1. Scope

This policy applies to all employees, contractors, and stakeholders involved in the provision of supported living services at No user found. It is designed to ensure that comprehensive risk and impact assessments are conducted to safeguard the well-being, dignity, and safety of service users, staff, and visitors.

The policy covers risk assessments across various aspects, including but not limited to, health and safety risks, safeguarding risks, medication risks, environmental hazards, and personal care risks. It also encompasses impact assessments, ensuring that any changes to care plans, facilities, or policies do not negatively affect service users or breach regulatory requirements.

This policy applies to service users, care coordinators, support workers, management staff, external professionals, and other stakeholders responsible for care provision in supported living settings. The goal is to mitigate foreseeable risks and ensure service users live in a safe and supportive environment that upholds their rights and autonomy.

2. Legal and Regulatory Framework

Term/Regulation	Description/Definition
Health and Social Care Act 2008 (Regulated Activities)	Establishes the fundamental standards for health and social care providers, requiring safe and person-centred care practices.
CQC Regulation 12 (Safe Care and Treatment)	Mandates that care providers assess, mitigate, and manage risks to ensure service users receive safe care.
CQC Regulation 13 (Safeguarding Service Users from Abuse and Improper Treatment)	Requires providers to protect service users from harm, abuse, and neglect through effective risk assessment and mitigation strategies.
CQC Regulation 15 (Premises and Equipment)	Ensures that all premises and equipment used in care settings are maintained to a high standard, with risk assessments in place to prevent hazards.
CQC Regulation 17 (Good Governance)	Requires providers to have robust systems for risk assessment, continuous monitoring, and service improvement.
The Care Act 2014	Establishes legal duties to safeguard individuals and conduct risk assessments to ensure well-being in care settings.
The Mental Capacity Act 2005	Governs decision-making processes, requiring assessments to determine a service user’s capacity when managing risks.
The Equality Act 2010	Ensures that risk assessments and impact assessments are carried out without discrimination, promoting equal access to care and support.
The Health and Safety at Work Act 1974	Places a duty on care providers to assess and mitigate risks to both service users and staff in supported living environments.
The Data Protection Act 2018 (UK GDPR)	Regulates the handling and protection of personal data within risk assessment processes, ensuring confidentiality and compliance.

3. Definitions of Key Terms

Term	Description/Definition
Risk Assessment	A systematic process used to identify, evaluate, and mitigate potential hazards that could impact service users, staff, or premises.
Impact Assessment	The evaluation of how policies, procedures, or actions affect service users, ensuring fairness, compliance, and minimal disruption.
Person-Centred Care	A care approach that tailors support to the individual needs, preferences, and safety requirements of each service user.
Safeguarding	The legal and ethical duty to protect service users from abuse, neglect, exploitation, and harm within care settings.
Capacity Assessment	A process to determine whether a service user has the ability to make informed decisions about their care and associated risks.
Incident Reporting	The structured process of recording and responding to accidents, near misses, or concerns related to risk and safety in supported living.
Mitigation Strategies	Preventative measures put in place to reduce risks and protect the health, safety, and well-being of service users and staff.
Health and Safety Officer	(No user found) The designated individual responsible for ensuring that risk assessments and safety protocols comply with legal requirements.
Data Protection Officer	(No user found) The individual responsible for ensuring confidentiality and compliance with data protection laws when handling risk-related information.
Registered Manager	(No user found) The person overseeing compliance with risk assessment policies and procedures, ensuring service user safety.

4. Policy Statement

No user found is committed to implementing robust risk assessment and impact assessment practices to ensure the safety, dignity, and well-being of all service users. The purpose of this policy is to establish a structured approach to identifying, managing, and mitigating risks while ensuring compliance with CQC regulations, best practices, and legal requirements.

The objectives of this policy include:

Ensuring comprehensive risk assessments are conducted for all service users, environments, and operational activities to prevent harm.

