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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Emergency and Business Continuity Plan Policy

1. Purpose

The purpose of this policy is to comprehensively outline {{org_field_name}}’s approach to emergency preparedness and business continuity management, ensuring uninterrupted, safe, and high-quality care to the people we support, and safeguarding the welfare of staff, visitors, and stakeholders during emergencies or operational disruptions. This policy aligns with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (as amended), the Care Act 2014, the Care Quality Commission (CQC) Fundamental Standards and the CQC Single Assessment Framework (including the quality statement Safe systems, pathways and transitions), and relevant legislation and guidance relating to health and safety, fire safety, infection prevention and control, safeguarding, information governance and data protection, and employment law.

1.1 Key legal and regulatory duties

In implementing this policy, {{org_field_name}} will ensure it can demonstrate compliance with:

(a) Regulation 12 (Safe care and treatment), Regulation 13 (Safeguarding service users from abuse and improper treatment), Regulation 15 (Premises and equipment), Regulation 17 (Good governance) and Regulation 18 (Staffing) of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014;

(b) Statutory notification duties to CQC under the Care Quality Commission (Registration) Regulations 2009 (including notifications of incidents and events that may prevent the service from operating safely and properly); and

(c) CQC assessment expectations under the Single Assessment Framework, including assurance of safe systems and continuity of care.

2. Scope

This policy applies to all personnel engaged by {{org_field_name}}, including but not limited to:

• Directors
• Registered Managers
• Deputy Managers
• Team Leaders
• Support Workers
• Administrative Personnel
• Contractors
• Volunteers
• Temporary or Agency Staff

It covers the organisation’s preparation and response to a wide range of emergencies, including but not limited to:

• Fire
• Medical emergencies
• Gas leaks
• IT and communication system failures
• Severe weather
• Flood
• Staffing shortages
• Industrial action
• Major pandemics
• Utility failures
• Safeguarding emergencies
• Terror threats or security breaches

3. Related Policies

• SL01 – Fit and Proper Persons: Directors Policy
• SL02 – Fit and Proper Persons: Employed Staff Policy
• SL04 – Good Governance
• SL06 – Compliance with the Care Act 2014 Policy
• SL07 – Person-Centred Care Policy
• SL08 – Dignity and Respect Policy
• SL13 – Safeguarding Adults from Abuse and Improper Treatment Policy
• SL14 – Receiving and Acting on Complaints Policy
• SL16 – Health and Safety at Work Policy
• SL17 – Infection Prevention and Control Policy
• SL18 – Risk Management and Assessment Policy
• SL20 – Fire Safety and Evacuation Procedures
• SL24 – Management of Accidents, Incidents, and Near Misses Policy
• SL25 – Notification of Other Incidents Policy
• SL29 – Whistleblowing (Speaking Up) Policy
• SL35 – Duty of Candour Policy

4. Principles of Emergency and Business Continuity Management

{{org_field_name}} operates under the following principles for effective business continuity and emergency management:

4.1 Comprehensive Risk Assessment

• Systematic and ongoing risk assessments are conducted at least annually, or more frequently when circumstances change.
• These assessments identify, evaluate, and record potential threats that may disrupt safe care delivery or business operations.

4.2 Emergency Plans

• Specific contingency plans are developed, documented, and regularly updated for all identified risks.
• Plans are subject to table-top exercises, scenario simulations, and periodic reviews.

4.3 Business Impact Analysis and Recovery Objectives

A Business Impact Analysis (BIA) will be completed for each service/premises to identify critical activities (for example: medication administration, nutrition and hydration, personal care, safeguarding, access to records, staffing cover, and essential communications) and set recovery objectives, including:

• Recovery Time Objective (RTO) – how quickly each critical activity must be restored;
• Recovery Point Objective (RPO) – the maximum acceptable data loss (for example, time since the last successful backup).

The BIA will inform contingency staffing, alternative premises arrangements, IT resilience, and supplier continuity plans.

