Policies & Procedures
Incident Reporting Policy v1.0
Document owner | Registered Manager / Director |
Approved by | Mrs. Tavleen Sharma (Registered Manager) |
Version | 1.0 |
Review frequency | Every 12 months or following any significant incident |
Next review date | 12 months from issue or earlier if required. Next formal review date: 01-04-2027 |
1. Policy Statement
VCare Consultancy Services Limited is committed to promoting a safe, transparent and accountable culture in which all incidents, accidents, near misses and safety concerns are reported, investigated and managed appropriately.
The organisation recognises that effective incident reporting is essential to:
- safeguarding service users and staff;
- improving service quality;
- preventing recurrence;
- identifying risks;
- complying with legal and regulatory obligations;
- promoting continuous improvement.
VCare encourages prompt reporting of all incidents and operates a culture of openness, learning and accountability rather than blame.
2. Purpose
The purpose of this policy is to:
- establish clear incident reporting procedures;
- ensure incidents are managed consistently;
- support safeguarding and service user safety;
- ensure compliance with legal and regulatory requirements;
- identify lessons learned;
- reduce future risks;
- support Duty of Candour responsibilities;
- improve quality and governance arrangements.
3. Scope
This policy applies to:
- directors;
- registered managers;
- office staff;
- care staff;
- agency workers;
- contractors;
- volunteers.
The policy applies to all incidents arising during VCare operational activities including:
- domiciliary care;
- community support;
- office activities;
- transportation activities;
- lone working activities.
4. Legal and Regulatory Framework
This policy is informed by:
- Health and Safety at Work Act 1974
- Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 2013
- Care Act 2014
- Health and Social Care Act 2008
- CQC Fundamental Standards
- Management of Health and Safety at Work Regulations 1999
- Data Protection Act 2018
- Human Rights Act 1998
- Safeguarding legislation and guidance
5. Definition of an Incident
An incident is any event or circumstance that:
- causes harm;
- has potential to cause harm;
- affects safety or wellbeing;
- disrupts service delivery;
- breaches policy or procedure;
- creates safeguarding concerns.
Incidents may involve:
- service users;
- staff;
- visitors;
- contractors;
- members of the public.
6. Types of Incidents
Examples include but are not limited to:
6.1 Service User Incidents
- falls;
- injuries;
- medication errors;
- safeguarding concerns;
- choking incidents;
- deterioration in health;
- pressure damage;
- missing person incidents;
- behavioural incidents;
- self-neglect.
6.2 Staff Incidents
- injuries at work;
- aggression or violence;
- manual handling injuries;
- lone worker incidents;
- exposure to infection;
- accidents during travel.
6.3 Health and Safety Incidents
- fire incidents;
- environmental hazards;
- unsafe equipment;
- electrical hazards;
- slips, trips and falls;
- dangerous occurrences.
6.4 Information Governance Incidents
- data breaches;
- confidentiality breaches;
- loss of records;
- cyber-security concerns.
6.5 Safeguarding Incidents
- abuse;
- neglect;
- exploitation;
- discrimination;
- financial abuse;
- domestic abuse;
- organisational abuse.
7. Organisational Commitment
VCare is committed to ensuring that:
- all incidents are reported promptly;
- concerns are investigated fairly;
- learning is identified and shared;
- safeguarding concerns are escalated immediately;
- individuals affected are supported;
- corrective actions are implemented;
- Duty of Candour obligations are met where applicable.
8. Responsibilities
Directors and Registered Manager
Responsible for:
- ensuring effective incident management systems;
- overseeing investigations;
- ensuring safeguarding referrals are made;
- ensuring RIDDOR compliance;
- reviewing trends and learning;
- implementing corrective actions.
Managers and Coordinators
Responsible for:
- responding promptly to incidents;
- supporting staff;
- escalating serious concerns;
- maintaining records;
- undertaking investigations where required.
Employees
All employees must:
- report incidents immediately;
- cooperate with investigations;
- complete incident documentation accurately;
- escalate safeguarding concerns;
- follow emergency procedures;
- support service user safety.
Failure to report serious incidents may result in disciplinary action.
9. Immediate Actions Following an Incident
Following an incident, staff must:
- ensure immediate safety of all persons;
- provide first aid where trained and appropriate;
- contact emergency services if required;
- seek medical assistance where necessary;
- remove or reduce immediate risks;
- notify management promptly;
- preserve evidence where appropriate.
