SUPPORTING PEOPLE
GOOD PRACTICE
MANUAL
Please note: This document is a good practice guide and contents are provided for information only.
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CONTENTS
SECTION 1 INTRODUCTION ........................................................................................................................... 3
SECTION 2 POLICIES....................................................................................................................................... 5
SECTION 3 RECRUITMENT............................................................................................................................20
SECTION 4 APPRAISAL .................................................................................................................................40
SECTION 5 SUPERVISION .............................................................................................................................45
SECTION 6 SUPPORT PLANNING ................................................................................................................49
SECTION 7 RISK ASSESSMENT ...................................................................................................................54
SECTION 8 NEEDS ASSESSMENTS ............................................................................................................64
SECTION 9 SERVICE USER INVOLVEMENT ..............................................................................................73
Please note: This document is a good practice guide and contents are provided for information only.
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SECTION 1
INTRODUCTION
Please note: This document is a good practice guide and contents are provided for information only.
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1 Introduction
This document has been produced as a response to requests for guidance from providers undergoing
SPG and SPRG reviews in Pembrokeshire. It is offered as a point of reference only; the aim of this
document is not to restrict the individuality and development of agency’s policies and practices, but
to offer some guidance as to producing documents and following good practice.
The list of policy documents is an indication of the minimum requirement only for providers. Providers
may choose to hold more than one policy listed together under a different heading.
This document will be reviewed regularly and added to as and when examples of good
practice are identified. If you would like to feed into the review of this document or contribute
your own good practice documents for consideration please contact the Supporting People Team:
Pembrokeshire County Council Supporting People Team
Haverfordia House
Winch Lane
Haverfordwest
Pembrokeshire
SA61 2DN
supporting.people@pembrokeshire.gov.uk
01437 776105 / 6106 / 6107
Disclaimer:
Please note this document is a good practice guide and contents are provided for information
purposes only. It is the responsibility of agencies using this document to tailor forms and guidance to
meet the requirements of their individual services prior to adopting and implementing them.
This document does not constitute legal or professional advice and the Supporting People
Team can not accept any liability for actions arising from its use.
Please note: This document is a good practice guide and contents are provided for information only.
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SECTION 2
POLICIES
Please note: This document is a good practice guide and contents are provided for information only.
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2 Policies
Introduction
The information below describes the Supporting People Team’s minimum requirements expected in a
policy. Please note that we expect each organisation to ‘own’ its policies. It is acceptable to reference
other sources for guidance when writing a policy (copyright permitting), but you should adapt the
policy to make it relevant to your organisation as we expect you to implement the policies and
procedures you submit and indicate how you will monitor these policies.
As a matter of good practice, we also expect each policy to be signed and dated by the author, with
the next review date clearly indicated.
Another good practice suggestion is to evidence that staff have been made aware of policies by
asking them to sign and date the policy to show they have read & understood it.
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Communication policy
This should include:
 How you consult, communicate and pass on information to service users regarding the service.
 How you communicate with other agencies regarding the service.
 The methods you use to communicate (verbal, letter, e-mail).
 Responsibilities for communication within your agency.
 How you will review and monitor your communication policy
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Conditions of engagement
By law, an employer is required to give all employees who have been in employment for at least one
month, written details of the employee’s main particulars of employment.
Some terms and conditions of employment are subject to statutory requirements, e.g. rates of pay,
working hours and holidays and notice of termination of employment
All details of the employee's particulars of employment must be given to the employee not later than
two months after he/she starts work
Please note: This document is a good practice guide and contents are provided for information only.
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This should include and/or make reference to:
 Job title
 Place of work
 Travel expenses
 Insurance
 rates of pay
 Working hours
 Pension
 Holidays
 Disciplinary process
 Grievance
 Notice of termination of employment
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Confidentiality
We would expect you to have a general policy statement underlining the importance of confidentiality,
of both written information and verbal exchanges between the tenant and staff, as a key aspect of a
relationship of trust. You may wish to back this up by being clear about the sanctions staff can face if
this trust is betrayed.
As a minimum we would expect your policy to cover:
 the limits of confidentiality e.g. threat of harm to self and/or others;
 the tenant’s access, and their contribution, to records held by the agency;
 how your organisation would gain consent from a tenant to share information with other
agencies/professionals, where appropriate;
 security arrangements for personal records;
 code of practice for staff;
 how you expect to monitor this policy;
Please note: This document is a good practice guide and contents are provided for information only.
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Data protection and subject access to information
Anyone processing personal data must comply with the eight enforceable principles of good practice.
They say that data must be:
 fairly and lawfully processed;
 processed for limited purposes;
 adequate, relevant and not excessive;
 accurate;
 not kept longer than necessary;
 processed in accordance with the data subject's rights;
 secure;
 not transferred to countries without adequate protection.
This should include:
 What is data protection and the legal requirements
 What is subject access information and the legal requirements
 How you will comply with legal requirements
 How you will deal with requests for information, including who will deal with the request and what
timescales will be in place.
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Equal opportunities
We expect a statement about the types of discrimination and inequalities which groups face in society,
and the commitment to eradicate such discrimination.
The statement should also refer to the relevant legislation, and how it affects the employer, support
staff in the home, tenants and visitors. We would expect a reference to sexual, disability and racial
harassment policies (although the details of these you may wish to keep separately).
We expect your policy to make reference to the following, as a minimum:
 employment (i.e. steps taken to ensure fairness in recruitment and selection, monitoring
arrangements);
 service delivery (i.e. steps you would take to ensure that an individual’s needs and wishes are met,
taking into account differences in language, culture and religion);
Please note: This document is a good practice guide and contents are provided for information only.
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 clear messages to staff about the importance of this policy;
 your monitoring procedures; to include how you will collate information on race, ethnicity,
gender, sexuality, disability, age etc for both staff and clients, including how you will record, monitor
and report on this information
 Racial, disability and sexual harassment statements.
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Gifts
We will expect a statement on how your agency will deal with gifts made to employees and the
agency, by service users and others including:
 reporting of gifts received
 refusal of gifts (why, how)
 accepting gifts (why, how)
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Health and Safety
Where the provider employs five or more people, it is a legal requirement to have a written Health and
Safety policy which can be inspected by a Health and Safety Inspector. However, we will expect all
providers, irrespective of size, to be able to demonstrate their commitment to health and safety issues.
You may consult with the Environmental Protection officers of your local authority to ensure that you
are observing all of your obligations under the law. They will also inform you of the literature available
which is relevant to your scheme.
We would expect your Health and Safety Policy statement to include the following as a minimum:
 general statement of aims;
 who is responsible for assessment of risk, training of staff and monitoring the policy;
 how often will the policy be reviewed;
 how the information will be disseminated to employees and tenants;
 reference to additional documents which may detail procedures to deal with specific hazards e.g.
risk of abuse towards staff;
 the responsibility of employees and tenants;
Please note: This document is a good practice guide and contents are provided for information only.
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 recognition of the hazards inherent in the physical environment where your support staff will be
working e.g. infection, tenant behaviour/health and the use of equipment and chemical
substances;
 dealing with accidents and emergencies
 emergency procedures in the event of a serious accident or fire;
 entering and leaving a service users home
In addition we would like to see the general written guidance you give to your workers. We
expect the following to be included in your policy as a minimum:
 definition of a lone worker within the organisation;
 how and by whom are the risks of lone working assessed;
 consultation between employers and employees;
 responsibilities of management and employees;
 control measures to minimise the risks to lone workers;
 monitoring procedures.
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Organisational aims and objectives
Aims and objectives are an important part of the support process, assisting in clarifying the
relationship between the provider and the service user. The writing of aims and objectives assists
providers in designing the service and support model, goal planning, and assessing what methods are
appropriate for the service.
