Responding to Serious Incidents: CQC-Aligned Practice for Care Staff

Qualification JD Own

Duration 1 Day

Maximum Attendees 10 People

Cost Per Course Contact for further details

Cost Per Person Contact for further details

Overview

This session supports compliance with:

• Care Quality Commission (CQC)
• Regulation 12 – Safe care and treatment
• Regulation 17 – Good governance
• Regulation 18 – Staffing (support & training)
• Regulation 20 – Duty of Candour

Training Aim

This training ensures staff understand their responsibilities following a serious incident, including immediate safety actions, reporting, record-keeping, openness, and emotional support — in line with CQC regulations and best practice.

What CQC means by a Serious Incident

CQC-aligned definition:

A serious incident is an event that:

• Results in death or serious harm
• Poses a significant risk to safety
• Raises safeguarding concerns
• Requires involvement of external agencies (e.g. police, coroner)

CQC expectation:

• Providers recognise, respond to, and learn from serious incidents
• Not recognising or minimising incidents is a regulatory risk
• 1. Immediate Response — Regulation 12 (Safe Care & Treatment)
• 2. Escalation & Reporting — Regulation 17 (Good Governance)
• 3. Recording & Documentation — Regulation 17
• 4. Duty of Candour — Regulation 20
• 5. Safeguarding & External Agencies
• 6. Supporting People & Staff — Regulations 12 & 18
• 7. Learning & Improvement — Regulation 17

CQC expects staff to:

• Take immediate action to reduce risk
• Call emergency services where required
• Act within training and competence
• Maintain dignity and respect
• Preserve the environment unless intervention is needed to save life

The priority is always the safety, dignity and wellbeing of people using the service.

Staff responsibilities:

• Report the incident immediately to the manager/on-call manager
• Follow the organisation’s incident reporting policy
• Provide accurate, factual accounts

CQC expects systems that:

• Enable prompt reporting
• Ensure incidents are reviewed and acted upon
• Do not rely on informal or verbal reporting alone

Key CQC risk: Delays, missing records, or unclear escalation pathways

CQC expects records that are:

• Clear
• Accurate
• Timely
• Factual (not opinion-based)

Staff should record:

• What happened
• When it happened
• What actions were taken
• Who was informed
• How people were supported

Record facts, not feelings or assumptions.

This is critical!

CQC expects providers to:

• Be open and honest when something goes wrong
• Offer a meaningful apology
• Provide information in a timely and sensitive way
• Keep a written record of Duty of Candour actions

Important for staff:

• Managers usually lead Duty of Candour
• Staff must:
• Share information promptly with managers
• Not withhold or alter facts
• Do not give reassurance beyond their role

Being open is a legal and ethical duty, not an admission of blame.

CQC expects:

• Safeguarding concerns to be recognised and reported
• Appropriate referrals to be made
• Staff to cooperate with:
• Safeguarding enquiries
• Police
• Coroner
• Commissioners

Staff should know:

• Who to contact
• What information to provide
• That cooperation is expected and protected

CQC looks for evidence that:

• People affected are supported emotionally
• Staff wellbeing is considered after traumatic incidents
• Staff know how to access support

CQC recognises that serious incidents affect staff as well as people using services.

• Debrief opportunities
• Access to supervision
• Adjustments if needed
• Clear message: support is encouraged

CQC expects providers to:

• Review serious incidents
• Identify learning
• Implement changes
• Share learning with staff

Staff should understand:

• Reviews are about improvement, not blame
• Their input may help prevent future harm

A well-led service learns, improves and supports its people.

Responding to serious incidents safely, openly and compassionately is a key part of delivering high-quality care. By following procedures, reporting concerns, and supporting one another, staff help ensure services meet CQC expectations and uphold the values of safe, effective and person-centred care.

Accrediated Qualification

JD Own