lone working policy and practice guidance€¦ · minimising the risks that they face and putting...

West Sussex County Council Adults’ Services Lone working Policy and Practice guidance

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Author: Tracy Davis, Adult Social Care Improvement and Quality Team, Adults’ Operations Copyright © West Sussex County Council / version 1.3 / February 2018

Lone working Policy and Practice guidance Adults’ Services

Version: 1.3

Effective from: February 2018

Next review date: March 2020


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Document details

Prepared by: West Sussex County Council, Adults’ Services Version: 1.3 Issue date: February 2018 Owner: Name, Job title. Authors: Tracy Davis: Principal Social Worker (Adults’) Dominic Riches: Registered Manager (Family Operations) Greg Slay: Quality Assurance Lead (Adults’) Status: Revised Legal Check: NA Signed off by: Tracie Thomas, Head of Safeguarding and Adult Social Care, Adults’ Operations - March 2017

Document history

Version Date Author(s) Details

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1.1 March 2017

Tracy Davis Dominic Riches

1.2 Feb 2018 Greg Slay Minor formatting and text changes. Addition of referencing to the Serious Incident Reviews practice guidance (Adults’ Operations).

1.3 July 2020 Heather Ramiz

Updated to meet accessibility regulations

Feedback

We welcome feedback about our policies, procedures and practice guidance. If you have any comments about this document please E-mail: [email protected]

mailto:[email protected]


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Contents

Document details ............................................................................ 2

Document history ............................................................................ 2

Feedback ....................................................................................... 2

1. Purpose .................................................................................. 3

2. Definition ............................................................................... 4

3. Roles and responsibilities .......................................................... 4

4. Safety in the community: home visits ......................................... 7

5. Safety in the community: travelling by car .................................. 8

6. Safety in the community: travelling by foot or public transport ...... 9

7. Out of Hours working ............................................................... 9

8. Office safety: in County Council (or local NHS) buildings ............. 10

9. Office safety: working in other bases ........................................ 11

10. Office safety: working at home ................................................ 11

11. Safety technology .................................................................. 12

12. Risk assessment prior to an activity ......................................... 13

13. Risk assessment during an activity: ‘dynamic risk assessment’..... 14

14. Reporting incidents and near misses......................................... 14

15. Monitoring and review ............................................................ 15

16. References ........................................................................... 16

Appendix 1 – Signing sheet ............................................................ 17

Appendix 2 – Example team protocol in case of emergency ................. 18

1. Purpose

1.1 As stated in its Health, Safety and Welfare Policy the County Council recognises its duties and accepts its responsibilities for the health, safety and welfare of its employees and of other people who may be affected by its activities so far as is reasonably practicable.

1.2 The County Council will, as far as is reasonably practicable, ensure

the safety of lone workers or staff who sometimes work alone, by


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minimising the risks that they face and putting in place appropriate measures to improve their safety. This policy is designed to alert staff to the risks presented by lone working, to identify individual responsibilities and describe procedures to support the minimisation of risk.

2. Definition

2.1 Lone working can be described as any situation or location in which someone works without a colleague nearby; or when someone is working out of sight or earshot of another colleague.

2.2 Lone working can take place when people are:

• working as individuals at a fixed site but are separated from others e.g. working alone in buildings or interviewing a patient/service user alone in interview rooms

• working in a remote location, including outdoors • working alone away from base e.g. home visiting often

involving contact with the public • working outside normal working hours, e.g. alone in isolated

buildings or working alone in the community • travelling alone as part of their work e.g. travelling to

meetings or travelling to the home of a patient/service user; and

• working on other employers' premises or working from home. 2.3 Many lone workers will come into more than one of these categories

and each of these categories may present a different individual or combination of hazards. Staff who work alone face the same hazards in their daily work as other workers. However, for lone workers, the risk of harm is often greater. The main hazards facing lone workers are violence and aggression and lack of access to assistance in an emergency.

3. Roles and responsibilities

3.1 The Executive Director is responsible for the safety of all people who are employed in providing services for which they have management responsibilities - and will make sure that adequate


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arrangements and resources are available to implement this policy.