4.4 Assurance evidence for CQC

We will maintain evidence that emergency and business continuity arrangements are implemented and effective, including: risk assessments, BIA outputs, exercise and drill records, scenario test reports, incident logs, decision logs, communication records, and post-incident debrief actions. These will be reviewed through governance processes and used to demonstrate effective safe systems and continuity of care.

5. Detailed Contingency Plans for Specific Scenarios

5.1 Industrial Action

In the event of industrial action (strike, walkout, work-to-rule, or mass absence):

• Contingency Staffing Plans:
  • Maintain a register of trained bank staff, volunteers, and trusted agency personnel.
  • Maintain pre-arranged agreements with multiple care staffing agencies.
  • Activate reciprocal agreements with partner organisations for temporary staff support.
• Pre-Strike Negotiation:
  • Engage early with staff and trade unions to explore resolution.
  • Utilise ACAS mediation where applicable.
• Operational Prioritisation:
  • Review each care plan and prioritise essential care, safeguarding, medication administration, nutrition, hydration, and personal care.
• Communication:
  • Inform people we support, families, and commissioners in advance of any service changes.
  • Provide regular updates throughout the industrial action period.
• Emergency Governance Group:
  • The Emergency Coordinator and senior management team will meet daily to assess risks, staffing levels, and adjust care arrangements as required.
• Post-Event Review:
  • Conduct a full review to identify lessons learnt and improve contingency arrangements.

5.2 Severe Weather (e.g. Snow, Ice, Storms, Heatwaves)

• Monitoring:
  • Monitor national and local weather alerts via Met Office, Environment Agency, and Local Authority communications.
• Staffing Logistics:
  • Implement flexible shift start/end times to enable safe travel.
  • Authorise staff to stay overnight in spare bedrooms, nearby accommodation, or hotels when applicable.
  • Use 4×4 transport services or partner arrangements for staff transport in extreme conditions.
• Communication Channels:
  • Utilise SMS, telephone trees, and instant messaging for rapid information sharing.
  • Family members will be kept updated if any adjustments to support plans are necessary.
• Prioritisation of Critical Support:
  • Focus on medical care, safeguarding, medication, food, hydration, hygiene, and emotional support.
• Equipment Preparedness:
  • Maintain stock of winter kits: snow shovels, salt/grit, torches, blankets, bottled water, and non-perishable foods.

5.3 Flood

• Risk Mapping:
  • Identify flood risk areas for all premises.
• Preparedness:
  • Maintain sandbags, pumps, portable generators, and waterproof storage for essential records and medication.
• Evacuation Protocols:
  • Evacuation plans include accessible routes, safe havens, and coordination with emergency services.
  • Emergency grab bags containing medication, identity documents, emergency contacts, and essential supplies are maintained.
• Post-Incident Procedures:
  • Once safe, reassess premises integrity, electrical safety, and environmental hygiene prior to reoccupation.

5.4 IT System Failure

• Data Protection and Recovery:
  • Regular daily backups of all electronic records to secure offsite/cloud storage.
  • Paper-based emergency care records available to enable safe support during outages.
• Alternative Communication Channels:
  • Use mobile phones, two-way radios, and hard copy communication logs.
• Immediate Response:
  • Escalate IT failures to technical support contractors under agreed SLA (Service Level Agreement).
  • Implement manual recording for medication administration, safeguarding concerns, incident reporting, and rotas.
• Cybersecurity:
  • Robust antivirus software, firewall protection, and staff cyber awareness training minimise risks.

5.5 Utilities Failure (power, water, gas, heating)

Immediate actions include making the environment safe, contacting the utility provider, implementing temporary measures (for example: portable heaters, bottled water, emergency lighting), and assessing impact on individuals’ health needs (for example: oxygen concentrators, electric profiling beds, refrigerated medicines, and hoists).
If safe care cannot be maintained, the Emergency Coordinator will activate relocation/safe haven arrangements and notify commissioners and families.

5.6 Fire / Smoke / Loss of Premises

Where evacuation or partial/full loss of premises occurs, staff will follow SL20 Fire Safety and Evacuation Procedures and implement the relocation plan, ensuring continuity of: medicines (including cold chain where relevant), care plans and risk assessments, essential equipment, and safeguarding oversight.
A record will be kept of all evacuated persons, destination(s), staff allocated, and handover details.

