Care Standards Update 19

Registered Nursing Home Association

Care Standards Update

Edition No. 19 July 2002

Introduction

This Care Standards Update focuses on two issues, both of which evolve around your interaction with the local office of the National Care Standards Commission; closing of homes and notification of ‘events’ to the local Area Office of the NCSC.

1. CLOSING OF HOMES

Regulation 40 of the Care Home Regulations 2001 states that a Provider shall not terminate the arrangements for the termination of accommodation for a service user unless he shall have given reasonable notice to;

the service user
the person who appears to be the service user’s next of kin, and
where a Local Authority has made arrangements for the provision of care the L.A.

This regulation seeks to provide protection to the service user. However, providers also have to conform to Regulation 15 (1) of the NCSC (Registration) Regulations 2001 which places a requirement upon the provider to ;

make an application in writing
not less than 3 months before the proposed date
comply with certain conditions (all available from head office on request)

The local area office can agree a shorter period. Members are urged to bear this requirement in mind if contemplating closure. Further advice is available from head office.

This Care Standards Update also addresses the issue of notification of event to the local Area Office of the National Care Standards Commission and

2. NOTIFICATION OF EVENTS

The Worcester Area office of the National Care Standards Commission have issued the following guidance on the notification of events which is a useful aide memoire. It is reproduced here, with their approval, for your information.

The Care Homes Regulations 2001 have introduced important changes to the statutory requirements for persons registered in respect of all care homes to notify the National Care Standards Commission about events relating to the service they provide.

This guidance note is intended to be helpful in drawing these changes to your attention but you are referred to the relevant Regulations for more detail. In particular, you should note that a failure to comply with the requirements of these Regulations is an offence.

What Events Should the NCSC be Notified About?

In brief, some of the events about which the NCSC should be notified and the time scales within which this should be done are as follows:

Regulation 11 - Notification of Offences

If the registered person or responsible individual is convicted of any criminal offence

Notification should be made ‘forthwith’ and in writing. It should include details of the date and place of conviction, the offence and the penalty.

Regulation 37 - Notification of Death, Illness and Other Events

The death of any service user, including the circumstances of the death
The outbreak of any infectious disease in the home
Any serious injury to a service user
The serious illness of a service user (in a home where nursing is not provided)
Any event which adversely affects the well being or safety of any service user
Any theft, burglary or accident in the home
Any allegation of misconduct by a registered person or any person who works at the home.

Notification of these events should be made in writing and ‘without delay’. If it has first been made orally, it should be confirmed in writing.

Regulation 38 - Notice of Absence

The proposed absence of the registered provider (if an individual) or the registered manager for a continuous period of 28 days or more.

The notice (except in the case of any emergency) should be given at least one month before the proposed absence commences. It should be in writing and specify the details about the absence listed in the Regulation.

Where the absence arises as a result of an emergency, notification should be made within one week of its occurrence, again in writing and including the required details.

If an absence, about which notice has not been given, unexpectedly extends beyond 28 days, then notification should be made ‘without delay’.

In all case the registered person should notify the NCSC of their return to duty not later than 7 days after the date of return.

Regulation 39 - Notice of Changes

If a person other than the registered person carries on or manages the home
If a person ceases to carry on or manage the care home
If a registered person changes their name
If the registered provider is a partnership and there is a change of membership
If the registered provider is an organisation and there is a change of name, address, director etc, or responsible individual
If a trustee in bankruptcy, a receiver, manager or liquidator is appointed
If the premises are significantly altered or extended, or additional premises are acquired.

Notice of these events should be given in writing ‘as soon as is practicable to do so’.

Regulation 40 - Notice of Termination of Accommodation

If it is impractical to comply with the requirement to give reasonable notice (to the service user, next of kin and placing authority ) when the accommodation of a service user is being terminated. Notification should be made ‘as soon as is practicable to do so’.

How Should Notifications be Made ?

In normal circumstances, notification should be made in writing. First class post is acceptable provided the notice is sent at the earliest opportunity. However, as all care homes should have appropriate facilities for communication by fax, registered persons are encouraged to send notifications by this means within 24 hours of the event occurring.

You are also encouraged to use copies of the attached (locally designed) form when making notifications. This will help ensure that all relevant information has been provided. The information should be sent to the local Area Office of the National Care Standards Commission.

In urgent situations notification should be made by telephone, lines open between 8.30.am. and 5.30.pm. - Monday to Friday .

How Will the NCSC Respond to Notifications ?

Notifications are viewed by the NCSC as a constructive element of its work with care homes. The main purposes of notification are:

To enable inspectors to advise and support the managers and staff of care homes as they deal with difficult situations which sometimes occur
To provide the registered persons with some protection (in that they could demonstrate, if challenged, that appropriate steps had been taken to get advice)
To enable inspectors to monitor the occurrence of events which might be linked to the way in which a service is being managed and to respond, if necessary, in order to promote the well being of service users
To enable inspectors, in those exceptional circumstances where the well being of service users is considered to be at risk, to act promptly in order to ensure protection.

All written notifications will be seen by a duty inspector on the day they are received (or the first working day thereafter) before being passed onto the relevant lead inspectors. Service providers and managers will not be sent an acknowledgement but will be contacted (on the same day, if appropriate) should any follow up be necessary.

