by salmonella, staphylococcus, botulism, clostridium, 

Also any infection reliably attributed to the workplace including outbreaks of diarrhoea and vomiting involving more than two people within a few days. 

The above list is not exhaustive and registered persons are advised to seek advice where they are unsure. A list of notifiable diseases is available at the Public Health Wales website.

•	Any allegation of misconduct by the registered person or any person who works at the care home
This includes any allegation of inappropriate care or behaviour contrary to the Social Care Wales’ Code of Practice.  

Care Inspectorate Wales 
Regulation 38 Notification 
Please ensure that this form is completed clearly in block capitals. 
An additional sheet 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:      

Tel No:      
	If applicable-Name of service user: 
     

Date of birth:      
	
Date of admission to establishment:      

	Address admitted from:      
	
Nature of occurrence being reported include date, time, location, action taken and if staff/visitors affected (use additional sheet if necessary):      

	
Name and designation of person reporting event:      
	
Name and address(es) of any witness(es) to event (where relevant):      

	
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:      	
Did this result in: 

Treatment at A/E:        Yes   No  NA 
Hospital admission:     Yes   No  NA 
	If attributable to equipment failure state type, make and model number: 
     
	
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 form:                          Designation:      

 Signature:                                                             Date:      	
(Please note: where the completed form is submitted electronically it is not necessary to provide an additional ‘hard copy’ of the signature sheet).

In providing this information I understand that:
•	CIW will use the information I have provided to update any records they hold.

•	CIW will retain this information only where it is necessary for them to carry out their role; that it is stored securely and that it is only kept for as long as  necessary, in line with their records retention schedule.

•	CIW will share information with other organisations where required to do so by legislation or by the Courts where it is necessary and they are satisfied that this is in accordance with the terms of the Data Protection Act 1998.

•	CIW will use the information collected to prepare statistical analyses (from which individuals cannot be identified), to provide information to Welsh Ministers, which will help them make decisions relating to policy changes and to maintain a public register of registered persons.

I am aware that I can find further information on why CIW collect personal information and how they will use it via their website.
Completed forms will often contain personal information and require adequate protection. Therefore forms should only be submitted using one of the following methods:-
•	By secure email to a CIW office:

•	North Wales –  	 CIW-Notifications-North@Wales.GSI.Gov.UK 
•	South East Wales –  CIW-Notifications-SouthEast@Wales.GSI.Gov.UK 
•	South West Wales – CIW-Notification-SouthWest@Wales.GSI.Gov.UK 

•	By Recorded Delivery to a CIW office:

Care Inspectorate Wales    Government Buildings,
Sarn Mynach,
Llandudno Junction
LL31 9RZ                      Fax: 0872 437 7301	Care Inspectorate Wales 
Welsh Government Building,
Rhydycar Business Park
Merthyr Tydfil
CF48 1UZ
Fax: 0872 437 7302	Care Inspectorate Wales
Government Buildings
Picton Terrace
Carmarthen
SA31 3BT
Fax: 0872 437 7303	
Important: Completed forms should not be sent directly to CIW staff.

Care Inspectorate Wales
Regulation 38 Notification 
Please use this sheet if you need additional space to provide the information required:

Care Inspectorate Wales
Regulation 38 (1) (a) Notification
Please ensure that the form is completed clearly in block capitals.
An additional sheet 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:      	
10. Details of others notified:
Next of kin informed: 						Yes   No  NA 
Riddor Regulations 1995: 						Yes   No  NA 	
Police : 								Yes   No  NA 
Local Authority Social Services: 					Yes   No  NA 	
Other (please state):       
	
 11. Coroner involvement? 		Yes   No  NA 

(Please contact Inspector further with results of post mortem/investigation if known)
	
12. Name of person competing form:      
Designation:      

Date:      

Signature:      	
(Please note: where the completed form is submitted electronically it is not necessary to provide an additional ‘hard copy’ of the signature sheet).

In providing this information I understand that:
•	CIW will use the information I have provided to update any records they hold.

•	CIW will retain this information only where it is necessary for them to carry out their role; that it is stored securely and that it is only kept for as long as  necessary, in line with their records retention schedule.

•	CIW will share information with other organisations where required to do so by legislation or by the Courts where it is necessary and they are satisfied that this is in accordance with the terms of the Data Protection Act 1998.

•	CIW will use the information collected to prepare statistical analyses (from which individuals cannot be identified), to provide information to Welsh Ministers, which will help them make decisions relating to policy changes and to maintain a public register of registered persons.

I am aware that I can find further information on why CIW collect personal information and how they will use it via their website.
Completed forms will often contain personal information and require adequate protection. Therefore forms should only be submitted using one of the following methods:-
•	By secure email to a CIW office:

•	North Wales –  	   CIW-Notifications-North@Wales.GSI.Gov.UK 
•	South East Wales –    CIW-Notifications-SouthEast@Wales.GSI.Gov.UK 
•	South West Wales –   CIW-Notification-SouthWest@Wales.GSI.Gov.UK 

•	By Recorded Delivery to a CIW office:

Care Inspectorate Wales,              Government Buildings,
Sarn Mynach,
Llandudno Junction.
LL31 9RZ
Fax: 0872 437 7301	Care Inspectorate Wales, Welsh Government Building,
Rhydycar Business Park,
Merthyr Tydfil.
CF48 1UZ

Fax: 0872 437 7302	Care Inspectorate Wales,
Government Buildings,
Picton Terrace,
Carmarthen.
SA31 3BT

Fax: 0872 437 7303	
Important: Completed forms should not be sent directly to CIW staff.

Care Inspectorate Wales
Regulations 38 (1) (a) Notifications
Please use this sheet if you require extra space to provide the information required