5.7 Infectious Disease Outbreak / Pandemic

Outbreak response will follow SL17 Infection Prevention and Control, including isolation/cohorting where applicable, staffing resilience arrangements, PPE supply continuity, enhanced cleaning arrangements, and escalation for relevant public health advice. We will ensure continuity of essential care and reduce isolation-related harm (including mental wellbeing checks, meaningful activity, and safe family contact arrangements).

5.8 Medication Continuity

Arrangements will be maintained to ensure uninterrupted access to medicines and safe administration during disruption, including: access to MAR records during IT downtime (paper contingency MARs), pharmacy escalation routes, emergency supplies, secure storage and key access, and temperature control requirements (including cold chain where required). Any missed or delayed doses will be recorded, escalated for clinical advice where needed, and reviewed and reported in line with incident procedures.

5.9 Supply Chain Disruption

A list of critical suppliers will be maintained (for example: food, continence products, PPE, cleaning materials, pharmacy, utilities, and equipment maintenance), including alternative suppliers and minimum stock levels. Where supply disruption risks safe care, the Emergency Coordinator will escalate to commissioners and implement alternative sourcing arrangements.

6. Emergency Coordinator Role

• A designated Emergency Coordinator will lead response operations.
• Responsible for:
  • Activating plans
  • Liaising with emergency services
  • Coordinating internal and external communications
  • Reporting to the Registered Manager and Nominated Individual
  • Maintaining an incident decision log (time, decision, rationale, who authorised, actions assigned and completed)
  • Ensuring statutory notifications are completed (including to CQC where required) and that safeguarding/commissioner notifications are made where relevant
  • Coordinating business continuity recovery priorities (restoring critical activities first) and confirming when the service is operating safely
  • Ensuring post-incident debriefs occur and that actions are tracked to completion through governance

7. Communication Protocols

• Internal:
  • Emergency phone trees
  • Team briefings
  • Crisis management meetings
• External:
  • Notification to families, commissioners, CQC, Local Authority Safeguarding Board, and other relevant stakeholders.
• Documenting All Actions:
  • Accurate contemporaneous notes maintained throughout the incident.

7.1 Statutory notifications

Registered persons must submit statutory notifications to CQC for specific events and incidents, including events that may prevent the service from operating safely and properly, deaths of a person using the service, serious injuries, safeguarding allegations, and other notifiable incidents as required by CQC notifications guidance. Notifications will be made without delay and within required timescales, with clear internal responsibility for completion, quality checking, and record retention.

Then add this bullet list:

The Emergency Coordinator (or delegated manager) will:

• decide whether the event meets the threshold for a CQC notification;
• submit the notification using the CQC provider portal (or other required route);
• retain a copy/reference number within the incident record; and
• ensure parallel notifications to commissioners and/or local authority safeguarding are completed where relevant.

8. Training and Exercises

All staff receive role-specific training on emergency procedures at induction and at least annually thereafter. The organisation will complete a minimum programme of scenario testing to evidence preparedness, including: table-top exercises at least annually, and drills/practical exercises where appropriate (for example: fire evacuation, loss of IT/telephony, utility failure, staffing surge, and relocation/safe haven activation). Each exercise will produce a short report capturing outcomes, gaps, actions, owners, and completion dates. Training and exercise records will be maintained, monitored, and reviewed through governance.

9. Continuous Improvement

• Following any emergency incident, a full debrief and incident analysis is conducted.
• Any lessons learned feed directly into future risk assessments and policy updates.

Where learning identifies a potential breach of safety or governance requirements, the Registered Manager will ensure prompt review of risk assessments and control measures, and will evidence actions through audit, management meeting minutes, and updated care plans and/or BCP documentation.

10. Policy Review

This policy will be reviewed at least annually or earlier if required due to changes in legislation, CQC requirements, identified risks, business needs, or following changes to CQC notifications guidance, the CQC Single Assessment Framework, or learning from external events affecting adult social care providers.

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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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