Risk Management Policy and Procedure

1. Governance

1.1. This is the Risk Management Policy and Procedure for The Good Place Home Care Services Limited.

1.2. The Good Place Home Care Services Limited will be referred to in this document as "The Good Place Home Care Services Limited","The Good Place","We","Us", or "Our".

1.3. Our registered address is: 186 Wetmore Road, Burton-on-Trent, Staffordshire, DE14 1QZ.

1.4. We can be contacted by:-

• a. Telephone: 01283 296 337
• b. Email: [protected:ahello][protected:athegoodplace.care]
• c. Post: The Good Place, 186 Wetmore Road, Burton-on-Trent, Staffordshire, DE14 1QZ

1.5. Words importing one gender include all genders, and words in the singular include the plural and vice versa, unless the context requires otherwise.

1.6. Document control sheet:-

2. Purpose

2.1. To provide a structured approach to managing risks within our domiciliary care service.

2.2. To ensure that we fulfil the legal and regulatory responsibilities.

2.3. To support us to meet, and be able to evidence compliance with, the following CQC Single Assessment Framework quality statements:-

3. Scope

3.1. This policy applies to all aspects of our domiciliary care operations, including service users, employees, volunteers, contractors, visitors and other stakeholders. It covers the identification, assessment, control, monitoring, and review of risks associated with the planning and delivery of care services in people’s own homes, including risks related to people’s health, safety and welfare, safeguarding, medicines, infection prevention and control, information security and data protection, lone working, use of equipment and technology, and business continuity.

4. Policy Statement

4.1. This policy is used to provide a structured approach to managing risks within our domiciliary care service. The Good Place is committed to ensuring that all potential risks to service users, staff, and the business are identified, assessed, and managed effectively. By implementing a robust risk management framework, we aim to create a safe, high-quality care environment that supports the well-being of everyone involved.

4.2. We recognise that all aspects of life involve some degree of risk and we work with people, and where appropriate those important to them, to enable informed and positive risk-taking. Risk assessments and management plans are person-centred, proportionate and regularly reviewed so that people can do the things that matter to them while remaining as safe as reasonably practicable.

5. Legal & Regulatory Framework

5.1. This policy is guided by:-

• a. Health and Social Care Act 2008 and the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (including the CQC fundamental standards, in particular Regulations 12, 13, 17 and 18).
• b. Care Act 2014 and associated Care and Support Statutory Guidance.
• c. Health and Safety at Work etc. Act 1974.
• d. Management of Health and Safety at Work Regulations 1999.
• e. Mental Capacity Act 2005 and associated Code of Practice.
• f. General Data Protection Regulation (UK GDPR) and Data Protection Act 2018.
• g. Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 2013.
• h. Social care specific safeguarding guidance and local multi-agency safeguarding policies and procedures.

5.2. The Good Place is fully committed to meeting the requirements of the Accessible Information Standard (AIS), as set out by NHS England. This means we will ensure that people with a disability, impairment, or sensory loss receive information and communication support that they can understand and use effectively. This may include large print, easy-read versions, audio formats, or the use of interpreters and communication aids. See our Accessible Information Standard (AIS) Policy and Procedure for further details.

5.3. We also comply with the Equality Act 2010 and are fully committed to promoting diversity, and human rights in all aspects of our service provision and employment practices. We are dedicated to ensuring that all individuals, including staff, service users, and stakeholders, are treated fairly, with dignity and respect, and without discrimination. We will also make reasonable adjustments so that no individual is treated less favourably when using our service. This includes supporting people with protected characteristics such as age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation. See our Equality, Diversity and Human Rights Policy and Procedure for further details.

6. Commitment to Risk Management

6.1. The Good Place is committed to fostering a culture where risk management is embedded into daily practices. We actively encourage staff at all levels to participate in risk identification and mitigation processes. By implementing proactive measures, we aim to prevent accidents, minimise harm, and ensure the continuous improvement of our services. We provide regular training and resources to our team to equip them with the necessary skills to manage risks effectively.

6.2. We promote a culture of openness, transparency and learning, where staff, people using the service and those important to them feel able to raise concerns about safety or quality without fear of blame or reprisal. Concerns and incidents are treated as opportunities for learning and improvement.

7. Risk Identification and Assessment

7.1. We employ a systematic and person-centred approach to identifying risks across all areas of service provision. This includes conducting initial holistic risk assessments during service user onboarding and care planning, as well as ongoing evaluations throughout their care journey and at each review. We work with people, and where appropriate their relatives, carers or advocates, to identify what matters most to them and any associated risks. Risks are categorised into different types, including physical, emotional, psychological, financial, environmental, safeguarding, medicines-related, infection prevention and control, lone working, and operational risks. Our staff are trained to recognise hazards, report concerns promptly, and document findings accurately.

7.2. Once a risk is identified, it is assessed using a structured methodology that considers both the likelihood of occurrence and potential impact or harm. This enables us to prioritise risks and determine the most appropriate control measures. Risk assessments are reviewed at agreed intervals and sooner if there is a significant change in needs or circumstances, following an incident, near miss, safeguarding concern, hospital admission or discharge, or any other relevant event.

