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HCS02-Risk Management Policy

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Risk Management Policy
In line with the Care Inspectorate’s regulatory requirements, quality framework and guidance for support services (care at home, including supported living models of support), and relevant Scottish legislation

1. Purpose and Aims

Our Home Care business is committed to providing a safe and supportive environment for all service users, staff, and visitors. We understand that delivering high-quality care involves identifying, assessing, and managing risks to prevent or reduce harm. This policy explains our risk management framework, highlighting how we comply with Care Inspectorate Scotland regulations and other relevant legislation. Its purpose is to guide our staff on systematic and proactive approaches to risk assessment and mitigation. By maintaining robust processes and clear documentation, we strive to protect the dignity, health, and well-being of everyone involved in our service.

2. Scope

This policy applies to all staff, including full-time, part-time, agency, and voluntary workers. It also includes individuals who provide indirect support, such as administrative or technical personnel. Risk management is integral to every aspect of our operations—from direct care delivery to office-based administration—ensuring we maintain a high standard of safety and quality at all levels.

3. Regulatory Context

We comply with the statutory framework for registered care services in Scotland and the Care Inspectorate’s approach to scrutiny and improvement. This includes:

4. Definitions

5. Roles and Responsibilities

  1. Registered Manager
    The Registered Manager is responsible for implementing this policy and ensuring compliance with regulatory requirements. They oversee the overall risk management processes, confirm that staff are adequately trained, and ensure all identified risks receive appropriate action.
  2. Care Coordinators and Team Leaders
    These individuals support the Registered Manager by carrying out day-to-day risk assessments, reviewing care plans, and ensuring staff follow the appropriate procedures. They act as the first point of contact for escalating concerns and ensuring that control measures are practical and effective.
  3. All Staff
    Every staff member has a duty to maintain awareness of potential risks, report emerging issues, and follow established procedures for risk management. They must complete required training, remain vigilant during care visits, and communicate any safety concerns with the relevant team members.
  4. Service Users and Their Families
    We encourage service users, their families, and other representatives to participate actively in risk assessments and reviews, sharing information that may help us better understand and mitigate any risks they face.

6. Risk Management Process

We have established the following process to identify, assess, reduce, and review risks:

  1. Identification of Risks [K01]
    Our staff are trained to identify risks in every aspect of care, including the home environment, manual handling activities, medication administration, and the emotional and psychological well-being of service users. We encourage proactive observation, ongoing communication, and regular audits or spot checks to capture concerns before they escalate.
  2. Assessment of Risk [K02]
    When a risk is identified, staff complete a structured risk assessment form. This form evaluates the nature of the risk, whom it affects, the potential severity or harm, and the likelihood of occurrence. Staff also explore any aggravating or mitigating factors, such as environmental constraints or service-user-specific conditions (e.g., mobility issues or sensory impairments).
  3. Development of Risk Control Measures [K03]
    Drawing on best practice guidelines, staff propose control measures to eliminate or reduce the identified risk. This may include adjusting care schedules, providing additional equipment, altering the physical environment, or involving external specialists (e.g., occupational therapists). Control measures must be both proportionate and person-centered, respecting the rights, choices, and dignity of service users.
  4. Documentation and Communication [K04]
    All findings and actions are documented in the service user’s care plan and our Risk Assessment register. We also record recommended control measures and the rationale behind them. Any changes to standard procedures are communicated to relevant team members, service users, and, where appropriate, their families. This ensures everyone involved has a clear understanding of the identified risk and the agreed management plan.
  5. Implementation and Staff Guidance [K05]
    Once risk control measures are approved, staff implement them consistently. This might involve performing tasks in a specified way, using particular pieces of equipment, or taking additional safety checks during each visit. Staff are encouraged to ask for clarification if they are uncertain about any part of the risk management plan.
  6. Monitoring and Review [K06]
    Risk levels can change over time, so we continually monitor how effectively our control measures are working. Regular reviews of risk assessments are built into our quality assurance schedule. If a risk increases or decreases or if we receive updated information about a service user’s condition, we revise and re-evaluate the risk management plan.

7. Additional Measures for High-Risk Situations

Where we identify a risk that could result in severe harm (e.g., complex medical conditions, severe allergies, or significant safeguarding concerns), we implement additional safeguards. These may include:

8. Staff Training and Competency

We ensure all staff receive induction and ongoing training to equip them with the knowledge and practical skills needed for effective risk management. This training includes:

We also provide refresher sessions to keep staff updated on any new policies, guidelines, or best practices issued by regulatory bodies. Where a specific high-risk task is required (for example, moving and handling procedures), we arrange appropriate additional training.

9. Incident Reporting and Learning

If an adverse event occurs or a near-miss is identified, staff must complete an incident report promptly. We investigate the circumstances, identify any failures in our processes, and implement improvements to prevent recurrence. Key learning from incidents is shared with the wider team to enhance overall risk awareness and promote a culture of continuous improvement.

Where an event meets the Care Inspectorate notification criteria, we will notify the Care Inspectorate immediately via the required system and maintain the required records, in line with current ‘Notifications and record keeping’ guidance (adult services). This includes (where applicable) serious accidents/incidents/injuries, outbreak of infectious disease, death of a person using the service, allegations/concerns of abuse or protection concerns, and other notifiable events.

Where an incident triggers the organisational Duty of Candour, we will apply the Duty of Candour procedure and recordkeeping requirements in line with the Duty of Candour Procedure (Scotland) Regulations 2018 and current Scottish Government guidance.

10. Confidentiality and Data Protection

We handle all risk assessment documents confidentially and lawfully in line with the UK General Data Protection Regulation (UK GDPR) and the Data Protection Act 2018. Access is restricted to authorised staff who require the information to provide safe, effective care, and information is shared on a need-to-know basis.

11. Quality Assurance and Continuous Improvement

The Registered Manager and senior team will audit risk assessments, incident trends and action plans as part of our quality assurance programme. We will use the Care Inspectorate Quality Framework for Support Services (care at home, including supported living models of support) to support structured self-evaluation and to evidence improvement, ensuring our approach aligns with the Health and Social Care Standards and Care Inspectorate scrutiny methods.

12. Implementation and Review of This Policy

This policy is implemented immediately upon approval by the senior management team and remains under ongoing review. We will revise it as needed to reflect changes in legislation, best practices, or our organizational structure. All staff will be informed promptly of any updates, and updated policies will be distributed, discussed, and stored in a readily accessible location.

13. References

  1. Public Services Reform (Scotland) Act 2010
  2. The Social Care and Social Work Improvement Scotland (Requirements for Care Services) Regulations 2011 (SSI 2011/210)
  3. Health and Social Care Standards: My support, my life
  4. Care Inspectorate: Quality framework for support services (care at home, including supported living models of support) (May 2022)
  5. Care Inspectorate: Notifications and record keeping (adult services) guidance (current version)
  6. Duty of Candour Procedure (Scotland) Regulations 2018 and Scottish Government Duty of Candour guidance (revised March 2025)
  7. SSSC Codes of Practice for Social Service Workers and Employers (2024)
  8. Health and Safety at Work etc. Act 1974
  9. Management of Health and Safety at Work Regulations 1999
  10. Adult Support and Protection (Scotland) Act 2007
  11. Data Protection Act 2018 / UK GDPR

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