Promoting a proactive approach to risk management, ensuring that potential hazards are identified and addressed before they cause harm.

Integrating impact assessments into decision-making processes to evaluate how changes in care provision, environment, or policies affect service users.

Adhering to CQC standards (Regulations 12, 13, 15, and 17) and other relevant legislation to ensure a high standard of care.

Supporting a culture of continuous improvement, where risk assessments are regularly reviewed and updated based on feedback, regulatory updates, and incident reports.

Encouraging service user participation in risk and impact assessments, respecting their autonomy and preferences in decision-making.

Ensuring that staff receive adequate training in risk identification, mitigation strategies, and compliance requirements.

5. Roles and Responsibilities

Role	Responsibilities
Registered Manager	(No user found) Oversees all risk assessment and impact assessment procedures, ensuring compliance with regulations and maintaining service user safety.
Health and Safety Officer	(No user found) Conducts risk assessments, ensures hazard mitigation, and implements health and safety protocols across supported living settings.
Safeguarding Lead	(No user found) Ensures that risk assessments incorporate safeguarding principles, intervening in cases where risks pose potential harm to service users.
Data Protection Officer	(No user found) Maintains compliance with GDPR and data security in relation to risk assessment records and confidential information.
Care Coordinators	Carry out individual risk assessments, ensuring service users receive appropriate support and risk mitigation tailored to their needs.
Support Workers	Identify and report potential risks, adhere to safety protocols, and implement risk management strategies in day-to-day care practices.
External Professionals (e.g., Social Workers, Occupational Therapists)	Provide specialist input on risk assessments and impact assessments to ensure best practice and compliance with care regulations.
Service Users and Their Representatives	Actively participate in risk assessments regarding their own care, ensuring their views and preferences are considered in decision-making.

6. Procedures

6.1 Conducting Risk Assessments

Risk assessments must be carried out prior to a service user moving into supported living and must be regularly reviewed.

Each risk assessment must include identification of hazards, evaluation of risks, implementation of control measures, and ongoing monitoring.

Risk assessments must cover environmental safety, personal care risks, medication risks, safeguarding concerns, and emergency preparedness.

Risk assessments should be documented, and copies made available to relevant personnel and service users where appropriate.

6.2 Conducting Impact Assessments

Impact assessments must be conducted before implementing any significant changes to care delivery, housing arrangements, or organisational policies.

The assessment must evaluate potential effects on service users, including accessibility, mental well-being, and care quality.

Any findings must be documented, and steps taken to mitigate any adverse effects must be implemented promptly.

6.3 Reviewing Risk and Impact Assessments

Risk and impact assessments should be reviewed at least every six months or sooner if there is a change in a service user’s condition, a reported incident, or an update in regulatory requirements.

Adjustments must be made where necessary to ensure ongoing compliance with best practices.

6.4 Managing and Escalating Risks

Any identified risks that cannot be immediately mitigated must be escalated to No user found for further review and intervention.

Serious risks, including safeguarding concerns, must be reported immediately to the No user found.

Risk management plans must be documented and regularly updated to reflect any changes.

7. Training and Development

7.1 Initial Training for New Staff

All new employees, including support workers, care coordinators, and managers, must complete mandatory training on risk and impact assessments as part of their induction programme.

This initial training will cover legal and regulatory requirements, including compliance with CQC Regulations 12, 13, 15, and 17, and best practices for conducting thorough risk assessments.

New staff will be trained on how to identify hazards, assess risks, implement mitigation strategies, and document findings accurately.

Scenario-based training exercises will be used to help staff understand practical applications of risk assessment in real-life supported living settings.

All new staff will undergo competency assessments at the end of their induction training to ensure they fully understand risk assessment procedures and their responsibilities.

7.2 Ongoing Training and Refresher Courses

All staff must participate in mandatory annual refresher training on risk assessment and impact assessment procedures.

These refresher courses will ensure staff remain up to date with changes in legislation, new risk management techniques, and emerging best practices.

