Incident Example Incidents Investigation Timeframe Grade Grade and action 1 Avoidable or unexpected Investigation Level 1: The Company to death. submit initial report within two working Concise root cause analysis (RCA) for days. Healthcare associated both infections. No Harm and Low Harm and/or where the circumstances are very similar to other The Company will previous incidents. submit completed Adult safeguarding investigation within incidents (see the A concise RSA will enable the Company 45 working days. Company’s Safeguarding to ascertain whether unique factors exist, Policy for more thus focusing resources on implementing information). service improvement. Data loss and Investigation Level 2: information security. Comprehensive RSA for incidents causing moderate to severe harm or death. The policy is this will be the Company’s default investigation level for grade 1 incidents. Investigations will be carried out by directors of the Company and led by the clinical governance and performance lead who may seek advice and services from specialist external sources as required. 2 Child protection Comprehensive RCA. Initial report within incidents (see the 2 working days. The Company’s safeguarding Company will submit policy for more a completed information). investigation within 60 working days. ‘Never events’ Accusation of physical misconduct or harm. Data loss and information security (DH Criteria level 3-5). Selected grade 2 Investigation Level 3: Initial report within incidents 2 working days. Independent RCA. Independent These might include investigators should major systemic failure be commissioned to with multiple complete an stakeholders. investigation within 6 months
Incident Grade Example Incidents Investigation Grade and action Timeframe 1 Avoidable or unexpected death. Healthcare associated infections. Adult safeguarding incidents (see the Company’s Safeguarding Policy for more information). Data loss and information security. Investigation Level 1: Concise root cause analysis (RCA) for both No Harm and Low Harm and/or where the circumstances are very similar to other previous incidents. A concise RSA will enable the Company to ascertain whether unique factors exist, thus focusing resources on implementing service improvement. Investigation Level 2: Comprehensive RSA for incidents causing moderate to severe harm or death. The Company’s policy is this will be the default investigation level for grade 1 incidents. Investigations will be carried out by directors of the Company and led by the clinical governance and performance lead who may seek advice and services from specialist external sources as required. The Company to submit initial report within two working days. The Company will submit completed investigation within 45 working days. 2 Child protection incidents (see the Company’s safeguarding policy for more information). ‘Never events’ Accusation of physical misconduct or harm. Data loss and information security (DH Criteria level 3-5). Comprehensive RCA. Initial report within 2 working days. The Company will submit a completed investigation within 60 working days. Selected grade 2 incidents These might include major systemic failure with multiple stakeholders. Investigation Level 3: Independent RCA. Initial report within 2 working days. Independent investigators should be commissioned to complete an investigation within 6 months
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