We would expect you to clearly state the aim of your organisation:
 The aims express the provider's broad support purposes in providing the service. The aim
addresses the question "why is the service provided?"
We would expect you to clearly state the objectives of your organisation:
 The objectives (outcomes and experiences) set out the intended outcomes that demonstrate
successful completion of the support plans and goals, and the support provided to ensure that those
outcomes can be achieved. The outcomes identify the knowledge, skills, enablement and attributes
developed by the service for the client.
Please note: This document is a good practice guide and contents are provided for information only.
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Organisational values on which the support service will be based
We would expect you to clearly state the values of your organisation.
Values are the behaviours which are particularly valued in an agency, the main beliefs of “the way
things are done around here”. Values underpin the culture of an organisation, so are critical to
achieving its strategic goals. Organisations can set themselves apart from others values in the way
they demonstrate their values.
Organizational values define the acceptable standards which govern the behaviour of individuals
within the organization. Clearly, the organization's values must be in line with its purpose or mission,
and the vision that it is trying to achieve
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Procedures for dealing with abuse of any form
We expect a general statement about the vulnerability of adults in the community to verbal, physical,
psychological, financial and sexual abuse and your commitment to preventing such incidents, and that
you will take any allegations very seriously. You may wish to refer to your risk management policy and
terms and conditions for staff.
 We expect the following to be included in your policy as a minimum:
 raising staff awareness;
 reference to relevant legislation;
 to whom should concerns be expressed and at what point outside agencies including the social
worker and relatives would be informed;
 how accusations and investigations are to be recorded and protection of whistle-blowers;
 assessing the mental capacity of the person allegedly abused and the alleged abuser;
 involvement of the registration authority and the police;
 support systems for the victim;
 how the accused would be dealt with, taking into account the relationship e.g. tenant, staff, family
 confidentiality issues;
 who is responsible for monitoring the policy and procedures;
 A statement to the effect that the organisation intends to adhere to POVA guidance.
Please note: This document is a good practice guide and contents are provided for information only.
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We would expect a statement to include how you identify and deal with tenants with challenging
behaviour and how you would minimise the risk to other tenants, staff, visitors or members of the
public. This should include:
 what is challenging behaviour and how it is identified;
 causes of challenging behaviour;
 how occurrences of challenging behaviour can be reduced;
 how occurrences of challenging behaviour are dealt with, which may included a statement on
physical intervention and/or restraint, if applicable;
 staff training in relation to challenging behaviour;
 emergency procedures;
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Recruitment and selection procedure
We would want your policy to show the organisation operates rigorous recruitment procedures to
adhere to equal opportunities and ensure the protection of tenants. We would expect the following to
be included:
 how and where vacant posts are advertised;
 that all applicants are required to complete an job application form;
 that applicants are advised that the position applied for is exempt from the Rehabilitation of
 Offenders Act;
 that all applicants are required to complete a full employment history and are informed that any gaps
in employment will be investigated;
 that all appointments will be made subject to a CRB disclosure and two written references;
 that all staff will receive a job description and a contract of employment;
 details of the period of probation;
 that staff will be given a copy of the organisations Disciplinary and Grievance procedures;
 induction and training programmes;
Please note: This document is a good practice guide and contents are provided for information only.
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Risk management
We would expect a general statement about risk-taking being essential for people to grow and
develop, and that they have a right to make choices about their own lives. In some situations good
practice might indicate an increase in risk to the tenant. Against this is the need for you to balance
your responsibilities for the health and safety of other members of the household, staff and in some
circumstances the general public, and your general “duty to care”.
Examples of areas of risk you may wish to consider might include:
 the environment e.g. trailing electrical cables;
 equipment e.g. the electrical safety of appliances;
 health and welfare of the tenant e.g. falling, the implications of a confused mental state, smoking
etc;
 infection control.
We would want your policy to cover, as a minimum:
 how the potential for risk is identified;
 who carries out the risk assessment;
 who will be consulted;
 how will it be recorded, and how will the relevant staff be informed;
 monitoring and review.
You may wish to cross-reference this policy with your health and safety policy, particularly with
reference to your duties to protect your staff from hazards.
Example Policy:
XXXXX is committed to ensuring that as far possible risk to staff, clients, neighbours and any other
outside people is minimised. In the interest of personal safety all staff are expected to take individual
responsibility for their own health and safety, be aware of the safety of others and to comply with the
procedures set out in the Health and Safety Policy.
It is the individual staff members responsibility to ensure that risk assessments have been completed
prior to commencing work with the service user. Failure to do so will constitute a breach of policy and
may result in formal disciplinary proceedings being invoked.
Please note: This document is a good practice guide and contents are provided for information only.
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It is the line managers responsibility to ensure that Risk Assessments are monitored through regular
supervision and file auditing.
Risk Management General Guidelines
 Staff responsible for coordinating referrals and pre-support assessments should ensure that a Risk
Assessment is carried out before applicants become clients.
 In order to complete a pre-support Risk Assessment staff will need to liaise with all relevant people
and agencies that may have knowledge about potential risks related to the applicant, for example a
social worker, a probation officer, family member or carer. Applicants should give written consent
for this liaison to take place. Where there is little or no information available the Risk Assessment
should still be completed noting the lack of information and the potential unquantified risks.
 XXXXX Where appropriate, referring agents should be asked to forward their own Risk
Assessment. This procedure should be written into any relevant Service Level Agreements or
Partnership Contracts.
 Even if there appears to be no identifiable risk – a form should be completed to that effect.
 Every client file should have a current Risk Assessment on their personal file.
 A new Risk Assessment should be completed following any incident or event that gives rise to new
levels and/or types of risk.
 All Risk Assessments should be checked and countersigned by a more senior member of staff.
 XXXXX It may be appropriate to forward copies of new Risk Assessment’s to partner agencies. If
this is the case the procedure should be detailed in the relevant Service Level Agreement or
Contract. It is important that the client has signed an ‘Agreement to Share Information’ and that this
is referred to in your organisation’s Confidentiality Policy.
 All members team should be aware of potential risks from/to all clients. XXXX You should state how
this information sharing will take place for example via the use of daily communication or log books,
team meetings etc.
 If in any doubt about this process staff should seek advice from a more senior member of staff.
Please note: This document is a good practice guide and contents are provided for information only.
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Sickness absence
 This policy should include:
 Notification and reporting of sickness
 Return to work procedure
 Statutory sick pay
 Sickness during annual leave
 Short term absence
 Long term absence
 How absences will be covered to ensure service is not disrupted
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Standards for quality assurance
Quality assurance involves the use of evidence to check that goals are being achieved and that the
evidence is used to reshape goals and practices to bring about improvement.
Quality assurance will:
 Improve your product and service quality
 Give your customers confidence that their needs will be met.
 Standardise your business by giving it a consistent approach to its operations.
 Improve work processes, efficiencies, morale and reduce waste.
This may include:
 Internal Audit Processes
 External Audit Processes
 Accreditation to other bodies
 Stakeholder feedback
Please note: This document is a good practice guide and contents are provided for information only.
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Training and staff development
Training and staff development should facilitate personal and professional progress enabling
individuals and groups to achieve their full potential and contribute to the provision of support services.
Staff development includes any activity which contributes to the enhancement of their knowledge,
skills, competence, or working practices, e.g. courses, development programmes, vocational training,
structured staff development activities, attendance at meetings and conferences, secondments,
development of educational materials, curriculum enhancement and active involvement with
professional bodies.
