How are risks to people assessed and their safety monitored and managed so they are supported to stay safe and their freedom is respected?

By Laura Wood / 16/08/2022

Over the next few months, we will be exploring the CQC key lines of enquiry by each question and sharing resources we think you might find useful.

IS IT SAFE? How are risks to people assessed and their safety monitored and managed so they are supported to stay safe and their freedom is respected?

Is Your Service Safe - How are risks to people assessed and their safety monitored and managed so they are supported to stay safe and their freedom is respected?

Question	Prompt
S2.1	What arrangements are there to manage risks appropriately, and to make sure that people are involved in decisions about any risks they may take?
S2.2	How do risk management policies and procedures minimise restrictions on people’s freedom, choice and control, in particular for people who lack mental capacity?
S2.3	Are people’s records accurate, complete, legible, up-to-date, securely stored and available to relevant staff so that they support people to stay safe?
S2.4	Are formal and informal methods used to share information with appropriate parties on risks to people’s care, treatment and support?
S2.5	Are there thorough, questioning and objective investigations into whistleblowing or staff concerns, safeguarding, and accidents or incidents? Are action plans developed, and are they monitored to make sure they are delivered?
S2.6	How is equipment, which is owned or used by the provider, managed to support people to stay safe? How are the premises and safety of communal and personal spaces (such as bedrooms) and the living environment checked and managed to support people to stay safe? How does the provider manage risks where they provide support in premises they are not responsible for?
S2.7	How do staff seek to understand, prevent and manage behaviour that the service finds challenging? How are individuals supported when their behaviour challenges? How well does this align with best practice?

Ratings characteristics

Potential sources of evidence
People & their carers, friends and relatives: • Experiences of risk assessments, management and outcomes. • Whether people feel safe and their rights, preferences and dignity are respected. • Whether / how safety management impacts on freedom, choice and control. • Whether the premises and equipment are safe. • Experience of raising safety concerns. • Access to relevant information. CRM (Customer Relations Management) • Share your experience forms. • Notifications. • Coroners Reports. • Information of concern enquiries. Organisations Feedback about whether / how: • Safety-related information is appropriately shared. • Risk assessments, management and practice keep people safe. • The service appropriately manages risk and any restrictions on freedom, choice and control. Staff Feedback about: • Experiences of safety-related training, support & guidance in practice. • Access to people’s safety-related assessments and records. • Organisational expectations, culture and approach to safety. • The safety of premises and equipment. • Safety-related policies, guidance, procedures, standards and responsibilities and how to apply them in practice. Certificates (as applicable to service type) • Gas safety certificate • Electrical wiring certificate • PAT testing certificate and stickers • Legionella Certificate/risk assessment and checks • Passenger lift service certificate • Mobile and Fixed Hoist/sling service certificates • Fire system certificate • Fire equipment check & test record • Liability insurance certificate • Asbestos risk assessment (where relevant) • Building control certificates (where building work has been done). Checks and audits (as applicable to service type) • Hot water temperature check records (TMVs) (not above 43 degrees) • COSHH assessments • Fire – checks, drills, training, risk assessment, PEEPs • Environmental risk assessments • Infection control audits • Health and safety audits • Provider/manager arrangements for checking, identifying, and rectifying premises issues.

Useful Resources

The five key questions the CQC ask

Key lines of enquiry for adult social care services

Safeguarding and protection from abuse

KLOEs and ratings characteristics for adult social care services

Sources of evidence: what our inspectors look at against each KLOE