3.2 Senior managers must make sure that all their staff are aware and the policy is implemented where required. They are also responsible for ensuring that any learning from an incident is shared across all the teams for whom it might apply.

a. Line managers must ensure that:

• the policy is applied across all staff they are responsible for – including full and part-time staff as well as sessional/ casual staff

• they identify all staff who are lone workers, based on recognised definitions

• they complete the corporate training in Lone Working for Managers • all relevant policies and procedures are disseminated to lone

working staff and those staff have completed the Lone Working for Employees training

• where possible and appropriate, a risk assessment is conducted (in consultation with the relevant personnel) to ensure that all risks from lone working are identified and that control measures have been introduced to appropriately protect staff by removing, minimising or mitigating the risks before staff enter a lone working situation

• lone workers are provided with sufficient information, induction, training, and supervision before entering a lone working situation

• measures identified in the risk assessment to reduce risk are put in place and where appropriate, technology is made available to ensure the safety of lone workers (e.g. WSCC mobile phones, panic strips)

• lone workers have received training commensurate with their duties at the appropriate level

• there is a team protocol in place of what will happen in case of emergency

• staff have received sufficient instruction or training in the use of any lone working device (e.g.: their WSCC mobile phone or being shown where a panic strip is located)

• regular reviews are undertaken of hazards and associated risks to make sure that all measures are effective and continue to meet the requirements of the lone worker

• where an incident has occurred involving a lone worker, it is reported in accordance with WSCC policy


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• where someone has been assaulted, the member of staff receives medical attention where necessary, is properly de-briefed, any injuries are documented, and they receive and are given access to appropriate post incident support

• where appropriate following an incident, a risk assessment is carried out as soon as possible and immediate control measures are put in place prior to a formalised review of lessons learnt following an incident (these measures may include, where appropriate, alternative arrangements being made as to the way in which a service is provided)

• staff are supported in reporting appropriately any incidents that occur (where someone does not wish to make such a report the line manager may still consider it necessary to do so as required to prevent or detect serious crime).

b. Staff who lone work must ensure that they:

• do all they can to ensure their own safety and that of their colleagues. This is in line with current health and safety legislation

• attend any relevant training before entering a lone working situation. This includes the corporate Lone Working for Employees training.

• seek advice from their line manager and follow guidance, procedures and instruction to avoid putting themselves or their colleagues at risk

• ensure that their planned whereabouts is easily obtainable (e.g. by ensuring their online calendar is up to date). This is especially important when undertaking a trip or visit that might be higher risk

• conduct proper planning prior to a visit including identifying any pre-existing risk assessments, apply control measures and utilise continual dynamic risk assessment during a visit

• properly utilise all appropriate technology, which has been provided for their own personal safety, ensure that they attend training in the use of the technology and associated support services; and

• report all incidents even where they consider it to be a minor incident, including ‘near misses’ to enable appropriate follow up action to be taken.


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4. Safety in the community: home visits

4.1 Staff must not assume that having a mobile phone and a back-up plan is a sufficient safeguard in itself. The first priority is to plan to reduce any risk that exists. This should be done by carrying out a risk assessment. When planning home visits consider the following:

• Is a home visit really necessary? Could the person be interviewed at

the office? • Can someone else be present such as a co-worker etc.? Could it be

a joint visit with a colleague including partner agencies such as health?

• Is there a possibility of a service user relative or friend being present which may add to the risk - try to check this out beforehand.

• Take into account what is known about the person. Any history of aggressive behaviour should entail a discussion with the line manager as to the best way of approaching a visit. With such situations preference will always be to interview them from a work base.

• Where possible plan the visit during daylight preferably in the morning this gives time to sort out a difficult situation if needed.

• Make sure that your manager or someone else in your team knows where you are going – keep your online diary up to date.

• Make sure that your manager or someone else in your team knows how to contact you – keep your online directory up to date.

• Make sure that your manager can contact your next of kin – keep your emergency contact details online up to date.

• Every team must establish their own effective contact/tracking arrangements and procedures in place if an emergency arises. Staff have a legal responsibility to comply with local arrangements established to protect their personal safety

• Always take a mobile phone, ensuring it is appropriately charged. • In some circumstances it may be necessary to consider a personal

alarm provided by WSCC • Do not go into a person’s home if they appear to be drunk or ill etc.

unless you have another colleague with you and you both deem it safe to enter.

• When visiting an unknown building check out the layout and exit, try to sit near it. Be aware of potential weapons.

• Ask that dogs and other potentially dangerous pets are kept out of


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the room. • Think about where you sit, avoid sitting on peoples’ beds. • If the person you are visiting/anyone else present starts to get

abusive/ aggressive then leave immediately. • In the case of Mental Health Act assessments or removal of children

always plan who needs to attend the assessment, whether the police are necessary.