The policy should cover:
 Equality of access to staff development and training
 Supervision
 Appraisal
 Training
 Monitoring
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Whistle blowing
As a minimum we would expect your policy to make reference to:
 the need for a process for individuals (staff or tenants) to raise complaints of a serious nature
without the fear of backlash;
 that where an individual discovers information that they believe shows malpractice or wrong- doing
within the organisation, a disclosure should be without fear of reprisals;
 who disclosures may be made to, ie independent of the line manager;
 channels by which an individual can whistle blow;
 how and by whom the disclosure will be dealt with;
 how outcomes will be addressed and reported on;
 links to POVA
Please note: This document is a good practice guide and contents are provided for information only.
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Access to the Service
This policy should state how tenants can access the service and the procedures that follow. It should
include:
 how, and by whom, referrals are expected to me made;
 eligibility criteria for tenants including excluded groups;
 consultation with existing tenants;
 details of a waiting list and how this is monitored;
 arrangement for tenants to access the schemes;
 assessments for tenants on entering the schemes;
 support plans
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Complaints and Grievance handling
Complaints:
We expect a general statement about the rights of tenants to express their views about the service
they receive, that these views are positively welcomed by the service provider and that they will be
taken seriously. Such views may concern the day to day work of your support staff, or may be a
complaint about a serious offence.
As a minimum, we expect your policy to make reference to:
 how you ensure that every tenant has a copy of the complaints procedure;
 how tenants and their families may be encouraged to express their views about the service;
 how suggestions and complaints and their outcome will be recorded;
 who will investigate complaints and be responsible for monitoring the effectiveness of the
complaint procedure;
 the point at which you may wish to involve Social Services or the police in an investigation (POVA);
 time scales for dealing with complaints.
Please note: This document is a good practice guide and contents are provided for information only.
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Grievance:
Description of process employees can expect:
 informal meeting
 written responses
 formal meetings
 time scales
 monitoring
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Monitoring and evaluation
This policy looks at how the organisation monitors the quality of service it provides and how it acts
upon this information. We expect details of how your organisation:
 monitors service delivery and maintains records;
 monitors tenant satisfaction levels;
 monitor stakeholder views;
 evaluates the monitoring information collected;
 Quality Assurance (QA) systems (internal and external);
 acts upon this information
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Support Delivery model
This should clearly show how your agency delivers support to service users:
 Range of activities undertaken
 Limitations of responsibility
 Support planning methods, including theories and links with values of agency.
 Support reviews
 Exit strategies
 Monitoring and recording
Please note: This document is a good practice guide and contents are provided for information only.
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Financial management where service users require the appointment of an
appointee
This should cover:
 How appointees will be identified and line managed
 Risk assessment and management
 Internal and external checks on behalf of the service user to ensure that their finances are managed
appropriately.
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User Involvement/Tenant Participation
The policy should include, as a minimum:
 what is tenant participation;
 why it is important to the organisation and the tenants;
 a description of the tenant participation mechanisms within the schemes;
 the role of the tenant in developing and improving services;
 what the tenant and the organisation can expect to achieve from tenant participation;
how the organisation consults tenants on proposed changes to the service
Please note: This document is a good practice guide and contents are provided for information only.
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SECTION 3
RECRUITMENT
Please note: This document is a good practice guide and contents are provided for information only.
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3 Recruitment
Application Form
(PRIVATE AND CONFIDENTIAL)
1
Personal Details
Surname…………………………………… Forename(s)…………………….……………….
Address……………………………………………………………………………………………
……………………………………………………………………………………………………..
…………………………………………….. Post Code………………………………………..
Home Telephone
(Code)……………..
(No.)…………………………………………
Business Telephone
(Code)………………
(No.)…………………………………………
Mobile Telephone……………………
E-mail Address……………………………..
National Insurance Number…………………………………………………………………….
Do you need a work permit to work in the UK?
Yes □
No □
2
Present/most recent employment
Name and address of present or most recent employer …………………………………….
………………………………………………………………………………………………………
Job Title…………………………………………………………………………………………….
Dates of employment From (month/year)………………….. To (month/year)…………....
Brief description of duties and responsibilities…………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
Reason for wanting to leave……………………………… …………………………………….
How many employees do you supervise? ………………………….....................................
Grade……………… Salary/Wage………………. Other financial benefit………………….
Job Title of immediate supervisor……………………………. Period of Notice……………..
Please note: This document is a good practice guide and contents are provided for information only.
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3
Previous employment
Please enter in reverse date order and include any training placements, temporary
unpaid or voluntary work experience (please attached additional sheet if necessary
Dates to &
from
Month/Year
4
Employer’s
Name & Address
Job Title & Salary
Brief Description of Duties
Reason for
leaving
Qualifications
Proof of qualifications may be required at interview
Date to & From
Month/Year
Schools, Colleges, Training
Centres attended – including part
time
Qualifications gained or pending
(state subject & level)
Please note: This document is a good practice guide and contents are provided for information only.
Grade
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5
Membership of Professional Bodies
Body
6
Grade of Membership
Whether by exam
Date
Other relevant information and experience
The information you provide in this section is important in assessing your application.
Please use the space to state your reasons for applying for the post, relating your
skills, experience and personal qualities and training you have receive to the
requirements of the job which are contained in the job description and job requirement
form.
If you require more space, please attach a separate
sheet
Please note: This document is a good practice guide and contents are provided for information only.
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7
Miscellaneous
Are you related to any member or employee of this Organisation?
Yes □ No □
If so, please state name and relationship………………………………………………………
………………………………………………………………………………………………………
Have you been convicted of a criminal offence?
Yes □ No □
If yes, please details including dates except spent convictions under the Rehabilitation of Offenders
Act
……………………………………………………………………………………………………….
……………………………………………………………………………………………………….
……………………………………………………………………………………………………….
……………………………………………………………………………………………………….
Rehabilitation of Offenders Act 1974 (Exceptions) Orders 1975 & Police Act 1997
If the Job Description has indicated that the post for which you are applying will be subject to a
Criminal Records Bureau Disclosure, the organisation will require you to reveal any criminal
convictions, bind-over orders or caution, including those which would normally be regarded as spent.
Please give details…………………………………………………………………………………
……………………………………………………………………………………………………….
……………………………………………………………………………………………………….
……………………………………………………………………………………………………….
Information regarding CRB Disclosures is attached.
Do you hold a full valid driving licence?
Yes □ No □
If it is a non UK Licence, please specify country of issue …………………………………….
If you have any driving endorsements please detail…………………………………………...
……………………………………………………………………………………………………….
Please note: This document is a good practice guide and contents are provided for information only.
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8
References
Please give the names of two persons to whom reference may be made in respect of your
application. The first should be from your last employer (or Head Teacher if a school leaver).
Referees are only contacted if candidates are to be interviewed.
Name………………………………………….. Position……………………………………..
Address……………………………………………………………………………………………
……………………………………………………………………………………………………
If you do not wish this referee to be contacted until a provisional offer of employment is made,
please indicate by ticking the box. □
Name……………………………………….. Position………………………………………..
Address……………………………………………………………………………………..……
………………………………………………………………………………………………….....
If you do not wish this referee to be contacted until a provisional offer of employment is made,
please indicate by ticking the box. □
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Declaration
The information you have provided on this form is subject to the Data Protection Act 1998. It will
be held by the organisation for recruitment purposes. If you are appointed this information will be
retained for the duration of your employment with the organisation. If you are not appointed your
information will be kept for a period of 4 months following the appointment decision after which it will
be destroyed.
Declaration
I declare that the information given in this application is complete and true, that I have not canvassed
(either directly or indirectly) any Member or Employee of this organisation and will not do so.
