Notifications and record keeping

Notifications and record keeping

By law all services must tell us immediately if certain events take place. 

  • Accidents, incidents or injuries
  • Outbreak of infectious disease
  • Death of person using a care service 
  • Allegations of abuse
  • Significant equipment breakdown
  • Allegation of misconduct by a provider or employee
  • Criminal convictions resulting in unfitness of a manager
  • A provider becoming unfit
  • Absence of manager
  • Planned refurbishment/alteration/extension of premises
  • Change of registration details
  • Person living at the registered premises

We have produced comprehensive guidance on the records you must keep and the notifications you must make.

Notification on controlled drugs

Deaths of Looked After Children

Deaths of young people receiving aftercare provision

Deaths of young people in continuing care

Initial Case Reviews (ICRs)

Significant Case Reviews (SCRs)

Serious Incident Reviews

Notification on controlled drugs

Providers should notify the Care Inspectorate to any adverse events and concerns involving schedule 2, 3, 4, and 5 controlled drugs used in care settings, when they occur, and while the service user is receiving care in the care service.

Notifications about controlled drugs: guidance for providers

Please note, it is a legal requirement for care services to notify the Care Inspectorate of the matters listed in this document. Where the requirement is limited to a specific type of care service, this is detailed in the guidance.

Care services and local authorities must use our eForms system to make these notifications. 

Deaths of Looked After Children

Under regulation 6 of the Looked After Children (Scotland) Regulations 2009, local authorities have a duty to notify the Care Inspectorate of the death of a looked after child.

Local authorities are required to submit written notification within 24 hours of any death of looked after child to Care Inspectorate.

Within 28 days, the local authority require to send the Care Inspectorate a detailed report and supporting information. It may not always be possible to supply complete information at this point if, for instance, a police investigation is still being carried out and/or criminal proceedings are outstanding. However, as full a report as possible should be supplied, with a supplementary report sent in as soon as the additional information is available.  A copy of the death certificate should be forwarded to the Care Inspectorate as soon as it is available.

Reports will be acknowledged in writing. The local authority may be asked for supplementary information, including information from other agencies involved with the child. The Scottish Ministers will, through Care Inspectorate or any other relevant agency or body, advise the local authority about their conclusions and indicate what, if any, further action they will take or require the local authority to take. The Scottish Ministers may take steps to:

    • examine the arrangements made for the child's welfare during the time he or she was looked after;
    • assess whether action taken or not taken by the local authority may have contributed to the child's death;
    • identify lessons which need to be drawn to the attention of the local authority immediately concerned and/or other authorities or other statutory agencies;
    • review legislation, policy, guidance, advice or practice in the light of a particular case or any trends emerging from deaths of children being looked after.

Please complete attached form - DLC1  

Please submit the relevant forms / reports through secure email to

This email address is being protected from spambots. You need JavaScript enabled to view it.

The main contact for this work is:

Katherine Lamb, Strategic Inspector

Mobile: 07825 842 742

Please note this is separate from the duty of a registered care service to notify us of the death of a service user, these are submitted separately via the registered services e-forms.

Deaths of young people receiving aftercare provision

Under Section 29 (10) (b) of The Children (Scotland) Act 1995 (amended by the Children and Young People (Scotland) Act 2014), if a local authority becomes aware that a person who is being provided with advice, guidance or assistance by them under this section has died, the local authority must as soon as reasonably practicable notify Social Care and Social Work Scotland (known as the Care Inspectorate).

Please complete attached form - DAC1

Please submit the relevant forms / reports through secure email to:

This email address is being protected from spambots. You need JavaScript enabled to view it.

The main contact for this work is:

Katherine Lamb, Strategic Inspector

Mobile: 07825 842 742

Deaths of young people in continuing care

Under Section 26 A (10) (b) of The Children (Scotland) Act 1995 (as amended by the Children and Young People (Scotland) Act 2014), If a local authority becomes aware that a person being provided with continuing care has died, the local authority must as soon as reasonably practicable notify Social Care and Social Work Improvement Scotland (known as the Care Inspectorate). 

