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Escalation Policy

Aim of Policy

This policy outlines how {{org_field_name}} has developed escalation procedures into its service delivery policies and quality assurance systems, particularly in respect of complaints handling and safeguarding alerts. These are in line with the applicable national care regulations and local authority reporting requirements.

The service sees escalation as a set of processes which have corresponding procedures and protocols that enable {{org_field_name}} management to address risks and adverse incidents and events at the appropriate level so that they can be dealt with quickly and effectively, and thereby minimising the risks of their reoccurring. These procedures should contribute to high standards of safe, effective, compassionate, responsive and well-led care.

Policy Statement

{{org_field_name}} uses the idea of escalation to ensure that reportable events occurring in the course of service delivery are addressed at the appropriate organisational level and, where necessary, escalated or passed on to the appropriate external service, such as the local authority or the applicable care regulator.

Most care service organisations have relatively flat management structures and reporting escalation procedures are built into the majority of their policies on the care and safety of people using the service. Where an adverse incident occurs, the first line of action is usually to report the matter immediately to the duty manager so that the management team (under the registered manager) can take the appropriate action.

The service’s management has established systems for reviewing all reported and reportable incidents as part of its commitment to quality assurance and continuous improvement and organisational oversight. Its findings are routinely reported to and discussed by the registered provider, who is ultimately accountable for maintaining and improving standards of service.

There are a number of specific policies and procedures which clearly entail an escalation process. The key policy areas include: adult safeguarding, medication administration, risk assessment and management, complaints, accidents and emergencies, continuity of service and contingency management.

The respective policies for these areas all include elements of reporting (escalation) and corresponding management responses. In addition, through its regular internal reviews and audits of documents such as care and support plans, accident and incident forms, risk assessments and complaints, the service can address issues arising at an organisational level. It will also address issues arising from information provided to and by external agencies, particularly local commissioning groups and the care regulator.


The service’s safeguarding policies layout how front-line staff must report any signs or suspicions of abuse, neglect or improper treatment to their managers, who in turn will raise an alert with their local safeguarding adults’ board and respond according to the decisions taken. Similar processes are followed in respect of allegations or evidence from other sources and where reported directly to other agencies, such as the care regulator.


All medication records for people using the service where the provider has or shares responsibility for supporting people to take their medicines safely and correctly are routinely monitored and reviewed so that any concerns over any aspect can be escalated to the appropriate authority at the appropriate level. Its staff must report all medication errors or concerns so that the appropriate actions can be take in individual cases.

Risks, accidents and near misses

The service has clear policies and procedures for the assessing and managing of risks and their monitoring and reviewing and for the reporting of accidents, errors and near misses that can occur in the delivery of a service, which can then be appropriately addressed at the appropriate level.


The provider’s complaints procedure establishes how complaints can be escalated, if necessary to ombudsman level, if there is any failure to resolve a complaint within the established procedure.

Continuity of care and contingency management

There are clear procedures for reporting and addressing instances such as, for example, a care worker who cannot attend to a user of the service as planned, cannot contact someone immediately and for managing more general contingencies such as transport strikes, heatwaves and extreme winter weather, which affect attendance at work.

Duty of candour

The service recognises that it has a duty of candour to be open and transparent with people using the service when anything goes wrong or mistakes are made in the delivery of its services. Its procedures ensure that issues that invoke its duty of candour are escalated to and addressed in an appropriate manner and at the appropriate level.


Staff are trained in the policies and procedures which involve reporting and escalation as part of their induction and further training, as described above. There is a particular emphasis in training on the escalation processes involved in safeguarding and safe care activities.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}

Reviewed on: {{last_update_date}}

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