Signed………………………………………………………………………… Date…………………….….
Please return the application form to the address shown on the advertisement.
Please note: This document is a good practice guide and contents are provided for information only.
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Equal Opportunities Monitoring Form
PRIVATE AND CONFIDENTIAL
Data Protection Act 1998
The information you provide on this form will be stored either on computer or in the form of manual
records. It will be used by the organisation solely to monitor the implementation of its Equal
Opportunities and related employment policies. It will not be used for any other purposes or disclosed
to any other organisations except in pursuance of our statutory obligations.
Could you please complete this form and return it with your application form. The form will be
separated from the Application Form on receipt, Officers involved in the selection proves do not at any
stage have access to the data collected. However, should you have any concerns, please insert this
Monitoring Form into an envelope, write post title on the outside of the envelope and return with
application form. We would assure you that this envelope would not be opened until the conclusion of
the recruitment.
1
My gender is (please tick appropriate box): Male □
2
How would you describe your ethnic origin (please tick appropriate box):
White
British
English
Scottish
Welsh
Other
Irish
Any other white background
Please specify:
□
□
□
□
□
□
□
Female □
Mixed
White & Black Caribbean
White & Black African
White & Asian
Any other mixed background
Please specify:
……………………………………………….
……………………………………………….
Asian or Asian British
Black or Black British
Other □
□
□
□
□
Indian
Pakistani
Bangladeshi
□
□
□
Caribbean
African
□
□
Any other Asian background
Please specify:
□
Any other Black background
Please specify:
□
……………………………………………….
……………………………………………….
Please note: This document is a good practice guide and contents are provided for information only.
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Chinese or Other ethnic Group
□
□
□
Chinese
Gypsy/traveller
Any other ethnic group
Please specify:
……………………………………………….
(These categories are those used in the 2001 census and are recommended for use by the Commission for Racial Equality)
3
4
Age:
under 25
45-55
□
□
25 – 34
over 55
□
□
35-44 □
Disability:
Are you a disabled person?
If yes, are you registered disabled
Yes □ No □
Yes □ No □
The Disability Discrimination Act 1995 defines disability as “a physically or mental impairment” which
has a substantial and long-term adverse effect on a person’s ability to carry out normal day to day
activities”.
Please note: This document is a good practice guide and contents are provided for information only.
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REFEREE`S FORM
STRICTLY CONFIDENTIONAL
FOR COMPLETION BY STAFFING SECTION
Name of Application:
Post applied for:
Date:
NOTE TO REFEREE
If you are not a current or previous employer, and are providing a character reference, please
answer questions 1 and 9-12.
1.
In what capacity do/did you know the candidate?
2.
Does/did the candidate report directly to you?
3.
If the candidate does/did not report directly to you, to what post did he/she report?
4.
For how long has/did the candidate hold this post?
5.
What work does/did the candidate do?
6.
Please state the number of sickness days the candidate has had in the last three years. If
she/he has been employed by you for less than this, then please state absence during the
period of employment (excluding absences for pregnancy and confinement.
Yes □ No □
No of days:
Comments:
7.
Have you had any concerns about the candidates work?
Yes □ No □
Comments:
8.
If yes have any of these concerns resulted in disciplinary action?
Please note: This document is a good practice guide and contents are provided for information only.
Yes □ No □
28
9.
In relation to the post applied for what, in your opinion, are the strengths and weaknesses of the
candidate?
Strengths:
Weaknesses:
10.
Yes
□
No
□
Reliable in meeting deadlines
Yes
□
No
□
Reliable in carrying out duties
Yes
□
No
□
Is the candidate: Punctual
Comments:
11.
Please give your comments on the candidate’s ability to meet the requirements of the job for
which he/she has applied.
Comments:
12.
Are there any comments about the candidate’s suitability for this post you wish to make?
Comments:
Name of Referee:
Position:
Organisation:
Signed:
Date:
THANK YOU FOR YOUR ASSISTANCE
Please note: This document is a good practice guide and contents are provided for information only.
29
INDUCTION CHECKLIST FOR SMALL PROVIDERS
General Induction:
General Area:
1
Administration
Completed: Date:
Including details on salary, bank details, P45,
National Insurance number, pension schemes,
staff handbook and any uniforms & equipment
if required;
2
Terms and Conditions
Including hours of work including breaks,
of Employment
sickness
and
holiday
procedures
and
disciplinary and grievance procedures;
3
Tour of the building
4
Introduction to
colleagues
5
Office systems
Record keeping, administration, phones, IT
equipment and software;
6.
Criminal Record
Has CRB check been received?
Bureau Check
If not have strategies been put in place to
minimise risk?
Please note: This document is a good practice guide and contents are provided for information only.
30
Support Worker Induction:
note – the ‘completed’ box should by initialled by both the inductee and manager/inductor
when the inductee has demonstrated understanding of the outcome under review.
Core Area:
1
Values
1.1
Outcome:
Questions to consider:
Understand the
• Give examples of a
need to promote
respectful and
these values:
disrespectful way to
rights;
address someone who
individuality;
uses your service.
identity; choice;
• What to the values listed
respect; privacy;
mean for those who use
dignity;
your service?
independence;
partnership.
Completed
• Give an example of
what you can do in your
work to promote each of
these values.
• Why is it important to
consider the
language(s) used by
service users in
promoting these
values?
• What does ‘prejudice’
mean?
• Give an example of
prejudice against a
person or a group of
people?
• What does ‘equality’
mean?
• Give and example of what
you can do in your work to
challenge prejudice and
promote equality.
Please note: This document is a good practice guide and contents are provided for information only.
31
Date:
2
Confidentiality
2.1
Understand why
• What is confidentiality?
confidentiality is
• Why is it important in
important.
your workplace?
• Give an example of what
you must do and
not do to protect the
confidentiality of those who
use your service.
2.2
Understand the
• Give an example of
limits of
when you would not
confidentiality.
keep confidential
something a service
user told you.
3
4
Communication
Relationships
3.1
4.1
Understand the
• Give an example of how
verbal and non-
people can
verbal ways
communicate verbally
people
and non-verbally by how
communicate.
Understand the
they behave.
• Give an example of
with service
responsibility to
something worrying a
users
report anything
service user might tell
worrying at work.
you. What would you
do?
4.2
Understand how
• Give an example of how a
a relationship with a
relationship with a service
service user is
user is different from that
different from
with a friend and
other
colleague.
relationships.
4.3
Understand the
• What are your
responsibilities and
responsibilities in
limits of
relationships with
relationships with
service users, carers
service users,
and the families of
carers and friends.
people who use your
service?
• What would not be
acceptable in your
relationships with
service users, carers
and families?
Please note: This document is a good practice guide and contents are provided for information only.
32
5
Health and
5.1
Safety
Be aware of
• Describe the security
security
measures in the place
measures in the
where you work.
workplace(s).
5.2
Know what to do
• Describe situations
if gas, electricity
when you would need to
or water need to
turn main services off.
be turned off in an
emergency.
• Describe where the
main switches and
stopcocks are.
• Who should you tell
about the
disconnection?
5.3
Be aware of own
• What are your
responsibility and
responsibilities in
rights to a healthy
maintaining a healthy
and safe
and safe workplace?
environment.
• What are the
responsibilities of
others?
• What are your rights to a
healthy and safe
workplace?
5.4
Be aware of the
• Give examples of
risks of violence
situations where you
and danger and
may be at risk of
how to reduce
violence and danger.
these.
• Describe your workplace
policy and practice on
protecting yourself from
violence.
5.5
Understand how
• List substances that
to store and
may be a hazard in your
dispose of
workplace.
substances that
• Describe how these
are harmful to
should be stored and
health.
disposed of.
