NA53-Risk Assessment and Risk Management Policy

Registration Number: {{org_field_registration_no}}

Risk Assessment and Risk Management Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} establishes and maintains a consistent, systematic, and effective approach to identifying, assessing, managing, and reviewing risks associated with its operations, the provision of temporary healthcare staffing, and the delivery of care services by its registered nurses, healthcare assistants, and other temporary workers. Risk management is a vital part of delivering safe, high-quality, and effective care to service users while protecting the health, safety, and wellbeing of staff, clients, and others. This policy provides clear and comprehensive guidance for directors, agency workers, and other stakeholders regarding risk assessment processes, responsibilities, and reporting mechanisms. This policy is aligned with the Health and Safety at Work etc. Act 1974, the Management of Health and Safety at Work Regulations 1999, the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR), and the Care Quality Commission (CQC) Fundamental Standards.

2. Scope

This policy applies to: All registered nurses, healthcare assistants, and temporary staff employed or supplied by {{org_field_name}}. All directors, consultants, and operational staff responsible for the governance and management of {{org_field_name}}. All risks encountered in connection with agency activities, including but not limited to: – Placement of temporary workers in care homes, nursing homes, and other care settings. – Health and safety of staff and service users. – Safeguarding of adults at risk. – Clinical risks related to the provision of nursing and personal care. – Organisational risks (e.g., reputational, financial, regulatory compliance, data protection).

3. Related Policies

Health and Safety Policy – Infection Prevention and Control Policy – Safeguarding Adults Policy – Incident Reporting and Investigation Policy – Data Protection and Confidentiality Policy – Staff Training and Development Policy – Lone Working Policy – Equality, Diversity, and Inclusion Policy

4. Policy Statement

{{org_field_name}} is committed to: Creating a positive risk management culture that enables staff to proactively identify and manage risks. Protecting the safety and wellbeing of all staff, service users, clients, and others. Ensuring that staff are trained, supported, and equipped to contribute effectively to risk assessment and management. Complying with all legal and regulatory requirements relating to health and safety, safeguarding, and clinical risk management. Responding promptly and effectively to incidents, near misses, and emerging risks. Regularly reviewing and updating risk management processes to reflect changes in legislation, practice, and learning.

5. Responsibilities

Directors In the absence of a registered manager, the directors of {{org_field_name}} will: Take overall accountability for risk management within the agency. Develop, implement, and review risk management systems, policies, and procedures. Ensure all staff receive training on risk assessment and risk management appropriate to their role. Oversee the risk assessment process for agency activities and operations. Monitor incidents, complaints, audit findings, and client feedback to identify and manage emerging risks. Lead investigations into serious incidents or breaches of this policy. Maintain and review the agency’s Risk Register. Liaise with clients to support the management of risks within placement settings.

Temporary Workers and Agency Staff All agency workers must: Contribute actively to identifying risks within their role and placement. Follow the risk assessment processes and control measures put in place by the placement and {{org_field_name}}. Report hazards, incidents, near misses, or concerns immediately to both the placement and {{org_field_name}}. Engage with risk management training and apply learning to practice. Support service users in managing risks to promote autonomy while ensuring safety and wellbeing.

6. Principles of Risk Assessment

All risk assessments undertaken by {{org_field_name}} and its staff must follow the five recognised steps: 1) Identify the hazards – What could cause harm? 2) Decide who might be harmed and how – Consider staff, service users, visitors, contractors, and others. 3) Evaluate the risks and decide on precautions – Determine likelihood and severity, then put in place appropriate controls. 4) Record findings and implement them – Document clearly, implement actions, and communicate with relevant parties. 5) Review and update the assessment – Review regularly or when circumstances change (e.g., new legislation, incidents, or client feedback).

7. Types of Risk

Agency staff may encounter various types of risk, including: Health and safety risks (e.g., manual handling, slips, trips and falls, infection transmission). Clinical risks (e.g., medication errors, pressure ulcers, choking hazards). Safeguarding risks (e.g., abuse, neglect, exploitation). Environmental risks (e.g., unsafe equipment, poor maintenance of premises). Lone working risks. Organisational risks (e.g., data breaches, reputational damage). Personal risks to staff (e.g., stress, burnout, bullying).

8. Risk Assessments Undertaken by {{org_field_name}}

{{org_field_name}} will undertake the following risk assessments: General Health and Safety Risk Assessment (Agency Operations). Lone Working Risk Assessment. Staff Training and Competency Risk Assessment. Staff Wellbeing and Stress Risk Assessment. Data Protection Impact Assessments (where applicable). Placement Suitability Risk Assessment prior to entering contracts with clients.

9. Risk Assessments in Client Settings

Agency staff must adhere to placement-specific risk assessments and: Familiarise themselves with the client’s risk assessments, care plans, and relevant policies upon induction to each new placement. Participate in local risk management processes, including contributing to updating care plans and risk assessments if appropriately qualified. Follow control measures implemented by the placement and escalate concerns if control measures are absent, inadequate, or not followed.

10. Dynamic Risk Assessment

In addition to formal written assessments, all staff must apply dynamic (on-the-spot) risk assessment when faced with changing or unexpected situations. This involves: Assessing immediate risks. Taking prompt action to reduce or avoid harm. Reporting incidents or concerns immediately to the placement manager and {{org_field_name}}.

11. Incident Reporting and Learning

All incidents, near misses, and dangerous occurrences must be reported promptly and accurately using both the placement’s reporting system and {{org_field_name}}’s Incident Reporting Policy. The directors will: Investigate all incidents to identify root causes. Implement actions to prevent recurrence. Share lessons learned with staff through supervision, training, and policy updates. Notify regulatory bodies such as the CQC, HSE, or safeguarding boards where appropriate.

12. Risk Register

The directors will maintain a Risk Register documenting: All identified organisational risks. Actions taken to mitigate risks. Dates of reviews and updates. Any significant incidents linked to identified risks. The Risk Register will be reviewed at least quarterly and updated when needed.

13. Training

All staff will receive training on: Risk assessment principles. Incident reporting and management. Lone working risks. Infection prevention and control. Safeguarding adults at risk. Health and safety. Ongoing refresher training will be provided at appropriate intervals to ensure continued staff competence.

14. Communication

{{org_field_name}} will: Ensure staff are informed of risks relevant to their role. Ensure that information from risk assessments is shared appropriately with agency workers and clients. Promote open communication regarding risk identification and management. Encourage staff to raise concerns about risk without fear of recrimination.

15. Promoting Positive Risk Taking

{{org_field_name}} acknowledges that, particularly in social care, positive risk taking may support service users’ autonomy and quality of life. Staff must: Balance risks against the benefits of independence and choice. Support service users in making informed decisions. Document risk management and decisions clearly. Act in line with the Mental Capacity Act 2005 when supporting individuals who may lack capacity.

16. Monitoring and Review

The directors will: Monitor incident trends, audit results, and client feedback to identify and manage emerging risks. Review this policy annually or sooner if there are changes in legislation or guidance. Ensure that risk management remains embedded in the agency’s culture and day-to-day practice.

17. Policy Review

This policy will be reviewed at least annually or earlier if: Legislative changes occur. Incident investigations or audits identify areas for improvement. Feedback from staff or clients suggests the need for revision.

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.