7.3. Where a person’s capacity to make a particular decision about risk is in doubt, we carry out and record a decision-specific mental capacity assessment in line with the Mental Capacity Act 2005. Any best interests decisions are made in consultation with the person (as far as possible), those important to them and relevant professionals, and recorded clearly in the care and risk management plan. We recognise people’s rights to make unwise decisions and seek to support and mitigate risk rather than remove autonomy.

8. Risk Mitigation and Control Measures

8.1. To reduce and manage risks effectively, The Good Place implements control measures tailored to each specific risk scenario. These measures include, but are not limited to:-

• a. Developing and maintaining individualised care and support plans and associated risk management plans that set out agreed control measures and responsibilities.
• b. Providing staff with adequate and role-specific training on health and safety, infection prevention and control, safeguarding adults and children (where applicable), mental capacity, medicines management, information governance and data protection, and emergency procedures.
• c. Ensuring that service users’ homes are, as far as reasonably practicable, safe and free from hazards by conducting appropriate environmental risk assessments and reviews, and working collaboratively with people and those important to them to address identified hazards.
• d. Implementing robust medicines management systems to prevent errors and ensure safe prescribing support, administration, recording, storage and disposal in line with our Medicines Policy.
• e. Establishing clear protocols for handling emergencies, including clinical emergencies, fire safety, missing persons, safeguarding concerns, serious incidents, IT or telephony failures and business continuity events.
• f. Implementing and monitoring lone working procedures for staff providing care in people’s own homes.
• g. Ensuring that information, including electronic and paper records, is stored, used, shared and retained securely and lawfully in line with data protection and confidentiality requirements.
• h. Regularly reviewing and updating policies, procedures, templates and tools to reflect best practice, learning from incidents and feedback, and current legal and regulatory requirements.

8.2. All control measures are regularly monitored and adjusted as needed to maintain their effectiveness. The Good Place places a strong emphasis on staff awareness and accountability, ensuring that all employees understand their roles in mitigating risks.

9. Monitoring and Review

9.1. Continuous monitoring and review of risk management processes are integral to maintaining a high standard of care. We maintain a risk register that documents identified risks, risk ratings, owners, controls in place, actions required and outcomes achieved. We use a range of information to monitor risk, including incident and accident reports, safeguarding concerns, complaints and compliments, audits, service user and staff feedback, outcome measures and external guidance. This evidence is used to assess the effectiveness of our risk management strategies and to inform improvement plans.

9.2. Quarterly risk management meetings, or more frequently where needed, are held to review the risk register, evaluate trends, discuss areas for improvement and agree and monitor actions. Significant or high-level risks are escalated promptly to senior management and, where appropriate, to commissioners, safeguarding teams or other relevant external bodies. Learning, key themes and agreed changes are communicated to staff and, where appropriate, to people using the service and those important to them in accessible ways. The Good Place is committed to a cycle of continuous improvement, ensuring that lessons learned from past incidents and external guidance inform future risk prevention strategies.

10. Business Continuity and Major Incident Planning

10.1. We maintain and periodically review business continuity and major incident plans to ensure we can continue to provide safe care in the event of significant disruption (for example, severe weather, pandemics, IT or telephony failures, staff shortages or other emergencies). These plans identify critical activities, roles and responsibilities, communication arrangements, and recovery priorities. Learning from any activation of these plans is reviewed and used to strengthen our risk management arrangements.

11. Staff Training and Responsibilities

11.1. All staff members receive induction and ongoing training and support that enables them to understand and fulfil their responsibilities for identifying and managing risk. This includes, as appropriate to their role, training in health and safety, infection prevention and control, safeguarding adults (and children where relevant), mental capacity and consent, medicines management, moving and handling, lone working, information governance and data protection, incident reporting, and emergency procedures. Refresher training is provided at intervals in line with legislation, guidance and good practice, and staff competence is monitored through supervision, appraisal and direct observation.

11.2. Managers and supervisors are responsible for leading and overseeing risk management activities within their areas of responsibility, ensuring compliance with this policy and associated procedures, maintaining and reviewing the risk register relevant to their service area, and ensuring staff receive appropriate training, supervision and support. All staff are responsible for taking reasonable care of their own health and safety and that of others, following agreed care plans and risk management plans, using equipment safely, reporting concerns or incidents promptly, and contributing to the development of safer working practices. The Registered Manager has overall responsibility for ensuring that effective systems are in place for identifying, assessing, managing and monitoring risks across the service.

12. Incident Reporting and Learning from Events

12.1. A transparent and responsive incident reporting system is essential to our risk management framework. All incidents, including near misses, accidents, medication errors, safeguarding concerns and complaints related to safety or quality, are documented, investigated and analysed to identify underlying causes and contributory factors. Where required, we make statutory notifications to the CQC, local authority safeguarding teams and, where applicable, report under RIDDOR or to other relevant bodies. Findings from investigations are used to inform risk assessments, refine policies and procedures, update training materials, provide feedback and learning in team meetings and supervision, and introduce additional control measures where necessary.

12.2. Where something goes wrong with a person’s care or support that has caused, or could cause, moderate or severe harm or death, we follow our Duty of Candour obligations (Regulation 20). This includes informing the person and, where appropriate, those important to them, offering an apology, providing a truthful explanation of what occurred, and setting out what will be done to prevent recurrence. We seek to involve people and, where appropriate, their relatives or advocates in discussions following incidents so that their views inform learning and improvement.