Please note: This document is a good practice guide and contents are provided for information only.
33
6
Fire procedures
6.1
Know how to
•
Describe steps to
follow fire
prevent fire in the
procedures.
workplace.
• Show the steps you
must follow in a fire.
7
Moving and
7.1
handling
Know what you
• Give examples of what
must not do when
you must not do in
moving and
relation to moving or
handling at this
handling an object.
stage of your
• Give an example of when
you would get advice
training.
before moving or handling
an object.
8
Emergency first
8.1
aid
Know how to use
List primary health care
primary health
services and what they
care services in
do.
response to an
8.2
•
• Describe how to get
accident or
hold of them in an
emergency.
emergency.
Know own
• Describe what you can
responsibilities
and cannot do in relation
and limits in
to emergency first aid.
relation to
emergency first
aid.
8.3
Know some basic
first aid
techniques.
• Describe an incident that
may need first aid.
• Describe the initial
assessment and the
action you would take.
9
Safe food
handling
9.1
Know safe
• List possible hazards
practices in
associated with different
preparing,
foods and their
handling and
preparation.
storing food.
• List three main causes of
food poisoning.
• Describe how to
prepare food safely and
hygienically.
Please note: This document is a good practice guide and contents are provided for information only.
34
10
Role of the
10.1
worker
Understand the
worker’s job role
in relation to the
• Explain what your job
role is.
• Explain what the aims
aims and values
and values of the
of the agency and
service are.
service.
• Explain how your role help
the service meet its aims.
10.2
Understand the
role and
you will have most
responsibilities of
contact with?
other workers in
the workplace
10.3
• Who are the workers
• What are their roles and
responsibilities?
Know the
• What is supervision?
purpose of, and
• What is the purpose of
arrangements for,
supervision?
supervision &
• Why is it important?
appraisal.
• What are your
supervision
arrangements?
• What is appraisal?
• What is the purpose of
appraisal?
• Why is it important?
10.4
Understand the
• Explain why it is important
importance of
to involve families, carers,
involving family,
and the community in the
carers and the
lives
community in the
lives of service
of the service users.
• How can you do this?
users, wherever
possible.
11
Access to
11.1
Know how to
• Describe how you can get
policies and
access a full list
hold of a full list and up-to-
procedures
and up-to-date
date copies of agency and
copies of agency
workplace policies and
and workplace
Please note: This document is a good practice guide and contents are provided for information only.
35
policies and
procedures.
procedures.
11.2
11.3
Know why it is
• What is a policy?
important for
• What is a procedure?
workers to follow
•
Why is it important that
policies and
you follow policies and
procedures.
procedures?
Know how to use
• What policies and
policies and
procedures are important
procedures
for you to do your job
important for the
properly and safely.
worker to do their
• Give a brief description of
job properly and
the content of these
safely.
policies?
• Describe the policy in your
workplace on protecting
service users from abuse.
• Say what your
responsibilities are.
12
The service user
12.1
Understand what
• What service user
group and
‘service user group’
group(s) do you work
carers
means and the
with?
drawbacks of this
12.2
term.
Have a positive
• Why is important to have
approach to work
a positive approach to
with the service
work with the service
user group(s) and
user group(s), individual
carers.
service users and their
carers?
• How can you show you
have a positive
approach?
12.3
Understand that
• What attitudes might other
the difficulties
people have about the
faces by service
service user
users are often
group(s) you will work
Please note: This document is a good practice guide and contents are provided for information only.
36
caused by
society’s attitude
with?
• What difficulties do the
towards them.
service users you will
work with face in their
everyday lives because of
these attitudes?
•
What can you do in your
work to challenge these
attitudes?
12.4
Understand the
• Explain what the needs, or
main effects of
condition or
the needs or
syndrome experienced
conditions or
by the service user
syndrome
group(s) is.
experienced by
the service user
group(s).
• Describe the main
effects.
• What are the best ways to
respond to someone who
has these needs,
conditions or
syndrome?
12.5
Understand that
• Give an example of a
the needs of the
situation where the
service user and
needs of an individual
carer are not
service user and their
always the same.
carer(s) may be
different.
12.6
Understand the
• Describe the expectations
expectations
that a service user and a
service users and
carer have of your service.
their carers may
• Are these realistic.
have of the service.
• Does the service meet
those expectations?
• Give an example of a
situation where the
expectations of an
individual service user and
their carers may be
different.
Please note: This document is a good practice guide and contents are provided for information only.
37
12.7
Understand how
• Describe what you
to promote a
understand by
service user’s
emotional and social
emotional and
wellbeing.
social well-being.
• What can you do in your
workplace to promote a
service user’s emotional
and social well-being.
12.8
Understand how
• Describe behaviour that
to recognise
might lead you to suspect
abuse.
a service user was being
abused.
• What would you do?
12.9
Understand ways
• Give examples of what you
to protect an adult
must do to protect a
from abuse.
service user from
abuse.
13
Effect of
13.1
Understand the
• Give examples of how a
receiving as
effect receiving a
service user may feel
service on the
service may have
about receiving a service.
service user.
on the service user.
13.2
Understand the
effect the service
setting may have
• Explain what service
setting means.
• How might this setting
on the service
affect how service users
user.
feel and behave?
• What can you do to
reduce any problems the
service setting may cause
for the service users?
14
Other (please
state)
Please note: This document is a good practice guide and contents are provided for information only.
38
STATEMENT OF COMPLETION:
Name of Employee
Started Work as (job title)
At (Scheme and Provider name)
On (date of first day of work)
And has satisfactorily show their understanding of each outcome included in this induction
programme.
Supplementary evidence can be found at
Date induction programme completed:
Length taken to complete induction programme:
Signed (by inductee):
Signed (by Manager):
Date:
Please note: This document is a good practice guide and contents are provided for information only.
39
SECTION 4
APPRAISAL
Please note: This document is a good practice guide and contents are provided for information only.
40
4
Appraisal
Guidance notes
Requirement
SPG Mandatory Service Option Six: An Annual Appraisal Process [for all staff]
National Minimum standards for Domiciliary Care Agencies in Wales 21.5:All staff have an annual
appraisal of their overall standard of performance and identification of training and development needs
and a copy of the appraisal is placed on the personnel file of each member of staff. The appraisal
should normally be undertaken by the line manager or their manager, except in exceptional
circumstances.
Purpose
The purpose of the appraisal is for managers and staff to sit down on a one to one basis to review
performance over the past year and set new goals. It is also an opportunity to:
 Talk about your job and how it contributes to service efficiency, objectives and aims;
 Establish performance targets that are specific, measurable, achievable, resourced, and
timebound (SMART);
 Identify training and development needs and set out plans to meet them;
 Discuss and address any barriers to effective performance.
Managers:
 As a manager, you are responsible for ensuring that your staff are motivated and work at maximum
performance, and that they are trained and developed.
 Arrange a mutually convenient time with your staff member, where you are unlikely to be
interrupted for approximately 1 to 1 ½ hours.
Prepare yourself:






Consult essential documentation (Personal File, Job Description etc.)
Consult other managers if necessary
Be objective (do not let prejudices get in the way)
Set aside enough time for the discussion
Make appropriate notes beforehand to assist the interview
Identify both strengths and areas for improvement
After the appraisal it is important to keep the momentum going with staff by Monitoring, Coaching,
Mentoring, and arranging Training.
Staff:
Preparing for your appraisal:
Take time to prepare in advance for your appraisal. Think about the following:
1.
2.
Review of performance; Have you achieved your individual objectives/targets? Which were the
most/least successful and why? What lessons can be learned from these results?
