The CARE CERTIFICATE

Duty of Care
What you need to know

Standard
THE CARE CERTIFICATE WORKBOOK

Duty of care
You have a duty of care
to all those receiving care and
support in your workplace. This
means promoting wellbeing and
making sure that people are kept
safe from harm, abuse and injury.
Duty of care is a legal requirement; you cannot choose whether to accept it. It applies
as soon as someone has care or treatment. Breaking this duty, for example through
negligence, could result in legal action.

Wellbeing

Code of conduct

Wellbeing could be defined as the

positive way in which a person feels
and thinks of themselves.

The code of conduct tells you how

you are expected to behave as a care
worker.

Your duty of care is also to other workers, for example, in a hospital, to doctors, nurses
and healthcare support workers but also to caterers, cleaners and maintenance workers. If
you are a home care worker you will probably work alone in a variety of homes, but there
may well be other people in the premises, as well as whoever you are there to support.
Your duty of care is to each individual and to the other workers you come into contact with
in the community.
The duty of care is part of the code of conduct for healthcare support workers and adult
social care workers in England and will most likely also be in your job description. It is
important that you have the knowledge and skills to act on your duty of care in your role
but that you dont work beyond it.
As part of your duty of care you should pass on any concerns you have about wellbeing.
Every employer has agreed ways of working to respond to possible harmful situations
which will include how to report any concerns. Concerns could be about anything from
poor working conditions or equipment to untrained workers, as well as suspected abuse.
In any situation, if you do not know what you should do, ask your manager. Providing
guidance about how to deal with abuse and violence or substance misuse or how to
handle toxic substances or carry out risk assessments are all part of making sure that
the duty of care is carried out. Fire drills, agreed ways of handling medication as well as
cooking and food storage procedures are some of the routine ways for making sure that
everyone knows how to fulfil their duty of care. The agreed ways of working vary from one
workplace to another, so you need to check them if you move to a new job in social care
or health. Agreed ways of working should be documented, but even if you are told about
them only in conversation, you must still work to them.
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Supporting independence
The code of conduct says that you must work in ways that respect and protect the
individuals rights, including their right to live as independently as possible, to make their
own choices and to take risks.
There may be times when they make choices that you think are unwise, unsafe or that you
disagree with. For example when someone with a disability wants to try a new physical
activity or when someone chooses not to eat less fatty foods. You should make sure that
they have as much information as possible about their choices and what could happen. If
they still choose to make a risky choice a risk assessment may identify ways in which risks
can be reduced and the individual can be supported to make those decisions. But the right
to make decisions that they are legally capable of making must not be taken away from
them by the social care or health workers.
Your employer will give you guidance on risk assessments, risk enablement and health
and safety. Whatever you come across you have to consider the individuals wellbeing as
your main priority. If you are unsure about any situation, ask your manager. Other sources
of support might be the individuals friends or family, a befriender or an advocate, their
GP, or another care worker.

Advocate

An advocate is a trusted, independent person who can speak and act for the individual.
They can advise on matters such as welfare benefits and can ensure that the
individuals point of view is heard in care planning meetings, to make sure that
decisions are made in the interests of the individual. The importance of advocates and
advocacy services is emphasised by the Care Act 2014.
Individuals make decisions all the time and should be supported to do so. Sometimes an
individual may not be able to understand and retain the information they need to make a
decision or communicate their choice. If this is the case they may lack the mental capacity
to make the decision. They may be able to make day-to-day decisions, for example what
to wear and what they want to eat, but not able to make decisions about money or medical
issues. In situations where you are not entirely sure about an individuals capacity, please
seek additional advice or guidance. You will look at issues about peoples capability
(capacity) to make decisions for themselves, with varying levels of support, especially if
they have mental ill-health, dementia, or learning disabilities, in more detail in standard 9.

