4.2 Summarise types of information and reporting requirements for regulation processes

This guide will help you answer 4.2 Summarise types of information and reporting requirements for regulation processes.

In adult care, you collect and share different types of information as part of meeting regulatory requirements. Each regulatory process has its own reporting rules. This helps keep people safe, shows you are delivering good care, and provides evidence during inspections.

Understanding what needs reporting, to whom, and how often is key. Reporting requirements can be about day-to-day events, incidents, quality assurance or legal compliance.

Types of Information Required for Regulation

Regulators expect you to keep and report many types of information. Each type serves a purpose in monitoring care quality, compliance, and accountability.

Personal Care Records

You must keep accurate and up-to-date records about each person receiving care. These include:

• Care plans
• Risk assessments
• Consent forms
• Daily notes
• Records of care delivered
• Incident reports

These records show how people’s needs are identified and met. They back up your decisions and promote person-centred care. They may need to be shared with regulators during inspections.

Staff Information

Regulators check that your staff are suitable, trained, and safe to work. Key information includes:

• Recruitment records (DBS checks, references, right-to-work)
• Training logs
• Supervision and appraisal records
• Rotas and staffing levels
• Notes about concerns regarding staff conduct

This information is needed to show that you meet legal duties for safe recruitment and staff management.

Safeguarding Information

Any safeguarding concern, allegation, or incident needs to be recorded in detail. Records should include:

• Date, time, and nature of the incident
• Details of people involved
• Actions taken
• Outcome and follow-up
• Copies of notifications sent to local authority or CQC

These records show you are dealing with safeguarding in line with the law and guidance.

Medication Records

Regulators require services to keep full records relating to the management of medicines. Information includes:

• Medication administration records (MAR charts)
• Stock control logs
• Error and incident reports
• Training and competency checks of staff handling medicines
• Prescription records

These help protect people from harm and provide a reliable audit trail.

Incident and Accident Records

All accidents, incidents and near misses should be formally recorded. Information includes:

• What happened, when and where
• Who was involved
• Witness accounts
• Immediate and follow-up actions
• Learning and changes made to prevent recurrence

Some incidents must be reported to regulators or other bodies, such as the Health and Safety Executive (HSE).

Infection Control Data

As part of infection prevention, services must keep records of:

• Outbreaks and notifiable diseases
• Cleaning schedules
• Staff training in infection control
• Audits and hand hygiene checks
• PPE stock checks

Some data must be reported to local health protection teams or CQC.

Quality Assurance and Audits

You need to monitor, review, and evidence quality through:

• Regular internal audits (safety, care, training)
• Action plans
• Service user and family feedback
• Complaints and compliments logs
• Surveys and questionnaires

These documents are reviewed in inspections and can be requested by regulators.

Financial Records

Where care is publicly funded, regulators may check:

• Funding agreements
• Invoices and receipts
• Record of use of public funds
• Annual accounts and audits

Local authorities and commissioners may have their own reporting rules.

Complaints and Compliments

It is important to record:

• Nature of the complaint or compliment
• Outcome of the investigation
• Actions taken
• Response times
• Improvements made

Reports might be shared with regulators, commissioners, or during inspections.

Data Protection Evidence

Under the Data Protection Act and GDPR, you must record:

• How data is stored and processed
• Consent forms
• Data breach logs
• Data protection impact assessments
• Records of privacy training for staff

This proves compliance with data protection law.

Policies and Procedures

Regulators may want to see:

• Evidence policies are reviewed and updated
• Records of how policies are communicated to staff
• Changes made in response to new legislation, audits, or incidents

Notifiable Events

Some incidents must by law be reported (notified) to authorities, regulators, or other agencies.

Common notifiable events include:

• Safeguarding concerns
• Serious injuries or deaths of people using the service
• Outbreaks of infectious diseases
• Certain medication errors
• Events affecting service delivery (fire, flood, closure, evacuation)
• Allegations of abuse or neglect
• Certain staff misconduct concerns

Notifying the CQC is mandatory for specified events (see Regulation 18 for deaths and Regulation 20 for Duty of Candour).

Reporting Requirements

Reporting is how you communicate key information to regulators and agencies. Requirements include what to report, when, and in what format.

Care Quality Commission (CQC)

You need to notify the CQC about:

• Unexpected deaths
• Serious injuries
• Safeguarding incidents
• Police involvement
• Allegations of abuse
• Major accidents or events
• Changes to registered manager
• Absence of a registered manager
• Service closures

Use the CQC’s online notification system and follow their guidance. Prompt notification is required, sometimes within 24 hours.

Local Authorities

You must report:

• Safeguarding alerts
• Serious incidents
• Contract breaches
• Performance and quality data (as required by contracts)

Each local authority may have its own process and forms.

Health and Safety Executive (HSE)

Notify the HSE about:

• Fatalities and serious injuries (RIDDOR)
• Dangerous occurrences (near misses with risk of injury)
• Occupational diseases and outbreaks

Report online using HSE’s system, within the legal timeframes.

Public Health Authorities

Report outbreaks of infectious diseases, such as norovirus or COVID-19, to your local health protection team or UKHSA.

Commissioners

Funding bodies may require regular reporting on:

• Service activity
• Outcomes for people using services
• Complaints and compliments
• Staff turnover
• Financial monitoring

These reports support contract monitoring and reviews.

Information Commissioner’s Office (ICO)

You must report serious data breaches to the ICO within 72 hours. Provide details including:

• The type of breach
• How many people are affected
• Action taken to control the breach

Internal Reporting

Within your own service, you must report:

• Accidents and incidents to the manager
• Medication errors
• Safeguarding concerns
• Health and safety issues
• Concerns about policies or procedures

This supports service improvement and compliance.

Frequency of Reporting

Some reports are made only when specific things happen (notifiable events). Others are regular, such as:

• Weekly or monthly accident summaries
• Quarterly audits
• Annual quality reports
• Routine service user feedback surveys

Keep a schedule or log to track deadlines and responsibilities.

Format and Storage

Regulators set out formats for notification (online forms, email, phone). Keep copies of all reports and related communications. Store securely and according to data protection rules.

Record Retention

Retention periods are set by law or guidance. Examples include:

• Care records: usually at least 8 years after end of care
• Safeguarding records: at least until any investigation is complete
• Incident and accident logs: often 3 years

Check with policies and national guidance.

Consequences of Not Meeting Reporting Requirements

Failing to keep or report the right information can:

• Lead to investigation or enforcement action
• Cause loss of registration or contracts
• Result in legal claims
• Damage your service’s reputation

It may cause harm to people if oversight is missed.

Supporting Best Practice

To meet regulatory requirements:

• Keep clear, up-to-date records
• Check what needs reporting and when
• Train staff to record and report
• Monitor and audit reporting regularly
• Review policy on information and reporting often

Final Thoughts

Information and reporting requirements in adult care are detailed and far-reaching. They support safety, quality, and accountability. Managers and leaders are responsible for making sure the right information is collected, stored, and reported—to regulators, commissioners, and other agencies. Meeting these responsibilities supports people receiving care, protects the service, and keeps you compliant with law and guidance.