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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Critical Incident and Serious Incident Policy

1. Purpose

The purpose of this Critical Incident and Serious Incident Policy is to establish clear procedures for the recognition, reporting, investigation, management, and learning from critical and serious incidents involving temporary workers employed by {{org_field_name}}. This policy ensures that all incidents, whether occurring within the agency or in client settings such as care homes, nursing homes, or healthcare facilities, are handled in a manner that protects the safety and wellbeing of service users, temporary workers, and all stakeholders. The policy aims to reduce the risk of recurrence and promote a culture of safety, openness, and continuous improvement. This policy is designed to comply with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, the Care Act 2014, the Duty of Candour (Regulation 20), the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 2013, and guidance from the Care Quality Commission (CQC), the Nursing and Midwifery Council (NMC), and the Local Safeguarding Adults Boards.

2. Scope

This policy applies to:

• All temporary workers employed by {{org_field_name}}, including registered nurses, healthcare assistants, and support staff on zero-hours or casual contracts
• All incidents that occur within the agency’s activities, including incidents occurring within client organisations during temporary workers’ placements
• All directors and administrative staff responsible for monitoring, investigating, and reviewing incidents
• All incidents relating to service users, temporary workers, colleagues, visitors, and others affected by the agency’s operations

3. Related Policies

• Safeguarding Adults and Children Policy
• Incident Reporting and Management Policy
• Whistleblowing Policy
• Health and Safety Policy
• Complaints Policy
• Infection Prevention and Control Policy
• Record Keeping and Confidentiality Policy
• Duty of Candour Policy

4. Definitions

Critical Incident: Any event that has caused or has the potential to cause significant harm, injury, distress, or disruption but does not necessarily meet the threshold of a serious incident. This may include but is not limited to:

• Near misses that could have caused serious harm
• Violence or aggression towards staff or service users
• Medication errors with potential to cause harm
• Environmental hazards that could have led to injury

Serious Incident: Any event which has resulted in:

• Death
• Permanent harm or severe temporary harm
• Significant safeguarding concern
• A requirement for immediate hospitalisation or medical intervention
• Major disruption to care delivery
• Events reportable under RIDDOR
• A breach of legal, regulatory, or professional obligations

All incidents must be reported, regardless of their perceived severity, to ensure appropriate action is taken.

5. Legal Framework

This policy complies with:

• The Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (Regulations 12, 13, 17, 18, 19, and 20)
• The Care Act 2014 (Safeguarding duties)
• RIDDOR 2013
• The Human Rights Act 1998
• The Equality Act 2010
• The Mental Capacity Act 2005 (if relevant to the incident)
• The NMC Code (for registered nurses)

6. Principles of Incident Management

{{org_field_name}} is committed to:

• Promoting a culture of openness, honesty, and learning
• Supporting the principles of the Duty of Candour
• Ensuring the safety and wellbeing of clients and staff
• Ensuring incidents are managed promptly, thoroughly, and transparently
• Working in partnership with client organisations, regulators, and safeguarding authorities
• Using incident data to reduce risk and improve practice

7. Temporary Workers’ Responsibilities

Temporary workers must:

• Immediately report any critical or serious incident to the client’s designated manager or responsible person
• Notify {{org_field_name}} without delay following an incident, even if the client has already been informed
• Complete any required incident documentation, including client-specific forms and {{org_field_name}}’s internal incident reporting form
• Participate in incident investigations, debriefs, or reviews as required
• Maintain confidentiality at all times when discussing incidents
• Cooperate with safeguarding processes where applicable

Temporary workers must not delay reporting because of uncertainty about severity; all incidents should be reported so that appropriate classification and action can be determined by the director.

8. Types of Reportable Incidents

Examples of reportable critical and serious incidents include but are not limited to:

• Unexpected death of a service user during or following temporary worker involvement
• Service user sustaining a serious injury (e.g., fracture, head injury) under the supervision of a temporary worker
• Medication errors resulting in or with the potential for serious harm
• Missing or absconded service users
• Physical or sexual assault, including allegations
• Safeguarding concerns relating to abuse or neglect
• Environmental hazards leading to evacuation or closure of a service
• Failure to follow infection control procedures resulting in or risking an outbreak
• Major health and safety breaches
• Data protection breaches involving personal information of clients or staff

9. Reporting Procedure

9.1 Immediate Actions

The temporary worker must:

• Ensure the immediate safety of all parties
• Seek emergency medical attention if required
• Notify the client’s responsible person without delay
• Contact {{org_field_name}} as soon as safely possible using the agreed reporting channels

9.2 Formal Incident Reporting

The temporary worker must:

• Complete the client’s incident report form as per the client’s procedures
• Complete {{org_field_name}}’s Incident Reporting Form within 24 hours or as soon as reasonably practicable
• Provide factual, clear, and objective information

9.3 Notifying External Bodies

The director will:

• Assess whether the incident meets the criteria for external reporting (CQC, safeguarding boards, RIDDOR, or NMC referral)
• Liaise with client organisations to ensure all relevant statutory notifications are completed
• Act as the primary point of contact for regulators if the incident involves temporary workers from {{org_field_name}}

10. Investigations

The director will:

• Initiate an internal investigation promptly upon notification of a critical or serious incident
• Work collaboratively with client organisations, safeguarding teams, and other relevant bodies
• Review all relevant documentation, including witness statements, records, and care plans
• Conduct interviews with temporary workers if required
• Identify root causes, contributing factors, and learning points
• Conclude the investigation within agreed timescales (normally within 28 working days, subject to complexity)

Temporary workers are required to:

• Fully cooperate with investigations
• Attend debrief meetings if requested
• Participate in reflective practice discussions

11. Safeguarding and Serious Incidents

Where an incident raises safeguarding concerns:

• The temporary worker must report it immediately to both the client and {{org_field_name}} following the Safeguarding Policy
• The director will ensure prompt referral to the Local Authority Safeguarding Adults Team
• The director will participate in safeguarding enquiries and act on any safeguarding adults board recommendations
• The temporary worker will be supported throughout the safeguarding process and must comply with all requests for information

12. Duty of Candour

{{org_field_name}} fully supports the Duty of Candour and will:

• Ensure that the client organisation informs service users and families of serious incidents truthfully, sensitively, and as early as possible
• Support temporary workers in understanding their role in maintaining openness and honesty following incidents
• Document all communication with clients, temporary workers, and relevant stakeholders relating to the incident

13. Record Keeping and Confidentiality

All incident-related documentation must be:

• Accurate, factual, and completed promptly
• Stored securely in compliance with the Data Protection Act 2018 and GDPR
• Available for audit, inspection, and regulatory scrutiny

Temporary workers must not disclose information relating to an incident beyond those with a legitimate need to know.

14. Learning and Continuous Improvement

The director will:

• Analyse incident data to identify themes, trends, and recurring issues
• Update training programmes to address learning from incidents
• Review policies and procedures where necessary following incident findings
• Share anonymised learning with temporary workers and client organisations
• Ensure all serious incidents are considered as part of quality improvement activities

15. Support for Temporary Workers

{{org_field_name}} recognises that involvement in a critical or serious incident can be distressing. The director will:

• Offer debriefing and emotional support following incidents
• Provide temporary workers with access to appropriate guidance and, where needed, signposting to counselling or occupational health
• Ensure temporary workers are supported throughout the investigation process without prejudice
• Review whether additional supervision or training is needed

16. Director’s Responsibilities

In the absence of a registered manager, the director will:

• Take full responsibility for the implementation, oversight, and review of this policy
• Ensure that all temporary workers are trained on incident management procedures during induction
• Review all incidents involving temporary workers for quality, safety, and safeguarding concerns
• Ensure that learning is shared internally and externally as appropriate
• Lead the agency’s response to regulatory, safeguarding, or legal enquiries regarding serious incidents

17. Working with Client Organisations

{{org_field_name}} will:

• Work in partnership with client organisations to manage critical and serious incidents effectively
• Support client-led investigations and comply with client-specific reporting requirements
• Assist clients in reporting to regulatory bodies where required
• Collaborate in post-incident learning, service improvement, and client safeguarding arrangements

18. Continuous Quality Improvement

The director will:

• Review this policy at least annually or sooner if prompted by changes in legislation, best practice guidance, or internal learning
• Review incident data to monitor performance and trends
• Use findings from investigations to develop safer practices and training content
• Ensure that lessons learned are embedded into the wider quality assurance framework of {{org_field_name}}

19. Policy Review

This policy will be reviewed annually by the director of {{org_field_name}} or sooner if changes to legislation, regulation, or service needs require. All amendments will be communicated promptly to temporary workers and client organisations.

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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}}
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