Comments and complaints

You have a duty to make sure that each individual knows that they have a right to complain
or comment about their care or support. It is important that this is able to happen quickly
and in a positive way. They should be taken seriously and explored so that any learning
can be used to keep doing the right things or to make improvements. Positive comments
can be encouraging and used to show how good ways of working are making a positive
difference. Ask your employer to tell you about what to do when someone wants to
complain or comment.
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The Local Authority Social Services and NHS Complaints (England) Regulations 2009
are the legislation for complaints in health and social care. The Department of Health
also published the NHS Constitution in 2011, which tells you about guiding principles and
patients rights. There should be a recorded process to follow which may differ depending
on the type of workplace and have a time limit in which the complaint has to be made after
the situation happened. If someone wants to make a comment or complaint you should
deal with it in line with your organisations agreed ways of working.
Depending where you work, that could include:
 arranging to talk in private
 making sure the individual knows that you may need to
pass on information if there is a risk to the safety
of themselves or others
 listening calmly and actively, assuring them that you are
taking them seriously
 not judging or becoming emotional
 offering your support but not trying to answer the issue
before the agreed way of working has taken place
 explaining what will happen next, who the complaint will
be passed to and when the person will get some feedback.
Thank them, tell your manager what has been said, and make a record as soon as
possible.
Often an organisation has one named person who deals with complaints. Depending on
the size of the organisation there may be a complaints section such as the NHSs Patient
Advice and Liaison Service (PALS). You should ask who is the responsible person or
accountable officer for your workplace. Smaller workplaces might not have anything in
writing but will still have agreed ways of working for when complaints are made.

Incidents, errors and near misses

Sadly, having the best ways of working, the code of conduct and the duty of care, doesnt
always protect vulnerable adults from harm. All health and social care workplaces involve
workers collaborating towards the wellbeing of those needing care or support. Mistakes
happen through things like lack of knowledge, poor communication or not sharing
information, stress, negligence or being distracted. Mistakes are seen as being one of the
following:
Adverse events:
action or lack of
action that leads
to unexpected,
unintended and
preventable harm.

Errors:
not doing something
as it should have been
done, for example
through bad planning
or being forgetful.

Near misses:
situations where an
action could have harmed
the individual but, either
by chance or purpose,
was prevented.

Incidents:
specific negative events. In health and social care serious incidents are described as
events which need investigation as they caused severe harm or damage to either the
person receiving care or the organisation.
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The first thing to do after something has gone wrong is to do what you can to improve the
wellbeing and meet the immediate needs of the individuals involved.
Your workplace will have a form which you should complete to record incidents, accidents
and near misses. You should record the date, time and facts. This is used to make your
manager aware straightaway. Do not blame other workers or suggest to those involved
why the incident might have happened, even if you have an idea why it was. If your
thoughts turned out to be wrong you could lose the individuals and familys trust and
respect.

Legislation
For health and social care work a variety of legislation sets standards on how to handle
issues to improve services and positive outcomes.

Care and compassion

Think clearly and carefully about the potential reasons for someones distress.
Use your person-centred approach and knowledge of them as an individual, as
you may be able to de-escalate a challenging situation by recognising their unmet
needs and responding to these with supportive care and/or additional services.

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The Health and Safety at Work etc. Act 1974

This is the main piece of legislation covering occupational health and safety in the UK. It
places a duty on employers and employees for the health, safety and welfare of persons in
the workplace.
www.hse.gov.uk/legislation/hswa.htm
The Management of Health and Safety Regulations 1999
Workplaces should have a procedure in place for recording, reporting and evaluating all
serious incidents. They should take measures to avoid them happening again.
www.legislation.gov.uk/uksi/1999/3242/contents/made
The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013
(RIDDOR)
This places duties on responsible persons working on the premises to report specific
workplace accidents, occupational diseases and specific dangerous occurrences or near
misses to their local Health and Safety Executive (HSE).
www.hse.gov.uk/riddor/
The Control of Substances Hazardous to Health Regulations 2002 (COSHH)
This requires employers to assess the risks of potentially harmful substances and
take precautions to minimise these. They include, for example, cleaning materials and
medication.
www.hse.gov.uk/coshh/
The Provisions and Use of Work Equipment Regulations 1998 (PUWER)
Anyone responsible for work equipment should ensure that it is suitable for the job, well
maintained, inspected regularly and only operated by well-informed and trained staff.
A breach of any of these regulations is a crime in the UK and therefore needs to be
reported immediately. If any person suffers harm as a result, the offender may be taken to
court.
www.hse.gov.uk/work-equipment-machinery/puwer.htm

