CHW18-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 robust framework for identifying, assessing, mitigating, and monitoring risks within {{org_field_name}} to ensure the safety, well-being, and rights of all service users, staff, and visitors.

This policy ensures compliance with the Regulation and Inspection of Social Care (Wales) Act 2016, The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, and Social Services and Well-being (Wales) Act 2014.

By effectively managing risks, {{org_field_name}} ensures safe, high-quality care that promotes independence while minimising harm and hazards.

2. Scope

This policy applies to:

All staff members, including care workers, managers, and ancillary staff.
Registered Manager and Responsible Individual, ensuring risk governance and compliance.
Service users and their families, ensuring involvement in risk assessments.
External professionals and regulatory bodies, including CIW and healthcare professionals.

3. Related Policies

This policy should be read in conjunction with:

Safe Care and Treatment Policy (CHW11)
Health and Safety at Work Policy (CHW16)
Safeguarding Adults from Abuse and Improper Treatment Policy (CHW13)
Infection Prevention and Control Policy (CHW17)
Emergency and Business Continuity Plan (CHW19)
Fire Safety and Evacuation Procedures (CHW20)
Medication Management and Administration Policy (CHW21)
Duty of Candour Policy (CHW35).

4. Policy Statement

{{org_field_name}} is committed to proactively managing risk to safeguard service users, staff, and visitors. Risk management is embedded in daily operations, ensuring that all potential hazards are identified, assessed, and mitigated through preventative measures, staff training, and continuous monitoring.

Risk management at {{org_field_name}} follows the principles of proportionality and balance, ensuring that service users are not unnecessarily restricted while promoting choice, dignity, and independence.

5. Implementation and Management

5.1 Governance and Leadership

The Responsible Individual (RI) has strategic oversight of risk management and ensures compliance with CIW regulations.
The Registered Manager is responsible for implementing and monitoring risk management processes daily.
A Risk Management Lead is appointed to oversee risk assessments, training, and policy updates.

5.2 Risk Assessment Process

Risk assessments are conducted using a structured, evidence-based approach in line with CIW quality standards. The process includes:

Identifying Hazards – Recognising physical, environmental, operational, and clinical risks.
Assessing Risk Severity – Categorising risks based on likelihood and impact (low, medium, high).
Developing Risk Mitigation Plans – Implementing control measures to reduce or eliminate risks.
Monitoring and Reviewing – Regularly updating risk assessments to reflect changing needs.

Risk assessments are carried out:

Upon admission of a new service user and regularly reviewed.
After any significant incident or near miss.
For all new activities, equipment, or service changes.

5.3 Individual Risk Assessments for Service Users

Each service user has a personal risk assessment as part of their care plan. This covers:

Mobility and Falls Prevention – Assessing the risk of falls and implementing mobility aids.
Nutritional and Hydration Needs – Identifying risks of malnutrition or dehydration.
Medication Management – Preventing medication errors and adverse reactions.
Dementia and Cognitive Impairments – Managing risks related to confusion or wandering.
Safeguarding and Protection – Identifying vulnerabilities and safeguarding measures.

Risk assessments are regularly updated, and service users and families are involved in the decision-making process.

5.4 Environmental and Workplace Risk Management

Fire Safety and Evacuation Plans – Regular fire drills and clear escape routes.
Infection Control Measures – Prevention of infections through stringent hygiene protocols.
Equipment Safety – Regular maintenance checks on hoists, wheelchairs, and medical devices.
Lone Working Procedures – Ensuring the safety of staff working alone.

5.5 Incident and Accident Reporting

All incidents, near misses, and accidents are reported using a standardised reporting form.
The Root Cause Analysis (RCA) approach is used to investigate serious incidents.
Lessons learned are shared in team meetings and used to enhance risk controls.

5.6 Medication Safety and Risk Reduction

Only trained staff administer medications, following the Medication Management Policy (CHW21).
Regular audits ensure medication safety, and incidents are reported to CIW as required.

5.7 Safeguarding and Deprivation of Liberty Considerations

Risks related to abuse, neglect, or coercion are identified and mitigated in line with the Safeguarding Policy (CHW13).
Deprivation of Liberty Safeguards (DoLS) are considered when restrictive interventions are necessary.

5.8 Health and Safety Compliance

{{org_field_name}} complies with The Health and Safety at Work Act 1974, ensuring staff safety.
Personal Protective Equipment (PPE) is provided for infection control and manual handling.
Regular training and risk assessments are conducted for all hazardous activities.

5.9 Staff Training and Competency

All staff receive mandatory training on risk assessment, incident reporting, and health and safety.
Regular refresher training ensures staff remain up to date with the latest best practices.
Supervisions and competency checks ensure that staff apply risk management effectively.

5.10 Continuous Improvement and Compliance Monitoring

Quarterly risk audits identify trends and areas for improvement.
Annual reviews of policies and procedures ensure they remain aligned with CIW regulations.
Feedback from service users, families, and staff is incorporated into ongoing risk assessments.

6. Compliance with Legislation and Regulations

This policy ensures compliance with:

The Regulation and Inspection of Social Care (Wales) Act 2016.
The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017.
The Health and Safety at Work Act 1974.
The Social Services and Well-being (Wales) Act 2014.
CIW Safeguarding and Quality of Care Standards.

7. Policy Review

This policy will be reviewed annually or sooner if legislative requirements change. The Registered Manager is responsible for ensuring this policy remains current and effective.

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}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.