• Give full consideration that during Mental Health Act assessments the situation can be very dynamic. Although an AMHP may go into an assessment as part of a team they are frequently then left alone whilst arrangements for a bed, and/or ambulance are made. AMHP should ensure they remove themselves from the property/vicinity if they assess threat is present or personal risk has increased. Appropriate assistance or advice should then be sought e.g. police, AMHP manager.

5. Safety in the community: travelling by car

5.1 In the course of work staff may have to make journeys in their car alone. There have been a number of incidents nationally in the recent past, which have highlighted the potential dangers and have raised awareness of how vulnerable each of us could be despite the care we take. However, the risk of such an incident is extremely low. The advice given below is intended to give practical guidance on how to reduce the possible dangers that may occur whilst driving alone:

• Do not give lifts to strangers e.g. a hitchhiker, or accept lifts from a

stranger if you breakdown or have an accident. • Always keep windows closed and doors locked when driving alone,

particularly at night and in isolated areas. • If you see an incident or someone tries to flag you down, think first.

Is it genuine? How would you best help? It might be safer and also more helpful and practicable to report what you have seen using your mobile phone.

• If you believe you are being followed, keep calm and continue driving to a busy place e.g. garage, police station etc. where help could be available. If necessary draw attention to yourself by sounding your horn.

• If other drivers or vehicle occupants try to attract attention e.g.


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indicating a fault with your vehicle, ignore them and avoid eye contact.

• If a car pulls in front of you and causes you to stop NEVER turn off the engine. If the driver or passenger approaches: reverse as far as is safely possible and ensure doors and windows are locked. If necessary draw attention to yourself e.g. by sounding the horn.

• When parking in daylight always try to imagine what the place would be like at night.

• When parking at night, park near a streetlight and as close to the service user’s home as possible.

• Always lock away any valuables out of sight in the boot. • Never leave the car unlocked or the ignition key in it when it is

unattended. • When returning to the car, always have the door key ready. It is

better not to stand by the car searching for the key

6. Safety in the community: travelling by foot or public transport

6.1 When travelling on foot or using public transport, you should:

• Think ahead, be alert and be aware of your surroundings • Keep to busy, well-lit roads and avoid poorly lit or quiet underpass • Avoid carrying valuables (i.e. excessive amounts of cash or

expensive jewellery) • Always sit near the bus driver on a driver-only bus or stay

downstairs • If possible, wait for the bus at a busy stop that is well lit, or a bus

stop close to area of activity - for example, a garage or a late shop • Have the fare ready, separate from other money or valuables • Try to avoid having hands full with heavy bags

7. Out of Hours working

7.1 Please note that a number of the points below will also be relevant to Mental Health Act assessments. If you work within the Out of Hours service

there are additional factors that staff must consider when undertaking visits outside office hours:


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• Think about the weather conditions, how long you may be out • Ensure you know where you are being called out to and how to get

there before you leave • Ensure that in winter you have appropriate warm clothing or spare

clothing in your car, think about keeping a blanket in your car in case of breakdown

• Ensure you have de-icing equipment/spray in case of freezing weather, a shovel if necessary

• Ensure that you always have sufficient drink and snacks or food available, as your call out may last longer than anticipated

• Ensure that you wear appropriate and comfortable clothing, and footwear that you will be able to move quickly in (avoid wearing heeled shoes)

• Carry a first aid kit with you, and any medication you may regularly require

• Carry a supply of surgical gloves as required • Ensure you inform a family member, emergency contact of where

you will be going and who to contact if you do not return • Ensure that you have adequate car breakdown insurance

8. Office safety: in County Council (or local NHS) buildings

8.1 Although lone workers are often working out in the community, there can be times when staff are working on their own in County Council, Sussex Partnership NHS Foundation Trust or other NHS premises. This can include staff who have to interact with service users or member of the public in their place of work without colleagues nearby.

8.2 The main risks to staff lone working in WSCC buildings include:

• Managing accidents and incidents and lack of assistance in case of emergency

• Handling of loads and people • Use of work equipment • Use of electrical equipment • Working with Display Screen Equipment • Violence and Aggression from service users or member of the


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public. 8.3 Line managers of any member of staff who may be lone working in

a WSCC, Sussex Partnership or other health building must ensure that they have had the correct induction regarding relevant safety procedures for the team and the building. Staff who are lone working also need to risk assess any of these activities before undertaking them.