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Managing conflict and difficult situations

There are many things that can cause conflict with and between people. Conflict or
behaviour that is challenging often happens as a result of distress or because needs are
not being met. It could be caused by a number of factors including:
 biological, for example because an individual is in pain or suffering the side effects of
medication or substance misuse
 social, for example because of being bored, wanting social contact, having a need to
be in control, not being able to communicate or understand what is being said
 environmental, for example because of loud noise or bad lighting or barriers
to mobility
 psychological, for example because of feeling left out or lonely.
Your workplace might have a policy on responding to behaviour that challenges. There will
usually be a form to report what happened, who has been involved and where and when
the incident took place. You should include whether anyone has been injured and needed
medical assistance or whether the police have been called, and sign and date the form.
This will then be used to determine any action that is needed to support the individual
better.
An open discussion with any individual, where they are treated with respect and dignity,
can often find a solution. If possible and safe, when working with a person whose
behaviour is challenging:
 take them to a quiet place
 ask questions and listen carefully to what they say
 take their feelings of being upset or angry seriously
 try to find a way forward that they understand and can agree to.
It is important that you get to know the individuals you are working with as far as possible,
so you can recognise what triggers their distress. It is also important that you dont get
emotionally involved but keep a clear head and look out for body language and reactions.
If you feel that a one-to-one situation between yourself and an individual has the potential
to become confrontational you should try to leave the scene to give them time to calm
down.
When you recognise frustration and aggression in a persons behaviour you will learn, as
you develop in your role, how to use your communication skills and other ways of working
to manage a situation before it becomes violent or aggressive. Your manager will provide
guidance, explain ways of working and support you to develop your knowledge and skills
as you progress in your work.

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The CARE CERTIFICATE

Duty of Care
What do you know now?

Standard
THE CARE CERTIFICATE WORKBOOK

Activity 3.1a

As a social care or health

worker, you have a duty
of care to all people you
support. Use the following
words to define what is
meant by duty of care.

Responsibility

Duty of care
Define - provide a definition in your
own words to demonstrate your
understanding.

Safety

Obligation

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Wellbeing

Activity 3.1b
Thinking about your
own work role, complete
the sentences below to
describe how the duty of
care affects you in practice.
The first example has been
completed for you.

Describe - to describe means to create a

picture with words but not simply writing
a list of bullet points.

My job description states that...

I have certain responsibilities to the individuals I provide care and

support to and to my colleagues; this includes working safely and with
the interests and wishes of the individual at heart.
The code of conduct means that...

The organisational policies and procedures are there to...

I must report unsafe or abusive practices because...

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Activity 3.2a
There will be times when your duty to safeguard
the wellbeing of the individual is in conflict with
your duty to promote the individuals right to take
risks. It is your duty to ensure an individual is kept
safe and does not experience harm but these
situations may cause you a dilemma and you may
not know the right thing to do to keep them safe at
the same time as enabling them to make their own
choices.
Think of two dilemmas that might arise in your
work and describe these in the space below.

Dilemma 1:

Dilemma 2:

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Describe - to
describe means
to create a picture
with words but not
simply writing a list
of bullet points.

Activity 3.2b
3.1b & c
For
the two
dilemmas
Thinking
about
your that you
have
described
in 3.2a, complete
own work
role, complete
the table
belowbelow
to explain
what
sentences
to
you
musthow
and the
must
notofdo within
describe
duty
your
role for you
eachindilemma
care affects
practice.and
where
you
would get
The first
example
hasadditional
been
support
andforadvice
completed
you. to help you
resolve the dilemma.

