14.1d Explain how, and to whom, to report if they become aware that agreed ways of working have not been followed

Care Certificate 14.1d Answers

Care Certificate Standard 14 Answers - Handling Information

Care Learning

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This guide will help you answer The Care Certificate Standard 14.1d Explain how, and to whom, to report if they become aware that agreed ways of working have not been followed.

Standard 14.1d is crucial because it ensures employees know how to handle situations where agreed ways of working are not adhered to. Failing to follow these procedures can lead to potential risks for both service users and staff.

This guide will help you understand how to report such incidents and to whom you should report them. Remember that all organisations will have different ways to report.

What Are Agreed Ways of Working?

Agreed ways of working refer to policies, procedures, and protocols established in the workplace to ensure consistency and safety. These can include:

  • Safeguarding policies
  • Health and safety guidelines
  • Infection control procedures
  • Individual care plans

It’s vital to understand and comply with these standards to protect everyone involved.

Why Reporting Is Important

Reporting deviations from agreed ways of working is essential for several reasons:

  • Safety: Protects the well-being of service users and staff.
  • Legal compliance: Keeps the organisation compliant with regulations.
  • Quality of care: Maintains high care standards.
  • Continuous improvement: Helps identify areas for training and improvement.

How to Report

Identify the Issue

The first step is identifying that an agreed way of working hasn’t been followed. This could be anything from a minor lapse in hygiene practices to a severe breach of safeguarding procedures. Make sure you:

  • Observe and document what happened.
  • Note the time, place, and individuals involved.
  • Collect any evidence, such as photographs or written records.

Follow Internal Procedures

Every organisation should have an internal reporting procedure, often outlined in the employee handbook or induction training materials. Common steps include:

  1. Immediate Action: If the situation poses an immediate risk, take appropriate action to mitigate it. For instance, if a service user is left unattended, ensure they are supervised right away.
  2. Incident Reporting Form: Fill out the relevant incident reporting form, which may include sections for describing the event, identifying those involved, and detailing any immediate actions taken.
  3. Chain of Command: Typically, you will report to your immediate supervisor. If the incident involves your supervisor or they are unavailable, report to the next line manager.

Written Records

Documenting the incident is crucial. Make sure your written report is:

  • Clear and concise: Avoid jargon and be specific about what happened.
  • Factual: Stick to the facts and avoid opinions or emotional language.
  • Complete: Include all necessary details, such as names, dates, times, and any witnesses.

To Whom You Should Report

Immediate Supervisor

In most cases, your first point of contact will be your immediate supervisor. They have the responsibility to:

  • Review your report
  • Investigate the incident
  • Take necessary actions to prevent recurrence

Safeguarding Lead

If the incident involves safeguarding issues, such as abuse or neglect, report directly to the designated safeguarding lead or officer. They have specialised training to handle such matters and will:

  • Assess the risk
  • Involve external agencies if necessary
  • Provide support to the affected individuals

Health and Safety Officer

For breaches related to health and safety, such as injury or hazardous conditions, report to the health and safety officer. They will:

  • Conduct a risk assessment
  • Implement corrective actions
  • Ensure compliance with health and safety laws

Human Resources (HR)

In cases of discrimination or harassment, you should report the issue to HR. The HR department will:

  • Investigate the complaint
  • Mediate discussions if needed
  • Take disciplinary actions if required

External Agencies

Sometimes, the nature of the incident might necessitate involving external agencies. These can include:

  • Care Quality Commission (CQC): For significant breaches affecting care quality
  • Local Authority: For serious safeguarding concerns
  • Police: For criminal activities

What Happens After Reporting?


Once you’ve reported the issue, an investigation will typically follow. This might involve:

  • Interviews with involved parties
  • Review of CCTV footage or other evidence
  • Risk assessments to evaluate the impact

Feedback and Updates

You should receive updates on the investigation progress. While the details might be confidential, the organisation should inform you about major outcomes or changes implemented.

Support Mechanisms

Reporting such incidents can be stressful. Organisations should provide:

  • Counselling services: For emotional support
  • Peer support groups: To share experiences and coping strategies
  • Training opportunities: To address any gaps in knowledge or skills

Continuous Improvement

Finally, organisations should use these incidents as learning opportunities. This could involve:

  • Updating policies and procedures
  • Conducting refresher training sessions
  • Implementing new safety measures

Example answers for activity 14.1d Explain how, and to whom, to report if they become aware that agreed ways of working have not been followed

Here are six example answers as a care worker completing Unit 14.1d, using a realistic and practical tone.

Example 1: Minor Hygiene Issue

Scenario: I noticed a fellow care worker did not wash their hands after assisting a resident to the toilet.

How to Report:
I would fill out an incident report form detailing the event, including the date, time, and the care worker involved. I would then submit this form to my immediate supervisor for further action.

To Whom:
I would report this issue first to my immediate supervisor. If they are not available, I would go to the next line manager or the health and safety officer.

Example 2: Improper Follow-up on Care Plan

Scenario: The care plan for Mrs Smith states she must be monitored hourly, but I observed she was left unattended for three hours.

How to Report:
I would document the incident in the care records, specifying the times she was unattended and the staff involved. Then, I’d complete an incident report form and escalate it through the proper channels.

To Whom:
This report would go to my immediate supervisor and the manager on duty. If direct supervision was involved, I’d report to the senior manager or the safeguarding lead.

Example 3: Potential Safeguarding Concern

Scenario: I overheard a colleague speaking harshly to a resident, which could be deemed emotional abuse.

How to Report:
I would note down the exact words used, the time, and place of the incident. I would fill out a safeguarding concern form and document this in the resident’s file.

To Whom:
I would report this immediately to the safeguarding lead. If they are unavailable, I would escalate it to my supervisor or the manager on duty.

Example 4: Unsafe Manual Handling

Scenario: A care worker attempted to lift a resident alone, against our manual handling policy that requires two people for such tasks.

How to Report:
I would write a detailed account in the incident log, including the worker’s name, the resident involved, and the risks posed. I’d then complete the necessary incident report form.

To Whom:
I would report this matter to the health and safety officer to prevent future occurrences and immediately notify my supervisor.

Example 5: Medication Error

Scenario: I noticed a colleague administered the wrong dose of medication to Mr Jones.

How to Report:
I would document the error in Mr Jones’s care record and fill out a medication error report form, specifying the incorrect dose given and any potential side effects observed.

To Whom:
This incident must be reported to the duty nurse or supervisor immediately. If necessary, I’d also inform the healthcare professional responsible for Mr Jones’s care.

Example 6: Failure to Follow COVID-19 Protocols

Scenario: I saw a staff member not wearing a mask while attending to residents, violating our COVID-19 protocols.

How to Report:
I’d document the time, location, and name of the staff member in an incident report. I’d describe the situation, noting the lack of PPE use and possible contact with residents.

To Whom:
I would report this directly to my immediate supervisor and also inform the infection control officer given the potential health risks involved.

These examples illustrate various scenarios where agreed ways of working are not adhered to and how care workers should report them. Each example ensures clarity on how to document incidents and whom to report them to, maintaining both resident safety and care quality.


Reporting when agreed ways of working are not followed is not just a procedural step; it’s a moral and professional obligation. By understanding how and to whom you should report these incidents, you contribute to a safer, more effective care environment.

Always remember the importance of documentation, adherence to internal procedures, and seeking the appropriate channels for reporting. Your actions can make a significant difference in maintaining high standards of care and ensuring a safe and respectful workplace.

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