Serious Untoward Incidents Policy

VERSION: 1
DATE OF IMPLEMENTATION/REVIEW: 01/09/2021
IMPLEMENTED AND AUDITED BY: Alex Hashash
STATUS: Approved
COMMENTS: To be reviewed 01/09/2022

Purpose

This policy outlines the procedures in place for reporting and investigating Serious Untoward Incidents, ensuring that employees are aware of their responsibilities; investigations are carried out appropriately and in a timely manner; and efforts are made to prevent recurrence.

Statement

A Serious Untoward Incident (SUI) can be defined as an event which results in serious injury, major permanent harm, or unexpected death. These may also be incidents which are likely to cause public concern.

In cases where there is a ‘near miss’ but under different circumstances there would be a likely occurrence of serious injury, major permanent harm or unexpected death; follow procedures for SUI.

Procedure and Guidance

Reporting

The reporting of any SUI is mandatory. Staff must:

Ensure the safety of all involved
Inform management immediately
Complete an adverse incident form

In order to manage SUI’s effectively action must be taken within specific time frames.

Within 24 hours:

The manager must inform the company’s board of directors.
The Board of Directors will determine whether further reports need to be made, for example social services, Police, RIDDOR, etc.
The Board of Directors will decide if an investigation is required
Family members to be informed
If there was any equipment involved management should ensure it is withdrawn from service until fully inspected
Management to gather accurate account of events of timings through statements from all involved. These must be signed and dated
Risk assessment to be carried out according to risk management policy

Within 5 working days:

The board of directors must review all information and data relating to the incident
The board of directors must submit an interim report to determine if any further action is required.
If the incident requires further investigation this should take no longer than eight weeks.

Investigations

An investigation of a SUI should:

Help to establish facts
Include statements from witnesses
Identify what actions should be taken to prevent recurrence, for example removal of faulty/damaged equipment, policy changes, modification to the physical environment, etc.

All involved parties should be kept informed of on-going investigations and their outcomes.

Reporting to RIDDOR

The company accepts legal responsibility for the Reporting of Injuries, Dangerous Occurrence and Diseases (RIDDOR).

This includes:

Deaths and Injuries caused by workplace accidents
Occupational Diseases
Carcinogens, mutagens and biological agents
Specified injuries to workers
Dangerous occurrences (near misses)
Gas incidents

Reporting to the Police

A death should be reported to the police if:

It happens suddenly and unexpectedly
It was caused by violence
It was a result of self-harm
The cause of death is suspicious and unexplained.

Whistleblowing

All staff members are responsible for reporting incidents and concerns.

Staff should refer to the company’s Whistleblowing policy when:

There are concerns from within the company
Concerns have been raised but left unaddressed.

Examples of Serious Untoward Incidents

Correct procedures MUST be followed for SUI’s involving Clients and staff members, as well as members of the public should they experience an SUI whilst visiting the premises.

Where there is a risk of serious harm due to negligence by staff
Where death or serious injury occurs
Where there is suspicion that deliberate harm has occurred
Where serious harm may have occurred due to ineffective procedures or failure to comply with procedure
Where serious harm was caused by faulty equipment
Where there is suspicion of serious harm resulting from an unsafe environment
Where there is suspicion of serious harm involving drugs and/or alcohol
Where there is an attempt of self-harm
Where an act of violence has resulted in serious injury or death
Where there has been a risk of serious harm due to an outbreak of fire
Where there is a threat to public health

Supporting Staff

The company aims to minimise SUI’s through risk assessment and taking appropriate actions following an investigation.

All employees and sub-contractors who may have to deal with a traumatic or stressful incident will be supported by the company.

The company will refer individuals to external services for counselling and allow for time away from work to attend appointments.

This policy will be introduced to all staff at induction and reviewed annually.

KLOE Reference for this Policy: Well-Led | Safe | Effective

Regulations directly linked to this Policy: Regulation 12: Safe Care and Treatment | Regulation 17: Good Governance

Regulation(s) relevant to this Policy:

Next Review