What you must do within

your role

Explain - to explain something you

Describe - To describe means to create
will need to provide a clear account
a picture with words but not simply writing
of your understanding, including
a list of bullet points.
details like why and how.

What you must not do

within your role

Dilemma 1

Dilemma 2

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Where would you get

additional support and
advice to resolve the
dilemma and why

Activity 3.3b

For each of the three

examples below, describe
who you would ask for
advice and support in
handling comments,
concerns and compliments.

Describe - To
to describe
describe means
means to
to create
create a
a picture
picture
with
with
words
words
but
but
not
not
simply
simply
writing
writing
a list of bullet points.

A number of individuals
you are supporting
believe that someone
has been tampering with
their medical records

You have read the

complaints procedure
but you would like to
ask for further guidance
on one section

An individual you
support has told you
that they wish to make
a complaint about the
food served at meal
times

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Activity 3.3c
It is essential to learn from
comments and complaints when
providing care services. Explain
the importance of learning
from comments, concerns and
compliments in order to improve the
quality of service that you provide.

Explain - to explain something

Describe - To describe means to create
you will need to provide a clear
a picture with words but not simply writing
account of your understanding,
a list of bullet points.
including details like why and how.

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Activity 3.4a & b

You have a duty of care to respond to
events and incidents in an appropriate
and agreed way. To show your
understanding, complete the table below
to describe how you would recognise
adverse events, incidents, errors and
near misses (scenarios) and explain
what you must not do in relation to each.
Decide whether this
is an example of
an adverse event,
incident, error or
near miss
An investigation is
started after a number
of patients died
unexpectedly in care.

Describe - to describe means to

create a picture with words but not
simply writing a list of bullet points.
Explain - to explain something
you will need to provide a clear
account of your understanding,
including details like why and how.

Describe how you

recognise this as an
example of an adverse
event, incident, error or
near miss

Explain what you must

do and must not do
in relation to each
example

Adverse
event

Incident

Must do:

Error

Near miss

Must not do:

Incident

Must do:

Near miss

Must not do:

Adverse
You arrive at an
event
individuals home to
support them with their
shopping to find that a
colleague has already
arrived to undertake
this task.
Error

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Activity 3.4a & b

continued

Decide whether this

is an example of
an adverse event,
incident, error or
near miss
When serving lunch,
an individual who
has a nut allergy was
given a peanut butter
sandwich by mistake.
You notice this just
in time to change the
sandwich.

Describe how you

recognise this as an
example of an adverse
event, incident, error or
near miss

Explain what you must

do and must not do
in relation to each
example

Adverse
event

Incident

Must do:

Error

Near miss

Must not do:

Incident

Must do:

Near miss

Must not do:

Adverse
An individual in the
event
bathroom area slips
on the wet floor. When
investigating you
notice that a wet floor
sign has not been
used.
Error

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Activity 3.4c
Thinking about the four
scenarios in 3.4a & b, list
the legislation and agreed
ways of working that need
to be taken into account
when reporting adverse
events, incidents, errors
and near misses.

List - this term means to identify the

main points which can be written as
bullet points.

1.

2.

3.

4.

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Activity 3.5a

Fill in the spider diagram

below to list the factors and
difficult situations that may
cause confrontation. One
example has been provided
for you.

List - this term means to identify the

main points which can be written as
bullet points.

An individual with
dementia may feel
misunderstood,
frustrated and
confused.

Factors and
difficult situations
that may cause
confrontation
include...

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Activity 3.5b,
c&e
Thinking about the factors
and difficult situations that
may cause confrontation,
select one that relates to
your own role and answer
the questions below.

1. What is the factor or difficult situation that may cause confrontation?

2. H
 ow could communication be used to solve problems and reduce the likelihood or impact of
confrontation?

3. How would you assess and reduce the risks in this situation?

4. What is the agreed way of working for reporting confrontation in your service?

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