CH18-Risk Management and Assessment Policy

Registration Number: {{org_field_registration_no}}

Risk Management and Assessment Policy

1. Purpose

The purpose of this policy is to establish a structured and systematic approach to identifying, assessing, managing, and mitigating risks in our care home. Our goal is to ensure that all individuals receiving care, as well as staff members, are protected from avoidable harm, while maintaining a safe, effective, and person-centred service.

This policy aligns with Regulation 12 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, which requires care providers to assess risks to individuals’ health and safety and take appropriate actions to mitigate them.

By embedding proactive risk management into our daily operations, we can:

Prevent incidents and accidents, ensuring a safer environment.
Promote the well-being of the people we support by balancing safety with personal choice and independence.
Ensure legal and regulatory compliance, reducing the likelihood of enforcement actions or penalties.
Support staff with clear guidance, ensuring they understand and manage risks effectively.

2. Scope

This policy applies to:

All staff members, including care workers, nurses, senior management, and ancillary staff.
People we support, ensuring they receive care that is safe and free from avoidable risks.
Visitors, contractors, and external professionals, ensuring their safety while on the premises.
CQC inspectors and other regulatory bodies, demonstrating our approach to risk management.

It covers all aspects of risk assessment and management, including but not limited to:

Clinical risks, such as falls, pressure ulcers, medication errors, and infections.
Health and safety risks, including fire safety, environmental hazards, and equipment safety.
Staffing risks, such as competency gaps, burnout, and absenteeism.
Safeguarding risks, ensuring individuals are protected from abuse, neglect, or exploitation.
Financial and operational risks, including compliance with legal and business continuity planning.

3. Related Policies

This policy is closely linked to several other key policies, including:

CH11 – Safe Care and Treatment Policy, ensuring safety in care delivery.
CH13 – Safeguarding Adults from Abuse and Improper Treatment Policy, addressing safeguarding risks.
CH16 – Health and Safety at Work Policy, covering environmental and workplace safety.
CH17 – Infection Prevention and Control Policy, mitigating infection-related risks.
CH19 – Emergency and Business Continuity Plan, ensuring preparedness for crises.
CH25 – Notification of Other Incidents Policy, covering incident reporting and management.

4. Policy Statement

Our care home is committed to minimising risk while maximising individual choice and independence. Risk management is a continuous process that requires staff vigilance, structured assessments, and proactive measures.

We ensure that:

All potential risks are identified, documented, and reviewed regularly.
Risk assessments are conducted for all individuals receiving care, considering their medical conditions, mobility, and personal circumstances.
Workplace risks are assessed and mitigated, ensuring a safe environment for staff and visitors.
Incident reports are analysed, and lessons learned are integrated into future risk prevention strategies.
Staff receive regular training to identify, assess, and manage risks effectively.

5. Implementation – How We Manage Risk Efficiently

5.1 Identifying Risks

Risk identification is a proactive and continuous process. We use a variety of methods to identify risks, including:

Pre-admission risk assessments for every person we support, identifying potential health, mobility, or cognitive risks.
Environmental risk assessments to identify hazards such as trip hazards, fire safety concerns, or infection control weaknesses.
Incident and accident reports, which are reviewed for trends and recurring issues.
Staff observations and feedback, ensuring risks are identified in day-to-day operations.
Regulatory inspections and audits, ensuring compliance with CQC requirements.

Once a risk is identified, it is logged in our risk register, categorised, and prioritised based on the potential level of harm and likelihood of occurrence.

5.2 Conducting Risk Assessments

We follow a structured 5-step approach to risk assessment:

Identify the hazard – Determine what could cause harm (e.g., fall risks, medication errors, infection control breaches).
Determine who might be harmed and how – Identify whether staff, individuals receiving care, or visitors are at risk.
Evaluate the risk level – Assess the likelihood and potential severity of harm occurring.
Implement risk control measures – Take steps to mitigate or remove the risk (e.g., install grab rails, enhance staff training).
Review and monitor – Regularly reassess risks and adapt measures as needed.

Risk assessments are conducted:

Upon admission, as part of a person-centred care plan.
After any significant change in condition, such as a fall, infection, or decline in health.
As part of routine health and safety inspections, ensuring a safe environment.

5.3 Managing Specific Risks

Clinical Risks

Falls Prevention: We conduct falls risk assessments and implement mobility aids, non-slip flooring, and staff supervision where needed.
Medication Safety: We follow strict medication management protocols, ensuring safe administration and avoiding errors.
Pressure Ulcer Prevention: We implement turning schedules, pressure-relieving mattresses, and regular skin assessments.
Infection Control: We enforce strict hygiene practices, PPE use, and vaccination programmes.

Environmental and Workplace Risks

Fire Safety: We conduct regular fire drills, maintain clear evacuation plans, and ensure all staff are trained in fire response procedures.
Equipment Safety: All equipment is routinely inspected and maintained, and faulty equipment is removed immediately.

Safeguarding Risks

Protection from Abuse: We train staff to recognise and report safeguarding concerns, ensuring all allegations are investigated thoroughly.
Mental Capacity and Consent Risks: We ensure all decisions are made lawfully, in accordance with the Mental Capacity Act 2005.

Operational and Financial Risks

Staffing Risks: We have robust recruitment, training, and retention policies to maintain a stable workforce.
Business Continuity Risks: Our Emergency and Business Continuity Plan ensures that services remain operational during crises.

5.4 Incident Reporting and Learning from Events

All incidents, accidents, and near misses must be reported immediately using our internal reporting system. The Registered Manager is responsible for ensuring that:

All incidents are logged, investigated, and followed up with corrective actions.
Lessons learned are shared across teams to prevent recurrence.
CQC is notified of serious incidents, in line with Regulation 18 – Notification of Other Incidents.

5.5 Training and Staff Responsibilities

Risk management is embedded in our staff training programmes, covering:

Identifying and assessing risks in care delivery.
Incident reporting and emergency response protocols.
Health and safety legislation and infection control measures.
Safeguarding and whistleblowing procedures.

Staff are encouraged to take proactive responsibility for identifying and managing risks in their daily work.

6. Compliance with CQC Standards

This policy ensures compliance with:

Regulation 12 – Safe Care and Treatment, requiring effective risk management.
Regulation 13 – Safeguarding from Abuse and Improper Treatment, ensuring protection from harm.
Regulation 17 – Good Governance, requiring systematic oversight of risks.
Regulation 18 – Notification of Incidents, ensuring transparency in risk management.

7. Monitoring and Review

This policy will be reviewed annually or sooner if:

Legislation or CQC requirements change.
Incident reviews or audits identify areas for improvement.
Service users, families, or staff raise concerns about risk management.

The Registered Manager is responsible for ensuring compliance and continuous improvement.

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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