Safeguarding concerns must be escalated immediately.
10. Incident Reporting Procedure
10.1 Verbal Reporting
Staff must notify the office, on-call manager or Registered Manager as soon as reasonably practicable following an incident.
10.2 Written Reporting
An incident report form must be completed promptly and include:
- date and time;
- persons involved;
- factual description of incident;
- injuries sustained;
- witnesses;
- actions taken;
- safeguarding concerns identified;
- emergency services involvement;
- follow-up actions required.
Records must be factual, accurate and objective.
11. Serious Incidents
Serious incidents include:
- death;
- serious injury;
- abuse or neglect;
- major safeguarding concerns;
- serious medication errors;
- RIDDOR-reportable incidents;
- police involvement;
- missing vulnerable persons;
- serious data breaches.
Serious incidents must be escalated immediately to senior management.
Relevant authorities may need to be notified including:
- Care Quality Commission (CQC);
- Local Authority Safeguarding Teams;
- Health and Safety Executive (HSE);
- Information Commissioner’s Office (ICO);
- Police.
12. Safeguarding Responsibilities
Where incidents involve potential abuse, neglect or exploitation:
- safeguarding procedures must be followed immediately;
- local authority safeguarding referrals may be required;
- service user safety remains the priority.
Staff must never attempt to investigate safeguarding concerns independently without management oversight.
13. Duty of Candour
Where incidents result in moderate or significant harm, VCare will comply with Duty of Candour requirements including:
- openness and transparency;
- communication with service users and families;
- apology where appropriate;
- investigation and learning;
- documentation of actions taken.
14. RIDDOR Reporting
VCare will comply with Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) requirements.
Reportable incidents may include:
- serious workplace injuries;
- dangerous occurrences;
- occupational diseases;
- incidents resulting in hospital treatment.
Only authorised management personnel may submit RIDDOR notifications.
15. Investigation Process
VCare will investigate incidents proportionately based on:
- seriousness;
- risk level;
- safeguarding implications;
- recurrence patterns;
- legal obligations.
Investigations may involve:
- witness statements;
- care record reviews;
- risk assessment reviews;
- policy reviews;
- consultation with external agencies.
The purpose of investigations is to identify learning and improve safety.
16. Learning and Improvement
VCare is committed to continuous improvement and will use incident information to:
- identify trends;
- improve risk management;
- review care plans;
- improve staff training;
- revise procedures;
- reduce recurrence.
Learning outcomes may be shared through:
- supervision;
- team meetings;
- training sessions;
- governance reviews.
17. Support Following Incidents
VCare recognises incidents may affect:
- service users;
- families;
- staff.
The organisation will provide support through:
- supervision;
- debriefing;
- welfare support;
- safeguarding intervention where required;
- referral to external services where appropriate.
18. Confidentiality and Record Keeping
All incident records will be:
- accurate;
- secure;
- confidential;
- retained in accordance with legal requirements.
Information will only be shared lawfully and on a need-to-know basis.
19. Training and Awareness
VCare will provide staff training regarding:
- incident reporting procedures;
- safeguarding;
- Duty of Candour;
- health and safety;
- emergency procedures;
- RIDDOR awareness;
- documentation standards.
Training may be delivered during:
- induction;
- supervision;
- mandatory training;
- refresher sessions.
20. Monitoring and Governance
VCare will monitor:
- incident trends;
- safeguarding referrals;
- medication errors;
- falls;
- staff injuries;
- complaints and concerns;
- training compliance;
- lessons learned.
Governance reviews will be used to improve service quality and safety.
21. Related Policies
This policy should be read alongside:
- Safeguarding Policy
- Duty of Candour Policy
- Health and Safety Policy
- Medication Policy
- Lone Worker Policy
- Infection Prevention and Control Policy
- Whistleblowing Policy
- Data Protection Policy
- Complaints Policy
22. Review
This policy will be reviewed:
- annually;
- following serious incidents;
- following safeguarding investigations;
- following legislative or regulatory changes;
- following CQC recommendations.
23. Declaration
VCare Consultancy Services Limited is committed to maintaining robust incident reporting and management systems that promote safety, accountability, safeguarding and continuous improvement across all areas of service delivery.