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Serious Untoward Incidents Policy

Serious Untoward Incidents Policy

STATUS: Approved
COMMENTS: To be reviewed 01/09/2022



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.



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


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  • If there was any equipment involved management should ensure it is withdrawn from service until fully inspected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.



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.



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