Please complete attached form - DCC1

Please submit the relevant forms / reports through secure email to:

This email address is being protected from spambots. You need JavaScript enabled to view it.

The main contact for this work is:

Katherine Lamb, Strategic Inspector

Mobile: 07825 842 742

Initial Case Reviews (ICRs)

The updated National Guidance for Child Protection Committees Conducting a Significant Case Review (2015), requests that a written record of the decision of the initial case review whether or not to proceed to an SCR is sent to the Care Inspectorate. The Care Inspectorate has a role in collating information about the relationship between initial case reviews and significant case reviews, in order to understand more about the rationales being applied across the country in determining whether SCRs are carried out.

As part of the Child Protection Improvement Programme, the Child Protection Systems Review Group recommended that the Care Inspectorate’s role be extended so that it becomes the central repository for all ICRs as well as SCRs as a way of helping learning from these reviews to be shared and implemented more widely. 

As from June 2017, all Initial Case Reviews are routinely shared with the Care Inspectorate. The National Guidance for Child Protection Committees for Conducting a Significant Case Review clearly sets out the timescales for both Significant and Initial Case Reviews and we propose that the ICR report should be sent to the Care Inspectorate within seven days of the ratification of the outcome of the ICR by the Chief Officers Group.

This will enable a better understanding of the decision making process involved in determining the need and scope for ICRs and other reports, compared to the overall number of reported Significant Case Reviews, and identify areas where learning can be shared from the cases which do not proceed beyond Initial Case Review.

CPCs are required to submit the full ICR report to the Care Inspectorate along with the completed Form B within seven days of the ratification of the outcome of the ICR by the Chief Officers Group

Please complete attached Form - B

Please submit the relevant forms / reports through secure email to:

This email address is being protected from spambots. You need JavaScript enabled to view it.

The main contact for this work is:

Sharon Robertson, Strategic Inspector

Mobile: 0771 722 5965

Significant Case Reviews (SCRs)

The Care Inspectorate, on behalf of the Scottish Government, acts as a central collation point for all SCRs carried out by CPCs in Scotland from 1 April 2012.

The Care Inspectorate are responsible for reviewing the effectiveness of the processes for conducting each SCR and reporting informally to individual COGs and CPCs on good practice and support continuous improvement agenda.

The Care Inspectorate will also conduct a biennial review of all SCRs completed in Scotland, and, report nationally on the key learning points for the benefit of relevant services across Scotland and the Scottish Government.

The updated National Guidance for Child Protection Committees conducting a significant case review requests that on completion of the significant case review, a copy of the full SCR report is sent to the Care Inspectorate.

Please submit the full SCR report through secure email to

This email address is being protected from spambots. You need JavaScript enabled to view it.                     

The main contact for this work is:

Sharon Robertson, Strategic Inspector

Mobile: 0771 722 5965

Serious Incident Reviews

In 2010, the Scottish Government, the Association of Directors of Social Work (now Social Work Scotland), and the then social work scrutiny body, the Social Work Inspection Agency, agreed that it would be more appropriate if the task of assessing the quality of social work practice when offenders became involved in serious incidents was carried out by the scrutiny body rather than Scottish Government officials.

When a serious incident occurs the local authority should notify the Care Inspectorate within five working days. The Care Inspectorate provides a quality assurance role in Serious Incident Reviews, by looking at how reviews have been conducted and whether these have been carried out in a robust and meaningful way. The Serious Incident Review guidance with appendixes to submit a notification and review can be found here. 

The main contact for this work is:

Please submit the relevant forms / reports through secure email to:

This email address is being protected from spambots. You need JavaScript enabled to view it.   

Clare Wilson, Service Manager (Strategic Scrutiny, Justice)

Mobile: 07825 841746