Attitude: (Initiative, reliability, dependability, co-operation, helpfulness, relationship with others,
tact, appearance and timekeeping.)
Please note: This document is a good practice guide and contents are provided for information only.
41
3.
4.
5.
6.
7.
Ability: Knowledge, work rate, written & oral communication, organising your work.
The Next Six Months/Year: Could the quality of your work be improved & could anything be
done to help you? What are your goals for the next 6/12 months?
Personal: Are there additional skills/ knowledge which you can acquire through training?
Job Description: Is your Job Description still accurate?
What are your new targets and objectives?
Please note: This document is a good practice guide and contents are provided for information only.
42
ANNUAL APPRAISAL FORM
Date of last Review:
Date of current Review:
Job holder name:
Job Title:
Date appointed to current job:
Manager name:
Does the job holder have a Job Description? Y/N
Is the Job Description current?
Y/N
Have amendments been made?
Y/N
Job title:
Consider, discuss and then record the findings of the appraisal:
1. Summary of objectives and results in the review period (refer to Job Description and last
appraisal notes)
OBJECTIVE
RESULT
1.
2.
3.
4.
5.
6.
2. Comment on those areas which have been performed very well during the review period.
3. In which areas have things not gone so well? Why?
4. Are there any items no longer appropriate to include in the job description? Any items left
out that should be in?
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43
5. Describe the overall performance of the Job Holder over the period under review?
Summarise in two or three sentences
6. After discussion list the agreed objectives, training needs & dates for achievement over the
review period. This should be linked to the job description and the business/operational plan
of the organisation.
A target should be SMART : Specific, Measurable, Achievable, Realistic, Time-related.
OBJECTIVE
TARGET DATE
1.
2.
3.
4.
5.
6.
7. What help or support can be provided to enable the Job Holder to achieve these objectives?
8. Indicate what you think might be the future development/career pattern of the Job Holder.
Support your views by giving examples of his/her ability/skills. Summarise any agreed development
plans.
9. Reviewing Manager/Supervisor Summary
Manager Signature:
Date:
10. Job Holder comments
Job Holder Signature:
Date:
Provisional date for next meeting:
This appraisal should be kept on the staff members personnel file, & a copy should be given to the
member of staff.
Please note: This document is a good practice guide and contents are provided for information only.
44
SECTION 5
SUPERVISION
Please note: This document is a good practice guide and contents are provided for information only.
45
5 Supervision
Staff Supervision
Guidance Notes
Requirement
SPG Mandatory Service Option Six: A system of regular support and supervision
National Minimum standards for Domiciliary Care Agencies in Wales 21.2: All staff meet formally on a
1 to 1 basis with their line mangers at least every 6 weeks to discuss their work & written records
shall be kept on the content and outcome of each meeting.
Purpose
The purpose of the supervision is for managers and staff to sit down on a one to one basis to motivate
staff, ensure everyone is aware of performance goals, and provide support to the employee.
Supervision should:
•
Provide staff an opportunity to raise concerns with their line manager
•
Support staff development
•
Ensure the staff member is meeting objectives which contribute to the team & service objectives.
•
Occur every 4-6 weeks, and should follow an agreed format.
•
Be confidential. The supervisor should explain the boundaries of confidentiality to the supervisee
at the beginning of the session.
Managers:
As a manager, you are responsible for ensuring that your staff are motivated and work at maximum
performance, and that they are supported, trained and developed.
Prepare yourself:
•
Consult essential documentation (Personal File, previous supervision notes etc.)
•
Consult other managers if necessary
•
Be objective (do not let prejudices get in the way)
•
Set aside enough time for the discussion
•
Check that you have completed the previous action points that were your responsibility
•
Draw up an agenda and ask the supervisee beforehand if they would like to add anything to it.
•
Set aside about an hour and ensure that you will not be interrupted during the supervision.
Staff:
Preparing for your supervision:
•
•
•
Check that you have completed previous action points that were your responsibility.
Make sure that you can attend the date/ time of the supervision and that you are unlikely to be
interrupted.
Think about what you would like to discuss, it is a good idea to make notes and bring them with
you to ensure you discuss everything you want to, it is best to give your line manager agenda
items before the supervision if you can.
Records:
•
Areas of disagreement between the supervisor and the supervisee should be recorded on the
supervision records. Areas of disagreement that cannot be resolved should be referred to the
supervisor’s line manager.
•
Supervision records should be kept on the supervisee’s personnel file and a copy should be
given to the member of staff.
Please note: This document is a good practice guide and contents are provided for information only.
46
Supervision Minutes
Item
Action/
Who
Deadline
1. Date:
2. Present:
3. Previous Minutes (Outstanding items)
4. Work undertaken since last supervision:
1. Clients
2. Administration/Record keeping
3. Team/Other issues
5. Issues to be raised with team/manager/others
Please note: This document is a good practice guide and contents are provided for information only.
47
Item
Action/
Who
Deadline
6. Induction/Contractual Issues/ Policy & procedure update
7. Training attended:
8. Training required/requested:
9. Sickness/Absence/Leave:
10 Issues/Feedback
(Time keeping, working relationships, team working etc):
11 Other items:
12 Areas of disagreement between Supervisor and supervisee:
13
Date of next briefing session: (4-6 weeks)
Please read and sign to state you agree with these minutes. Line managers are responsible for
keeping copies of minutes on staff personnel file, a copy should be given to the supervisee for their
own records.
Signed by Supervisee:
Signed by Supervisor:
Date:
Please note: This document is a good practice guide and contents are provided for information only.
48
SECTION 6
SUPPORT PLANNING
Please note: This document is a good practice guide and contents are provided for information only.
49
6 Support Plans
Support and Goal Planning
Guidance
1)
•
•
•
Support Plan Front sheet
Following a needs and risk assessment the support plan is completed with the service user.
The service user is required to take ownership of the support plan by signing off the support
plan.
The referrer and other persons may be invited to take part in the plan with the consent of the
service user.
2)
•
Support and Goal Plan Form
The service user and the support worker refer to the needs assessment to identify support areas
and goals within each support area.
Example:
Need Assessment:
Support Area:
SP Service Aim:
Goal Plan:
Tenant is in rent arrears and under threat of eviction
(has received Notice seeking possession)
Housing (H) and Money (M)
3: Occupants feel more able and better equipped to
manage a home and live in a community
1. Contact housing department to discuss arrears
2. Access legal advice re: NSP
3. Draw up weekly budget and re-payment plan
4. Arrange to pay rent direct from benefits
•
The service user will have a number of these forms to match the number of support areas that
have been identified.
•
A goal should be identified for each support area. Goals should be SMART:
i.
ii.
iii.
iv.
v.
3)
Specific
Measurable
Achievable
Realistic
Time-scaled
Support Plan Review Form
•
Support Plans should be regularly reviewed with service users. Generally this is completed on a
quarterly basis, however if the support is low level this may occur less frequently.
•
Current support plans and identified goals should be reviewed to test whether they are being
achieved, and new goals should be identified as necessary.
•
The service user takes ownership of the review by signing the review form.
Please note: This document is a good practice guide and contents are provided for information only.
50
Individual Support Plan for …………………………………..(Name of Agency)
Name of Service User
Ref: xx10
Address
Date of this meeting
Contact telephone number:
Date of Birth
National Insurance No:
Date/Time for review
Present
Frequency of support
(Days, times etc)
Support Worker:
Referrer:
Other (please state):
Copy given to tenant
Yes / No
Date sent:
Copy to referrer
Yes / No
Date sent:
Copy to other (please state)
Yes / No
Date sent:
I understand and agree that a copy of this support plan will be sent to the individuals and agencies involved in providing my support in order to take
the actions forward.