8.4 Some roles, for example residential support workers, can have

extended periods of lone working in a building where there are other staff present but not necessarily nearby. Managers of these services should carry out a risk assessment of the building, activities and service users that is reviewed regularly.

9. Office safety: working in other bases

9.1 Where a lone worker is working at another employer’s workplace, that employer should inform the lone worker of any risks and the control measures that should be taken. In these settings it is as important to establish likely risks and control measures, as it would be if you were seeing a person in their own home.

9.2 When conducting meetings/interviews in any unfamiliar setting, staff should familiarise themselves with the security features such as panic alarms, exit routes. Should there be concerns about their safety, consideration should be given to asking another staff member to sit in or undertaking the interview somewhere that is observed by other staff, or by delaying the interview.

9.3 For any interview, members of staff should ensure another staff member knows where they are, with whom and what time the interview should conclude. An interview should not take place unless there are other members of staff around.

10. Office safety: working at home

10.1 WSCC recognises that people work best when they have a satisfactory balance between their paid work and the remainder of


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their lives as individuals, carers and members of the community. Staff are increasingly working at home both on a permanent and temporary basis. See: Corporate Code of Practice for Managing the Health, Safety and Welfare of employees working at home.

10.2 Potential hazards that may arise include:

• Handling of loads • Use of work equipment • Use of electrical equipment • Working with Display Screen Equipment • Violence and Aggression. The potential exists for a home worker to

be the victim of violence in their own home as a consequence of their work activities. The risk assessment should identify those staff that may have a higher risk of exposure. Service users with a potential for violent and aggressive behaviour should not be allocated to staff working from home. Procedures are in place to prevent service users from discovering the private addresses of home workers and briefings should be given to all home workers on personal safety issues. Effective arrangements for communicating with home workers must be established.

• Stress/mental health issues arising through lack of regular contact or the opportunity for debrief after managing a challenging incident.

11. Safety technology

11.1 Although technology is not a solution to all problems posed by lone working, it can be a helpful tool to keep staff safe. It is not a substitute for good safety planning. These items include:

• Internal alert systems such as fixed panic buttons or strips • Personal Safety devices such as attack alarms, walkie-talkies, help

call systems Mobile phones

11.2 In the event that safety technology is identified as being required

there must be a schedule of checks to check that it is fit for purpose and is working as required.

11.3 Following the outcome of a risk assessment, where mobile phones


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are required as part of the risk management strategy, then staff should be provided with an appropriate WSCC mobile phone and avoid all use, wherever possible, of their personal mobiles for work-related activities.

12. Risk assessment prior to an activity

12.1 In the case of staff who regularly work with service users alone,

whether on WSCC property or in their own home or another place it will not be necessary to conduct a specific risk assessment for every service user. The expectation is that, under normal circumstances, a generic risk assessment will be carried out on the activities of the staff working in a particular team, taking into account the factors to be considered which are listed below.

12.2 Only in circumstances where the level of risk to staff is significantly different to that identified within a generic risk assessment should a specific/individual risk assessment be undertaken. For example, where there is evidence that a customer/service user presents a greater risk or there is a significantly greater risk because of the particular area that a member of staff is required to visit; then an individual risk assessment should be undertaken. See the Corporate Code of Practice on Risk Assessments for Health, Safety and Welfare for more information.

12.3 There will be certain scenarios and activities that can be classified through a risk assessment as low-risk – for example, staff undertaking office work during normal daytime hours.

12.4 The following factors should be considered during the risk assessment process:

• type of incident risk, for example, physical assault/theft of property or equipment)

• working conditions: normal, abnormal and hazardous conditions, such as dangerous steps, unhygienic or isolated conditions, poor lighting

• staff delivering unwelcome information or bad news: whether they have received suitable and sufficient training to deliver sensitive or


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bad news and defuse potentially violent situations • the possibility of an increased risk of violence from service users

due to a disability, alcohol or drug misuse, medical condition or mental health condition and the risk of violence from their carers or relatives

• working in or travelling between certain environments or settings • one workers carrying equipment that makes them a target for theft

or makes them less able to protect themselves; and • evaluation of capability to undertake lone working – for example,

being inexperienced or pregnant, or having a disability.

13. Risk assessment during an activity: ‘dynamic risk assessment’

13.1 Dynamic risk assessment is a term used when the situation in which risk arises changes and consists of on the spot decision making. Lone workers should be able to recognise the risks presented by those who are under the influence of alcohol/drugs or are confused, or where animals may be present.