Note: Clearly some of the matters requiring notification, such as ‘any accident’ and ‘any event which adversely affects the well being or safety of any service user’ are very broad in their scope. Interpretation of these requires the good judgement of the registered persons based on a clear awareness of the purpose of notifications. It may be necessary at a later date to provide more detailed guidance but, in the meantime, if you are in any doubt about whether to notify the NCSC of an event, our advice is that you should do so.

Top of page - Text only site map

Care Standards Update

Edition No. 19 July 2002

Introduction

This Care Standards Update focuses on two issues, both of which evolve around your interaction with the local office of the National Care Standards Commission; closing of homes and notification of ‘events’ to the local Area Office of the NCSC.

1. CLOSING OF HOMES

Regulation 40 of the Care Home Regulations 2001 states that a Provider shall not terminate the arrangements for the termination of accommodation for a service user unless he shall have given reasonable notice to;

the service user

the person who appears to be the service user’s next of kin, and

where a Local Authority has made arrangements for the provision of care the L.A.

This regulation seeks to provide protection to the service user. However, providers also have to conform to Regulation 15 (1) of the NCSC (Registration) Regulations 2001 which places a requirement upon the provider to ;

make an application in writing

not less than 3 months before the proposed date

comply with certain conditions (all available from head office on request)

The local area office can agree a shorter period. Members are urged to bear this requirement in mind if contemplating closure. Further advice is available from head office.

This Care Standards Update also addresses the issue of notification of event to the local Area Office of the National Care Standards Commission and

2. NOTIFICATION OF EVENTS

The Worcester Area office of the National Care Standards Commission have issued the following guidance on the notification of events which is a useful aide memoire. It is reproduced here, with their approval, for your information.

The Care Homes Regulations 2001 have introduced important changes to the statutory requirements for persons registered in respect of all care homes to notify the National Care Standards Commission about events relating to the service they provide.

This guidance note is intended to be helpful in drawing these changes to your attention but you are referred to the relevant Regulations for more detail. In particular, you should note that a failure to comply with the requirements of these Regulations is an offence.

What Events Should the NCSC be Notified About?

In brief, some of the events about which the NCSC should be notified and the time scales within which this should be done are as follows:

Regulation 11 - Notification of Offences

If the registered person or responsible individual is convicted of any criminal offence

Notification should be made ‘forthwith’ and in writing. It should include details of the date and place of conviction, the offence and the penalty.

Regulation 37 - Notification of Death, Illness and Other Events

The death of any service user, including the circumstances of the death

The outbreak of any infectious disease in the home

Any serious injury to a service user

The serious illness of a service user (in a home where nursing is not provided)

Any event which adversely affects the well being or safety of any service user

Any theft, burglary or accident in the home

Any allegation of misconduct by a registered person or any person who works at the home.

Notification of these events should be made in writing and ‘without delay’. If it has first been made orally, it should be confirmed in writing.

Regulation 38 - Notice of Absence

The proposed absence of the registered provider (if an individual) or the registered manager for a continuous period of 28 days or more.

The notice (except in the case of any emergency) should be given at least one month before the proposed absence commences. It should be in writing and specify the details about the absence listed in the Regulation.

Where the absence arises as a result of an emergency, notification should be made within one week of its occurrence, again in writing and including the required details.

If an absence, about which notice has not been given, unexpectedly extends beyond 28 days, then notification should be made ‘without delay’.

In all case the registered person should notify the NCSC of their return to duty not later than 7 days after the date of return.

Regulation 39 - Notice of Changes

If a person other than the registered person carries on or manages the home

If a person ceases to carry on or manage the care home

If a registered person changes their name

If the registered provider is a partnership and there is a change of membership

If the registered provider is an organisation and there is a change of name, address, director etc, or responsible individual

If a trustee in bankruptcy, a receiver, manager or liquidator is appointed

If the premises are significantly altered or extended, or additional premises are acquired.

Notice of these events should be given in writing ‘as soon as is practicable to do so’.

Regulation 40 - Notice of Termination of Accommodation

If it is impractical to comply with the requirement to give reasonable notice (to the service user, next of kin and placing authority ) when the accommodation of a service user is being terminated. Notification should be made ‘as soon as is practicable to do so’.

How Should Notifications be Made ?

You are also encouraged to use copies of the attached (locally designed) form when making notifications. This will help ensure that all relevant information has been provided. The information should be sent to the local Area Office of the National Care Standards Commission.

In urgent situations notification should be made by telephone, lines open between 8.30.am. and 5.30.pm. - Monday to Friday .

How Will the NCSC Respond to Notifications ?

Notifications are viewed by the NCSC as a constructive element of its work with care homes. The main purposes of notification are:

To enable inspectors to advise and support the managers and staff of care homes as they deal with difficult situations which sometimes occur

To provide the registered persons with some protection (in that they could demonstrate, if challenged, that appropriate steps had been taken to get advice)

To enable inspectors to monitor the occurrence of events which might be linked to the way in which a service is being managed and to respond, if necessary, in order to promote the well being of service users

To enable inspectors, in those exceptional circumstances where the well being of service users is considered to be at risk, to act promptly in order to ensure protection.

Top of page - Text only site map