Risk Management

Arrangements for effective risk management in social services need to operate at three levels: strategy, service, and in respect of individual users.

At the strategic level:

'The management of integrated or holistic business risk in a manner consistent with the virtues of the three Es - Economy, Efficiency, and Effectiveness'

Source: Stockport Metropolitan Borough Council

Key elements of strategic risk management are:

• Ensuring that a full risk assessment is undertaken on the delivery of the council's corporate plan
  
• Requiring that each key area of service delivery (such as social services) also undertakes a full risk assessment as part of strategic service planning
  
• Ensuring that any strategic improvement planning involves a risk assessment of the delivery of the plan
  
• Undertaking an assessment of financial risk, in terms of risks from financial strategies and investment, financial problems caused by poor buget management, and risk of fraud
  
• Undertaking a risk assessment of the council's major business support systems, especially its IT environment, and put in place a disaster recovery plan
  
• Planning for major incidents which will require a response from the council and dealing with the risk such incidents might pose to the delivery of its own services. The council's emergency planning arrangements are key to responding to these risks, and social services have key responsibilities in supporting councils' emergency planning
  

Strategic risk management should be supported by the development of a 'risk register' for the council. The register should identify the area of risk, the degree of risk, and the options available to the council to safeguard against the risk and whether it is cost effective to do so. The financial and service consequences, including the impact on the local community should be spelt out, alongside plans that set out how to best manage the risk - See Good Practice - Stockport MBC - Corporate Approach to Risk Management and Risk Management Register
A risk register enables the council to demonstrate openly that it identifies and tackles risk effectively through its governance and management control systems thereby satisfying regulators and other key stakeholders that resources have been used appropriately.

Risk registers, used to full effect, support robust strategic decision making. They allow consideration of all the consequences of actions, for good or ill, and therefore can put in place checks and balances to promote the desired outcome. This not only protects the council's resources it is also more likely to result in smooth and sustainable service improvement.

Risk can be managed in three main ways

• Through systems of control. This includes both the internal control systems in the council, and control through contracts where services are provided by contractors. The most obvious example is the management of financial risk through the council's internal financial control and audit systems
  
• By transferring risk to other bodies. Council's can reduce the burden of risk by entering into arrangements which draw others into sharing that burden. This may be by contracting out the service (for example the council's IT support to a private company) or by entering into partnerships whereby partner organisations take a share of the risk through the partnership agreement. It is not possible for a council to completely transfer risk with regard to services for which it is ultimately responsible
  
• By living with the risk. This means that no particular action is taken, but plans are put in place to respond to problems should they arise. Council's may also insure themselves against the financial consequences of such problems arising, but this in itself does not constitute management of the risk

At a service level:

Risk assessments should form part of service planning. This should be supplemented by comprehensive risk assessments of every area of service delivery - See Good Practice - Devon County Council - Comprehensive Approach to Risk Management in Directly Provided Social Services

Risk assessment should ensure that the following issues are addressed to provide a comprehensive approach to risk management at service level:

• All health and safety requirements, including the important issue of moving and handling service users
  
• Protecting staff and service users from violence, aggression, harassment and stress
  
• Lone working
  
• Ensuring the physical environment is safe
  
• Contingency planning
  
• First Aid
  
• Administering medication
  
• Off-site activities, such as excursions for users with a learning disability
  

Councils should also ensure that other service providers in the voluntary and private sectors also have the necessary risk assessment procedures in place. This should form part of contract specifications, contract monitoring, and accreditation processes. The intention should be to ensure that organisations from which the council purchases services have all the necessary procedures in place to comply with the council's own requirements.

Councils should also ensure that risk assessments are undertaken in service users' properties when staff are supporting users in their own homes. This would include home care staff, supported living staff and family support staff.

At the level of the individual service user or carer or individual member of staff:

Service Users:

Risk assessments need to be undertaken in individual cases to ensure that the service user is adequately protected, while not unnecessarily impinging on their personal freedoms or independence.

Situations where risk assessments are required in children's services are in child protection cases, complex family support, and children with complex disabilities when core assessments need to be undertaken.

In adult services, risk assessments must be undertaken in all adult mental health cases where the service user meets the criteria of the enhanced 'care planning approach', in all cases of adult abuse, and all cases where the user has complex disabilities.

Social workers or key workers have to strike a difficult balance of ensuring that vulnerable people are not placed at risk, but also that care or other support arrangements are designed to promote the well being of families and the independence of individuals.

Members of staff:

It is essential that every effort is made to protect staff from the risk of physical harm or other forms of abuse, such as verbal abuse, bullying and racial abuse. Councils should also ensure that staff receive appropriate support when they do experience harm or other forms of abuse.

Councils should also put in place support arrangements, such as counselling services for staff who experience distressing circumstances in the course of their work.