DC25-Notification of Other Incidents Policy

Registration Number: {{org_field_registration_no}}

DC25-Notification of Other Incidents Policy

1. Purpose

The purpose of this policy is to establish a clear and structured approach for the notification, reporting, and management of incidents that may impact service users, staff, visitors, and the overall operation of {{org_field_name}}. Ensuring timely and accurate reporting allows for appropriate investigations, risk mitigation, and regulatory compliance with the Care Quality Commission (CQC), Health and Safety Executive (HSE), and local authorities.

By implementing this policy, we aim to foster a culture of transparency, accountability, and continuous improvement, ensuring that all reportable incidents are addressed effectively and preventatively.

2. Scope

This policy applies to:

All employees, including care workers, administrative staff, and management.
Service users and their families, ensuring their rights and safety.
Visitors, contractors, and third-party service providers.
Regulatory bodies and local authorities, ensuring compliance and cooperation in investigations.

It covers:

What constitutes a reportable incident.
The process of notification and reporting.
Investigation and follow-up procedures.
Corrective actions and risk prevention.
Compliance monitoring and continuous improvement.

3. Legal and Regulatory Framework

This policy aligns with the following legal and regulatory requirements:

Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Ensuring safety and compliance in care services.
Care Quality Commission (CQC) Fundamental Standards – Mandating reporting of significant incidents.
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 2013 – Governing reporting of workplace injuries and health hazards.
Data Protection Act 2018 & GDPR – Maintaining confidentiality in incident reporting.
Safeguarding Vulnerable Groups Act 2006 – Ensuring the protection of service users.

4. Definition of Reportable Incidents

Incidents that must be reported include but are not limited to:

Service User Safety Incidents:
- Unexplained injuries, significant changes in condition, or unexpected hospitalisation.
- Medication errors leading to harm or risk.
- Falls, burns, or other accidents occurring during care provision.
- Any safeguarding concerns or suspected abuse.
Staff-Related Incidents:
- Workplace injuries, assaults, or significant health concerns.
- Allegations of misconduct or breaches of professional conduct.
- Exposure to infectious diseases or hazardous materials.
Environmental and Operational Incidents:
- Power outages, equipment failures, or disruptions affecting service delivery.
- Breaches of security, including unauthorised access to service users’ homes.
- Fire incidents, flooding, or structural hazards in service locations.
Data Protection Breaches:
- Loss, theft, or unauthorised access to sensitive service user or staff data.
- Cybersecurity incidents affecting business continuity.

5. Notification and Reporting Procedures

To ensure immediate action and regulatory compliance, all incidents must be:

Reported as soon as possible to the Registered Manager or designated Incident Lead.
Recorded in the Incident Report Log, detailing date, time, location, individuals involved, and a factual account of the event.
Escalated to external authorities (e.g., RIDDOR, CQC, safeguarding teams) if required by law.
Reviewed within 24 hours to determine further investigation needs.

6. Investigation and Follow-Up Procedures

Each incident undergoes a structured investigation process to ensure root causes are identified and preventive actions are taken. The investigation follows these steps:

Step 1: Initial Response and Containment
- Immediate actions taken to ensure the safety of service users and staff.
- Temporary control measures implemented if ongoing risks exist.
Step 2: Gathering Evidence
- Collection of statements from witnesses and affected individuals.
- Review of CCTV (if applicable), records, and environmental conditions.
- Analysis of related care plans, risk assessments, or medication logs.
Step 3: Root Cause Analysis
- Identification of the contributing factors leading to the incident.
- Assessment of whether procedural failures, environmental hazards, or human error played a role.
Step 4: Reporting Findings and Actions
- Compilation of an incident report detailing findings and recommended actions.
- Submission of reports to external regulatory bodies where necessary.
- Communication of outcomes to affected service users, families, and staff.

7. Corrective Actions and Risk Prevention

To prevent recurrence of incidents, corrective actions may include:

Policy or procedural amendments to address gaps in care delivery.
Staff retraining or competency assessments.
Implementation of additional safety measures such as enhanced risk assessments.
Equipment maintenance and improvements to eliminate hazards.
Supervision or disciplinary actions where negligence or misconduct is identified.

8. Compliance Monitoring and Continuous Improvement

To maintain high safety standards and regulatory compliance, {{org_field_name}}:

Conducts quarterly reviews of all reported incidents to identify trends and implement risk mitigation strategies.
Implements corrective measures based on investigation findings.
Engages with staff, service users, and regulatory agencies to gather feedback for continuous improvement.
Regularly updates this policy in response to regulatory changes and best practices.

9. Policy Review and Updates

This policy is reviewed annually or sooner if:

New legislation or CQC requirements necessitate amendments.
Incident data suggests policy improvements are required.

Internal or external audits recommend procedural changes.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.

DC25-Notification of Other Incidents Policy