Information in the plans will be treated as confidential, but may be shared with other agencies where it is specified in the plan.
I have read and understand fully the terms of this support plan and agree to co-operate fully in achieving my aims.
I also agree that my needs assessment, support plan and review notes can be shared with the Supporting People Team.
Signed by Service User: ………………………………………………..
Date: ……………………………………
Signed by Support Worker ……………………………………………..
Date: ……………………………………..
Please note: This document is a good practice guide and contents are provided for information only.
51
Support Plan for (name of service user) :
SUPPORT AREAS
Housing (H)
Life skills (L)
Work and Education (WE)
Participation (P)
Health and Well being (HW)
Leisure/Hobbies (LH)
Relationships (R)
Children and Parenting (CP)
Money (M)
1. Occupants feel safe and secure in their home
4. Occupants access the project and have their needs assessed & met in a
SP Service
and within the community
planned way
Aims:
5. Occupants feel consulted, informed and able to participate in the project.
2. Occupants have opportunities to extend their
skills, interests and friendships.
6. Occupants feel supported by staff who have been appointed, recruited, trained
3. Occupants feel more able and better equipped
and supported
7. That the Living environment is suitable for its stated purpose
to manage a home and live in a community
Goals should be SMART: Specific, Measurable, Achievable, Realistic and Time-scaled
Goal Number:
SP Service Aim:
Support Area:
Date:
Long term Goal
Short term goal
Action
Please note: This document is a good practice guide and contents are provided for information only.
By Whom
When
52
Intended Outcome
SUPPORT PLAN REVIEW FORM FOR
Name
Date of planning meeting
Present
Support worker:
Other (please state) :
………………………………….. … (name of agency)
Address
Date for next review
Ref: xx11
Frequency of support Time/day(s) etc
Referrer:
Copy given to tenant
Yes / No
Date sent:
Copy to referrer
Yes / No
Date sent:
Copy to other (please state)
Yes / No
Date sent:
Risk Assessment Reviewed?
Yes / No
Date reviewed:
Are the Goals being achieved?
Goal Number
Support Area
Yes/No/Partially
Have new goals been identified?
Goal Number
Support Area
Support Plan Completed?
Comment on success/barriers to achieving the goal
Summary of new goal
How does the service user feel the
support plan is working?
I understand that a copy of this review will be sent to the individuals and/or agencies involved in providing my support. Information in the review
will be treated as confidential by the agency or individual concerned. I have read and understand fully the terms of this support plan review and
agree to co-operate fully in achieving my aims. I also agree that my needs assessment, support plan and review notes can be shared with the
Supporting People Team.
Signed by service user: …………………………………………………….
Date:
……………………………………….
Please note: This document is a good practice guide and contents are provided for information only.
Signed by support worker ………………………………………
Date
………………………………………
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SECTION 7
RISK ASSESSMENT
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54
7 Risk Assessment
Completing the Form
1.
What is at risk and why?
This section lists all major types of risk that the client may pose or face.
There is an ‘other’ section to detail areas not listed.
2.
Comments
Complete this section by commenting on:
•
•
•
•
•
A full explanation of who’s at risk and why
The source of the information (e.g. from the client, family member, another agency or from
observation)
Frequency of incidents
Time gap since last incident
Mitigating circumstances
People will, on times, present complex needs which lead to inter-related areas of risk. Do not dwell on
trying to separate a complex situation into different boxes. For example if a client is presenting risks
due to medication use and alcohol use and use of one effects the other, record all the information in
one comment box and make a cross reference in the other.
3.
Likelihood Rating
In order assess how likely it is that an incident will occur, staff should consider length of time since the
last incident occurred, how frequently it has occurred in the last few years and what the trigger factors
are.
0
1
2
3
4
5
None
Very low likelihood
Low likelihood
Medium likelihood
High likelihood
Very high likelihood
4.
Severity Rating
In order to assess how severe an incident would be staff should consider what effects previous events
had on the client and people around them.
0
1
2
3
4
5
None
Very low severity
Low severity
Medium severity
High severity
Very high severity
Please note: This document is a good practice guide and contents are provided for information only.
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5.
Overall Risk Rating
Overall risk rating is calculated by multiplying the score for Likelihood rating by the Severity rating.
Any score over 3 requires risk management measures to be put in place. This involves completing
Part 2 Action Plan with a more senior member of staff.
6.
Review Date
A review date should be set at 3 months unless:
•
An incident occurs therefore the Risk Assessment should be updated.
•
A serious level of risk is posed and close monitoring of risk management measures is
necessary. Reviews would then be carried out at least every 4 weeks or as agreed with a more
senior member of staff.
7.
Part 2 Action Plan
Part 2 Action Plan should always be checked and countersigned by a more senior member of staff.
8.
Further Details
Fully explain what is at risk and why. Include any additional relevant information.
9.
Circumstances In Which Risk May Increase Or Decrease
Enter details of triggers that will affect level of risk, for example:
•
•
•
•
•
10.
Client being under the influence of alcohol or other drugs.
Client not taking medication.
When a particular friend/associate of client is present.
Pressure from outside client’s usual environment.
Conflict or distress that may arise when discussing a particular issue.
Risk Management Measures
These may include:
•
•
•
•
•
•
•
Having 2 members of staff at all times when working with the client.
Ensuring that staff have access to mobile phones/community alarms/emergency pendants etc.
Conducting meetings on safe ground for example not at client’s home or only in communal/office
space where other staff members are close by.
Not permitting staff to transport the client in their car.
Special arrangement with client e.g. that they will not have specified friends (that pose risk)
present during visits.
Agreeing additional information sharing procedures with other relevant agencies e.g. with a Care
Manager or Social Worker (client should always be informed)
XXXXX Ensure that you have in place other policies relating to Health and Safety and Lone
Working. These should detail how risk to staff is minimised when they are visiting clients away
from the office. They should include: use of in/out board, use of diary to log consecutive visits,
due back time, mobile phone use, what happens when people are late, at what stage the police
should be contacted, who is responsible for locating staff who are late etc. Consider the use of
an ‘emergency code’ i.e. when a staff member is able to contact the office by phone when they
are in danger they can use a set phrase or word to which means ‘alert police’ without the client
knowing. In/out boards can also be used when staff are located on the same premises as the
Please note: This document is a good practice guide and contents are provided for information only.
56
clients residence and should detail who are supporting, in what room, when they left the office
and due back time. This is particularly useful if the building is large and staff could not be heard
shouting for help.
In this situation staff should still carry mobiles, walkietalkies or
alarm pendants.
11.
Unmanageable Risk
State why the risk is unmanageable, for example:
•
•
•
•
Insufficient staffing is available.
Unable to provide a staff member of an appropriate gender.
Unable to provide appropriate specialised support service.
An area of risk is so great (e.g. violence) that the client, staff or property cannot be adequately
protected.
State how and to whom a decision not to provide service/withdrawal of service has been
communicated e.g. phone call to referrer, letter to applicant/client, joint agreement with partner agency
etc
The applicant/client must be provided with information on alternative options and this correspondence
should be recorded.
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57
RISK ASSESSMENT PART 1
Project:
Clients Name:
RISK ASSESSMENT PART 1
What /who is
at risk?
Client due to:
Why?
If any Risk Rating is higher than 3, complete Part 2 Action Plan
A
Likelihood
0-5
Comments
Issues related to medication
Mental Health
Suicide
Self Injury
Please note: This document is a good practice guide and contents are provided for information only.
58
B
Severity
0-5
C (A x B)
Risk
Rating
0-25
RISK ASSESSMENT PART 1
What /who is
at risk?
