Serious Incident Policy

This procedure is to be followed when a serious incident occurs. A rapid response in terms of dealing with the immediate issues, communicating the nature of the incident to senior managers and completing a diagnostic are required. The procedure details the stages and timescales to be followed and includes a definition of a serious incident.

A Serious Incident in the context of this procedure is defined as a situation which may seriously harm staff, people who use the service, or others, and/or involve financial irregularities. It includes serious damage to Council premises which may disrupt the delivery of services and serious breaches of confidentiality. Guidance about what should be included is contained in Appendix A: Definition of a Serious Incident. If there is uncertainty about if an incident should be categorised as serious then a report should be made. The responsibility for this decision if there is any doubt about whether a report should be made rests with the Head of Service.

In deciding if an incident should be defined as "serious" under this procedure consideration should be given to how likely it is to produce legal, media or other interest, which if not properly managed may result in further damage or harm to those involved or damage to the Council's reputation.

The stages of the procedure, individual accountability and timescales to be followed are summarised in the Table in Appendix B: Serious Incident Procedure Stages.

The Council has a legal responsibility to report certain serious incidents under other relevant Polices, for example the Derbyshire and Derby Safeguarding Adults Policy and Procedures. This procedure is not a substitute for action required under other procedures or legal requirements.

Immediate Response

The first priority of the person in closest proximity to the serious incident is to respond to the immediate needs of the individual(s) involved and to re-establish a safe environment. If necessary the emergency services should be contacted, the environment made safe and appropriate steps taken to maintain a safe environment and protect the physical and emotional well being of all those who have been involved. No aspect of the procedure should detract from this primary duty. The person responsible for these actions is the most senior person immediately available. Assistance should be sought from other members of staff if possible and necessary.

Initial Discussion

After these initial responses have been concluded, the most senior member of staff available, having evaluated the information available from the staff directly involved, will decided how serious the incident was. If the incident is "catastrophic" then as soon as practicable a phone call should be made to the Chief Executive's Office or relevant Strategic Director's office and a verbal report made on what has happened and the action taken. A serious incident notification form should be completed and returned as soon as possible, but within one working day. "Catastrophic" includes death or serious injury to a service user, member of staff or member of the public, serious damage to Council property, immediate, significant disruption to a Council service or immediate inquiries from the press with regard to the incident.

If it is decided that the incident is serious, then a serious incident notification form should be completed as above. The form should be sent to the Head of Service, who will then clarify any detail before sending to the Chief Executive or relevant Strategic Director, the relevant Service Director and the Head of Service Quality Assurance. The report should be brief, factual but include all the relevant information available. Personal opinions or conjecture about any aspect of the incident should not be included.

Serious Incident Meeting

Some serious incidents may require a response from more than one service in the Council. The Service Director and Head of Quality Assurance receiving the initial report should consider if a Serious Incident Meeting is required. The purpose of this meeting is to share information and ensure that action taken by different services is co-ordinated. The timing of the meeting will be determined by a risk assessment completed by the Service Director.

Investigation

On receipt of the notification form, having considered if a Serious Incident Meeting is required, the Service Director should nominate a manager to investigate the incident and provide a more detailed report on the circumstances of the incident and lessons to be learned. The Service Director will agree with the investigating officer a timescale for completing the report, based on an assessment of the nature of the incident; but this will be no longer than 28 days. As part of the role, the Investigating Officer will ensure that appropriate de-briefing of staff and support arrangements are in place.

The report may include recommendations to minimise the risk of a similar incident occurring again and any opportunities there may be for learning across the Department or the Council.

Review and Feedback

On receipt of the investigating officer's report the Service Director will review the report and recommendations and agree a process for feeding back to staff if this is appropriate and a process for monitoring the implementation of any recommendations.

The Service Director will forward a copy of the investigation report to the Strategic Director highlighting any opportunities for learning in other areas of the Department or Council. If areas of urgent concern are identified this should be actioned immediately, within 28 days.

Annual Review and Dissemination

The Strategic Director will collate the lessons learned from Serious Incident Reviews on an annual basis and identify any common themes. A report will be tabled on an annual basis at Chief Officer Group where dissemination of lessons learned will be agreed, for example, through the monthly team briefing, or if the range of learning opportunities justifies this, through a learning event for staff.