Workshops and peer learning sessions will be provided to reinforce key concepts and encourage staff to share experiences and challenges in risk assessment.

Staff will be trained on incident reporting and documentation best practices, ensuring that all risks and concerns are recorded correctly and escalated when necessary.

7.3 Advanced Training for Senior Staff and Risk Management Leads

Care coordinators, safeguarding leads, and the registered manager will receive additional advanced risk assessment training tailored to leadership and decision-making roles.

This training will focus on complex risk scenarios, safeguarding interventions, mental capacity assessments, and multi-agency collaboration in risk mitigation.

Training will also include how to conduct impact assessments before implementing organisational changes, ensuring service users are not adversely affected by new policies or procedures.

Staff responsible for conducting risk assessments will undergo bi-annual competency evaluations to ensure they maintain a high level of skill and knowledge in risk management.

7.4 Specialised Training in Safeguarding and Whistleblowing

All employees will be required to complete specialist training in safeguarding procedures to comply with CQC Regulation 13.

Training will focus on recognising early warning signs of abuse, neglect, and exploitation, as well as how to report safeguarding concerns appropriately.

Whistleblowing procedures will be a core component of training, ensuring staff understand how to report concerns without fear of retaliation.

Role-specific safeguarding training will be provided for managers and safeguarding leads to equip them with the skills needed to handle complex safeguarding cases and liaise with external agencies.

7.5 Monitoring and Evaluating Training Effectiveness

No user found will track training compliance to ensure all employees complete required training within designated timeframes.

Regular competency assessments and knowledge checks will be conducted to evaluate staff understanding and application of risk management principles.

Staff who fail competency assessments or demonstrate gaps in knowledge will receive targeted support and additional training to address deficiencies.

Feedback from employees on training effectiveness will be collected through annual surveys and training evaluation forms, ensuring continuous improvement in training content and delivery methods.

Training records will be maintained in compliance with CQC regulations and reviewed during internal audits to ensure organisational accountability

8. Monitoring and Review

8.1 Regular Internal Audits

No user found will conduct quarterly internal audits to ensure that risk and impact assessment procedures are being implemented correctly and consistently.

These audits will involve reviewing documentation, conducting staff interviews, and evaluating service user feedback to identify areas for improvement.

Findings from these audits will be compiled into detailed reports, with recommendations provided to management for corrective actions where necessary.

Any gaps in compliance or areas of concern identified during audits will be addressed through targeted interventions, staff retraining, and policy adjustments.

8.2 External Compliance Reviews

An annual external audit will be conducted by an independent reviewer or regulatory body to assess No user found’s adherence to CQC regulations and best practices.

This external review will ensure an objective evaluation of risk assessment procedures and highlight any weaknesses in risk identification, mitigation, or reporting mechanisms.

Feedback from these external reviews will be incorporated into ongoing policy revisions and service improvements.

8.3 Service User and Staff Feedback Mechanisms

Service users, their families, and representatives will have dedicated channels to provide feedback regarding risk and impact assessments.

Regular feedback sessions, surveys, and focus groups will be conducted to gain insight into how effective risk management processes are in practice.

Staff will be encouraged to share their experiences, concerns, and suggestions through structured feedback mechanisms, including anonymous reporting options.

Any feedback collected will be reviewed by senior management and used to make improvements in risk management and service provision.

8.4 Incident Analysis and Trend Monitoring

A centralised risk incident log will be maintained to track all reported incidents, near misses, and identified hazards.

This log will be reviewed regularly to identify patterns, recurring risks, or systemic failures in risk management.

Insights gained from this data will inform policy adjustments, additional staff training, and resource allocation to improve risk mitigation.

Significant incidents will prompt immediate policy reviews and urgent interventions to prevent recurrence.

8.5 Continuous Policy Review and Improvements

The Risk Assessment and Impact Assessment Policy will be formally reviewed annually, incorporating the latest legal requirements, best practices, and learning from internal and external audits.