13.2 Being alert to these warning signs will allow the lone worker to consider all the facts to make a personal risk assessment and, therefore, a judgement as to the best course of action (for example, to continue with their work or to withdraw). At no point should the lone worker place themselves, their colleagues or their patients/service users at risk or in danger.

13.3 However, dynamic risk assessment must not be seen as a substitute for the systematic assessment of risk arising out of activities undertaken by WSCC staff. In all circumstances, controls must be put in place where there is reasonable likelihood that the health or safety of staff may be at risk.

14. Reporting incidents and near misses

14.1 There are established procedures for dealing with assaults, threats of violence or other incidents. All managers and staff must familiarise themselves with these procedures. Key points are:


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• All accidents or incidents including verbal abuse, racial abuse, threats, and aggressive behaviour or violence should be reported immediately to the line manager and reported online via the tile on the County Council’s intranet homepage.

• Where appropriate, the line manager, after consulting the employee should contact the Police to report the incident. (See Occupational Violence and Aggression to staff policy)

• A de-briefing should be made available to the staff member as soon as is practicable. Depending on the location and time of the incident it may be necessary to hold a short immediate debrief with a colleague before ensuring that a comprehensive debrief takes place with the line manager at the next possible opportunity.

• Critical Incident debriefing can also be accessed via the Resilience and Emergencies Team: 0330 22 22400 or [email protected]

• The manager and staff member should discuss any need for continued support/counselling which can be arranged through the Employee Assistance program contract.

• An investigation of the event should take place as soon as possible to see if protective action should be taken. This should be done jointly with other partnership agencies if it is appropriate.

• A factual record of the event should be made on the service user staff file. Consideration should be given to putting a warning message on the Service users’ database. (See Warning Information Policy)

• Risk assessments must be reviewed after an incident or near miss. • Incidents/near misses should be monitored at a local level to

identify trends; consideration should be given in Adults’ Operations as to the applicability of the Serious Incident Reviews practice guidance.

15. Monitoring and review

15.1 The ongoing implementation of the lone working policy and practice guidance will be monitored through the supervision process. Lone working and risk assessment will also be regular agenda items for team meetings. Any member of staff with a concern regarding these issues should ensure that it is discussed with their supervisor or with the whole team, as appropriate.


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15.2 The policy will be reviewed as part of the regular cycle of reviews,

unless changing circumstances require an earlier review.

16. References

These documents are available on The Point and/or on Sharepoint:

West Sussex County Council Health and Safety Policy • • Corporate Code of Practice on The Management of Lone Working • Corporate Code of Practice on Managing Occupational Violence and

Aggression Corporate Code of Practice on Risk Assessments for Health, Safety and Welfare Corporate guidance on Managing Occupational Violence and Aggression at Work

• Corporate Code of Practice for Managing the Health, Safety and Welfare of employees working at home

• Occupational Violence and Aggression to staff Accident reporting procedures

These documents are available in the Professional Zone on the West Sussex Connect to Support website:

• Warning Information Policy – Adults’ and Children’s Serious Incident Reviews practice guidance (Adults’)

This is available on the Unison website:

• Working Alone (UNISON) This is available on the Care Knowledge website:

• Personal safety for social care staff – understanding and dealing with aggression and violence

https://www.westsussexconnecttosupport.org/professional-zone-documents/

https://www.unison.org.uk/

https://www.careknowledge.com/


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Appendix 1 – Signing sheet

This is to confirm that I have read the lone working policy and practice guidance, version number (insert: ). I understand my responsibilities within this policy and practice guidance.

Signed

Print name

Designation

Team

Date

Once completed, this should be scanned in to be stored with the worker’s supervision notes.


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Appendix 2 – Example team protocol in case of emergency

This is provided as an example and each team should make sure that they create a plan that meets their own needs. That includes what level manager (and their job title) should be involved at what stage.

All staff will have their appointments on their online calendar – to include a location, purpose of the meeting, case identifier if relevant, and start and finish times.

This example team protocol covers two main scenarios:

1. A member of staff does not appear for an expected appointment:

In this situation the member of staff who becomes aware of this, becomes the contact and is responsible for alerting the team manager and initiating the protocol

2. A member of staff is undertaking a visit that has significantly higher

level of risk:

In this situation, as part of the risk assessment and planning a contact will be identified who takes responsibility for initiating the protocol if the worker does not check in as agreed.


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