DHSC Submission - Information regarding Providers (Care Home and Home Care) at risk in January 2025

Data Enforcement Update

Please find attached DHSC-approved comms that have been shared with the Care Associations. Please feel free to include some of the information in your provider forums/bulletins/newsletters.

Providers at Risk of receiving NOIs by the NHSBSA (the DHSC delivery partners & enforcers)

There are providers (Care Home and/or Home Care) in your locality who did not submit an ASC update in the previous 2 windows (November & December 2024) and they are "at risk" of receiving an "Notice of Intent" and potential subject to a fixed penalty (normally to the value of their CQC registration fee) if they do not update in January 2025.

The next compliance window will open on Wednesday 8^th January and will close on Tuesday 14^th January 2025.

We kindly ask that you contact as many of the At Risk provider(s) in you locality as possible. If you are aware that a Provider is no longer active – please notify CQC or encourage providers to contact CQC directly to de-register - CQC National Customer Service: 03000 616161, enquiries@cqc.org.uk. Please can you also notify us if there are any providers that appear on CT, that are no longer active (as we are collating a list).

You can view the providers who are "At Risk" at any time via the 'Update monthly status ASC collection' report. This can be found by clicking the 'reports' option then 'update frequency' then 'Update monthly status ASC collection'.

You then need to click "Criteria" (top left-hand corner) and select the following criteria (screenshot below - note in the example below that 'Care Home' is highlighted green)

• Primary Field (Grouping) = Local Authority
• Geography = by clicking + and expanding the list and click your specific LA Region XXXXX
• Data Type = defaults to Numbers (leave the default – for the purpose of this query it does not affect the results)
• Registration Status = defaults to both New (< 101 days) AND Established (≥ 101 days), deselect (by clicking) New (< 101 days) which will leave Established (≥ 101 days) selected.
• Provider Type = defaults to Care Home (you will need to rerun this report for Home Care providers by selecting Home Care )
• Last Submission – Select October (this will ensure that only the providers that missed their submission in the previous two months)

The results of the report will be listed below. You will need to clip the + to expand (to show the list of providers) and scroll to the right to view the current month. The providers who have not submitted will be indicated with No.

Alternatively you can export a CSV file (top right-hand corner) with the results of the report and then filter the last two columns on the report (for example Nov 24 & Dec 24) to 'No' to identify the providers who did not submit in the previous two month.

An CSV will need to be generated for each category of providers - export to CSV using Care Home as the criteria for Provider Type AND then repeat the CSV export with Home Care as the criteria for Provider Type.

Previously, the compliance figures (per region) for the previous month, were included (for information) within the "At Risk" email notices. This data (and more) is available in the Monthly Highlight report which is available to all ICBs and LA. If you would like to receive a copy of your region's report (usual produced at the end of each month), please contact your Regional Delivery Manager or email the team via necsu.ctengagement@nhs.net.

Thank you all for your continued support & engagement.

If you have any questions concerning the above, require a reporting demo or want to know how other LAs/ICBs are approaching this – please get in at necsu.ctengagement@nhs.net

Section 277A of the Health and Care Act 2022 – enables the Secretary of State to require regulated providers of Adult Social Care to provide information relating to: • themselves • their activities in connection with provision of ASC in England • persons to whom they have provided such care. The Adult Social Care Information (Enforcement) Regulations 2022 came into force on 1st December 2022. It requires all ASC providers, regulated by the CQC, to update the mandated collection in the Capacity Tracker. The reporting windows are between the 8th & 14th day of each month - or next working day if the 14th is a weekend or public holiday. Frequently Asked Questions is accessible here. Provider training & awareness sessions are available here • These sessions are to help guide providers through the information requests, update methods and reports – they are informal events that offer providers the opportunity to raise any questions or seek clarification. Important Reminders

• Multiple CT Registered Users recommended – to ensure sufficient cover during periods of absence. To register for a CT account, simply click on:

https://capacitytracker.com/register

• Going Abroad - users are reminded that CT is not accessible outside the UK.

• Active providers with 0 service users or 0 staff – providers are required to submit a return, including a 'nil' return where services may not yet have commenced, ceased or are in the process of being updated with CQC.

• Active dual-registered providers that offer both home care and residential care – submissions are required for both services, including a 'nil' return if services are not being delivered. It is essential that providers ensure their CQC registration is up to date and that CQC are informed at the earliest opportunity if services are closed.

• For access and system guidance queries - please contact the Support Centre see details below.

• Change of staff - It is recommended that updating Capacity Tracker is included within providers staff leaver/new starter process with user accounts closed & new user registrations in place. This will ensure that you continue to receive important communications issued via Capacity Tracker and remain up to date with the information submissions.

• Any changes to provider regulated services/specialisms/bed capacity – Capacity Tracker uses CQC information. Until the CQC information is updated, it is essential the providers make CQC aware of any changes at the earliest opportunity and data submissions are maintained by completing a ‘nil return’, until the CQC information has been updated.

• Providers that are closing down/no longer active/changing registration or ownership - please notify CQC directly to de-register, see contact information below. It is essential data submissions are maintained by completing a ‘nil return’, until the CQC information has been updated.

• If you receive an enforcement notice from the DHSC partners, NHS BSA – it's important that providers who receive an enforcement notice to respond directly to the NHS BSA, see contact details below. We remain committed to supporting providers to be compliant with the ASC Information (Enforcement) Regulations 2022 and can ensure the appropriate support and guidance is in place.

Contact Information:

• For system support and guidance - please contact NECS Capacity Tracker Support Centre - 0191 691 3729 or necsu.capacitytracker@nhs.net

(We are open Monday to Friday from 8am to 5pm, excluding public holidays)

• Changing registration, closing, change of ownership – please contact the CQC - T: 03000 616161, E: enquiries@cqc.org.uk, CQC Provider Portal

(They are open Monday to Friday from 8.30am to 5.30pm, excluding public holidays)

• If you receive an enforcement notice – please contact the NHS Business Services Authority Enforcement Team (NHSBSA) – T: 0300 330 2088,

E: enforcement@nhsbsa.nhs.uk (They are open Monday to Friday from 8.30am to 4.30pm)