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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Risk Management and Assessment Policy

1. Purpose

The purpose of this policy is to establish a structured approach to identifying, assessing, managing, and mitigating risks in the delivery of domiciliary care services. {{org_field_name}} is committed to ensuring that all risks associated with care provision, staff safety, and organisational operations are systematically managed to maintain high-quality, safe, and effective services.

Risk management is essential to:

• Protect the safety and well-being of service users, staff, and visitors.
• Comply with regulatory requirements under CIW and relevant legislation.
• Ensure effective decision-making in risk-related situations.
• Promote a culture of continuous improvement in service delivery.

2. Scope

This policy applies to:

• All care staff and support workers, who must follow risk management procedures.
• The Registered Manager and Responsible Individual, responsible for ensuring compliance and oversight.
• Service users and their families, ensuring they are aware of risks in home-based care.
• Contractors and external professionals, who must comply with safety procedures when working within service users’ homes.

3. Legal and Regulatory Framework

This policy is based on the following legislation and CIW regulations:

• The Regulation and Inspection of Social Care (Wales) Act 2016.
• The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, which mandate providers to assess and manage risks effectively.
• The Health and Safety at Work etc. Act 1974, which requires employers to protect employees and others from risks.
• The Management of Health and Safety at Work Regulations 1999, which mandates formal risk assessments.
• The Manual Handling Operations Regulations 1992, governing safe lifting and movement practices.
• The Control of Substances Hazardous to Health (COSHH) Regulations 2002, relating to hazardous substances.
• The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 2013, requiring the reporting of workplace incidents.

4. Risk Management Process

4.1 Identifying Risks

{{org_field_name}} identifies risks in the following key areas:

• Service user risks, including falls, medical conditions, mobility issues, or medication errors.
• Workplace hazards, including lone working, manual handling, and infection control.
• Environmental risks, such as fire hazards, trip hazards, and poor home conditions.
• Data protection and confidentiality risks, ensuring compliance with GDPR.
• Business continuity risks, such as staffing shortages, financial risks, and emergencies.

How we manage this efficiently:

• Initial risk assessments are completed before care begins.
• Ongoing risk monitoring is integrated into care reviews.
• Incident reports and staff feedback help identify emerging risks.

4.2 Conducting Risk Assessments

Risk assessments are a systematic evaluation of hazards and their impact on service users, staff, and the organisation.

At {{org_field_name}}, risk assessments include:

• Person-centred risk assessments for each service user, detailing medical needs, mobility, and home environment.
• Workplace risk assessments, ensuring staff safety when delivering care.
• Specific risk assessments for medication administration, lone working, infection control, and safeguarding.

How we manage this efficiently:

• Standardised risk assessment templates ensure consistency.
• Dynamic risk assessments allow staff to make real-time decisions when entering unpredictable situations.
• Risk ratings (low, medium, high) guide decision-making and mitigation efforts.

4.3 Implementing Risk Control Measures

Once risks are identified and assessed, control measures are put in place to reduce their likelihood and impact.

Common control measures include:

• Personal protective equipment (PPE) for infection control.
• Safe manual handling techniques to prevent injuries.
• Medication management protocols to avoid errors.
• Lone worker safety systems, including regular check-ins.
• Fire safety checks in service users’ homes.

How we manage this efficiently:

• Control measures are recorded in care plans and staff are trained accordingly.
• Regular reviews ensure that measures remain effective.
• Digital risk management systems help track control measures and updates.

4.4 Monitoring and Reviewing Risks

Risk management is an ongoing process, requiring regular reviews to ensure that identified risks remain under control.

{{org_field_name}} follows a structured review process, including:

• Routine risk reassessments (every 6 months or sooner if changes occur).
• Incident reports analysis to identify patterns.
• Staff and service user feedback, ensuring risks are managed effectively.

How we manage this efficiently:

• A central risk register tracks all identified risks and actions taken.
• Lessons learned from past incidents inform future risk management strategies.
• Managers conduct random spot-checks to ensure compliance.

4.5 Emergency and Business Continuity Planning

Risk management includes preparing for emergencies, such as:

• Power outages affecting medical equipment.
• Staff shortages impacting care provision.
• Severe weather conditions preventing visits.
• Major health outbreaks (e.g., flu, COVID-19).

How we manage this efficiently:

• Emergency response plans are in place for all foreseeable risks.
• A backup staffing plan ensures continuity of care.
• Communication protocols ensure rapid response to crises.

5. Responsibilities in Risk Management

• Registered Manager: Ensures compliance with risk management procedures.
• Care Workers: Follow risk assessments and report new risks.
• Service Users and Families: Participate in risk-reducing strategies.
• Responsible Individual: Monitors the effectiveness of risk controls and ensures CIW compliance.

6. Training and Staff Awareness

• All staff receive mandatory risk assessment training.
• Lone working, infection control, and manual handling training are refreshed annually.
• Staff are empowered to identify and report risks proactively.

7. Related Policies

This policy aligns with:

• Health and Safety at Work Policy (DCW16).
• Lone Working and Staff Safety Policy (DCW23).
• Infection Prevention and Control Policy (DCW17).
• Fire Safety and Evacuation Procedures (DCW20).
• Management of Accidents, Incidents, and Near Misses Policy (DCW24).

8. Policy Review

This policy will be reviewed annually or sooner if required due to changes in legislation, business needs, or CIW regulations. The Registered Manager and Responsible Individual are responsible for ensuring its accuracy and implementation.

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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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