If a significant regulatory change or a serious risk event occurs, the policy will undergo an immediate review and necessary amendments.

Staff will be informed of any policy updates through training sessions, internal communications, and formal briefings.

Continuous improvement measures will be applied to ensure that risk and impact assessments remain robust, effective, and aligned with evolving industry standards.

8.6 Management Accountability and Reporting

The Registered Manager (No user found) will be responsible for ensuring that all monitoring and review activities are conducted in a timely and effective manner.

Reports from internal audits, external reviews, and feedback sessions will be presented to senior management and relevant regulatory bodies where required.

A structured action plan will be developed following each audit or review, detailing required improvements, responsible persons, and timeframes for completion.

The effectiveness of any changes or interventions will be evaluated through follow-up reviews and further staff consultations.

9. Reporting Concerns

9.1 Internal Reporting Procedures

All staff are required to report concerns regarding risk assessments, safety hazards, or service user well-being as soon as they arise.

Reports must be submitted through designated reporting channels, such as incident forms, electronic logging systems, or direct escalation to senior management.

The Registered Manager (No user found) will be responsible for overseeing the resolution of reported concerns, ensuring that all incidents are logged, investigated, and acted upon in a timely manner.

Reports should include clear documentation of the concern, date and time of the incident, individuals involved, and any immediate actions taken.

9.2 Confidentiality and Whistleblowing Protections

Staff members who report concerns in good faith will be protected under whistleblowing laws and No user found’s internal safeguarding policies.

Any reports of misconduct, safety breaches, or non-compliance with risk assessment procedures will be treated with strict confidentiality, ensuring that the identity of the reporting individual is safeguarded.

A dedicated whistleblowing channel will be available for staff to raise concerns anonymously, if necessary.

Any retaliation against staff who report genuine concerns will be strictly prohibited and subject to disciplinary action.

9.3 Service User and Family Reporting Mechanisms

Service users, their families, and representatives will have accessible methods to report concerns regarding risk management and safety.

These mechanisms will include formal complaints procedures, feedback meetings, and direct access to care coordinators.

Concerns raised by service users will be handled promptly and respectfully, with documented investigations and follow-up actions taken.

The Safeguarding Lead (No user found) will ensure that service user complaints related to safeguarding risks are escalated and investigated appropriately.

9.4 Incident Investigation and Resolution

All reported concerns will be thoroughly investigated following a structured approach to determine root causes and necessary interventions.

Investigations will involve gathering witness statements, reviewing documentation, and consulting relevant professionals where necessary.

Findings from investigations will be used to implement corrective actions, which may include policy amendments, additional training, staff disciplinary actions, or modifications to risk assessment protocols.

Investigations will be documented and reviewed regularly to identify recurring issues and trends, ensuring continuous improvements in risk assessment and incident prevention.

9.5 Reporting to External Regulatory Bodies

In cases where internal resolution is insufficient or regulatory breaches are identified, concerns may be escalated to external authorities, including:

Care Quality Commission (CQC) for regulatory compliance concerns.

Local Authority Safeguarding Teams for safeguarding issues.

Health and Safety Executive (HSE) for workplace safety concerns.

Ombudsman Services for unresolved service complaints.

The Registered Manager (No user found) will be responsible for ensuring that all necessary reports are filed within the required legal timeframes.

If a service user is deemed at risk, urgent escalation procedures will be implemented to safeguard their well-being.

9.6 Continuous Improvement from Reported Concerns

Reports and investigations will be analysed periodically to identify systemic concerns or areas where risk management can be improved.

Lessons learned from reported incidents will be used to enhance staff training, update risk assessment procedures, and implement additional safety measures.

Outcomes of investigations and procedural improvements will be shared with staff and service users, ensuring transparency and collective learning.

Regular case review meetings will be conducted by senior management to track progress on reported concerns and ensure accountability.