Why?
If any Risk Rating is higher than 3, complete Part 2 Action Plan
A
Likelihood
0-5
Comments
Self neglect
Alcohol or substance misuse
Vulnerability from others (Friends, staff,
neighbours, family etc) (inc. emotional,
physical, sexual, financial abuse)
Please note: This document is a good practice guide and contents are provided for information only.
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B
Severity
0-5
C (A x B)
Risk
Rating
0-25
RISK ASSESSMENT PART 1
What /who is
at risk?
Why?
If any Risk Rating is higher than 3, complete Part 2 Action Plan
A
Likelihood
0-5
Comments
Other:
Staff/
Others due to:
Violence/aggression from client
(Violence as defined in policy)
Manipulative/inappropriate behaviour of
client
Please note: This document is a good practice guide and contents are provided for information only.
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B
Severity
0-5
C (A x B)
Risk
Rating
0-25
RISK ASSESSMENT PART 1
What /who is
at risk?
Why?
If any Risk Rating is higher than 3, complete Part 2 Action Plan
A
Likelihood
0-5
Comments
Dangers posed by family/visitors of client
Other:
Property due
Arson/criminal damage by client
to:
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61
B
Severity
0-5
C (A x B)
Risk
Rating
0-25
RISK ASSESSMENT PART 1
What /who is
at risk?
Why?
If any Risk Rating is higher than 3, complete Part 2 Action Plan
A
Likelihood
0-5
Comments
Client’s ability to monitor family/visits
Illegal activity
Other:
Completed by (Sign)
Support Officer:…………………………………… Line Manager:………………………………………
Date: ………………………………………………
Please note: This document is a good practice guide and contents are provided for information only.
Review Date:…………………………………..
62
B
Severity
0-5
C (A x B)
Risk
Rating
0-25
Risk Assessment Part 2: Action Plan
(To be completed for risk ratings that score higher than 3 on Part 1 of risk assessment)
Clients Name:
Project:
What is at risk and why? (e.g. The Client/Mental Health)
Further details:
Are there circumstances in which the risk may increase/decrease?
Practical risk management measures that will be put in place:
Or, if the risk is unmanageable, state why and what action has been taken:
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63
SECTION 8
NEEDS
ASSESSMENTS
Please note: This document is a good practice guide and contents are provided for information only.
64
8 Needs Assessments
Needs Assessment Guidance
What is a needs assessment?
A needs assessment is a process that helps to identify the unmet needs a service user has which
require support and intervention to enable them to sustain their home and live more independently.
Why do a needs assessment?
If you don’t know what the problem is, how can you respond to It?
The needs assessment will help you and the service user to identify in which areas of their life they
require support and whether your service can offer that support.
When to do a needs assessment
 The needs assessment should be completed with the service user before support begins.
 The outcome of the needs assessment will determine:
1. Whether the service user is eligible for the support service you offer
2. Whether the service user needs the support service you offer
3. Key housing related support needs of the client which should feed into the support plan
How to complete the needs assessment
 The needs assessment should be completed with the service user.
 ‘Areas of need’ are identified on the form under different categories. The support worker (or
whoever is completing the needs assessment with the service user) should discuss each ‘area of
need’ on the form with the client before completing the ‘current situation’ section and identifying
specific needs within that area.
 Other categories of need should be identified as required particularly needs specific to the client
group you are working with e.g. substance misuse issues.
 The service user should be encouraged to identify their own unmet needs and the severity of those
needs by completing the ‘self assessment’ section of each category, this will help the service user to
‘own’ the assessment.
 The service user and the support worker should sign and date the form.
What to do after you complete the needs assessment?
 A copy should be given to the client and a copy kept on the clients file.
 The needs assessment should then form the basis of the support/goal plan for the service user.
 Each need that has been identified should be transferred to the support plan and the support worker
and the service user should identify actions to meet the need.
 The needs assessment should be reviewed as required. This will also help to identify what level of
progress the service user has made since the previous assessment and what new needs have
arisen.
Please note: This document is a good practice guide and contents are provided for information only.
65
(Insert Provider Name) Sample Needs Assessment Form
Contact telephone
no.
Client Name
Address
Date of Birth
Date of Assessment
National Insurance
No.
Names of persons present at
Assessment (service user & support
worker minimum)
Date and time of
Review
Area of Need
Accommodation, Housing
and Tenancy Issues
Assessed Need
Current Situation
Needs Identified
•
•
•
•
Self Assessment
0
1
No Issues
2
3
4
5
Mild Issues
Please note: This document is a good practice guide and contents are provided for information only.
6
Moderate Issues
66
7
8
9
Serious Issues
10
Current Situation
Finances & Budgeting
Needs Identified
•
•
•
•
•
Self Assessment
0
1
2
No Issues
Parenting and Looking After
Children
3
4
5
Mild Issues
6
7
8
Moderate Issues
9
10
Serious Issues
Current Situation
Needs Identified
•
•
•
•
•
Self Assessment
0
1
No Issues
2
3
4
5
Mild Issues
Please note: This document is a good practice guide and contents are provided for information only.
6
Moderate Issues
67
7
8
9
Serious Issues
10
Education/Training/
Employment/Volunteering
Current Situation
Needs Identified
•
•
•
•
•
Self Assessment
0
1
2
No Issues
3
4
5
Mild Issues
6
7
8
Moderate Issues
9
10
Serious Issues
Current Situation
Health Needs
Needs Identified
•
•
•
•
•
Self Assessment
0
1
No Issues
2
3
4
5
Mild Issues
Please note: This document is a good practice guide and contents are provided for information only.
6
Moderate Issues
68
7
8
9
Serious Issues
10
Personal Relationships/
Friendships and Leisure
Needs
Current Situation
Needs Identified
•
•
•
•
•
Self Assessment
0
1
2
No Issues
Cultural, Religious &
Diversity Needs
3
4
5
Mild Issues
6
7
8
Moderate Issues
9
10
Serious Issues
Current Situation
Needs Identified
•
•
•
•
•
Self Assessment
0
1
No Issues
2
3
4
5
Mild Issues
Please note: This document is a good practice guide and contents are provided for information only.
6
Moderate Issues
69
7
8
9
Serious Issues
10
Other (please state)
Current Situation
Needs Identified
•
•
•
•
•
Self Assessment
0
1
2
No Issues
3
4
5
Mild Issues
6
7
8
Moderate Issues
9
10
Serious Issues
Other (please state)
Current Situation
Needs Identified
•
•
•
•
•
Self Assessment
0
1
No Issues
2
3
4
5
Mild Issues
Please note: This document is a good practice guide and contents are provided for information only.
6
Moderate Issues
70
7
8
9
Serious Issues
10
‫ڤ‬
Yes this person is eligible for this service (complete support plan)
‫ڤ‬
No, this person is not eligible for this service (confirm in writing)
I agree that the above is an accurate reflection of my current support needs.
I also agree that my needs assessment, support plan and review notes can be shared with the Local Authority Supporting People Team.
Signed……………….…………………………………………………
(Service User)
Date……………………………………
I confirm that the above is an accurate reflection of the current assessed needs of this service user.
Signed…………………………………………………………………
Please note: This document is a good practice guide and contents are provided for information only.
(Support Worker)
Date……………………………………
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72
SECTION 9
SERVICE USER
INVOLVEMENT
Please note: This document is a good practice guide and contents are provided for information only.
73
9 Service User Involvement
Service User Questionnaire
Name of service user:
Date:
If you were helped to complete this form please tell us who helped you:
Name:
Relationship to you:
Please put a tick or a cross in the boxes below. If you are not sure, please leave the box blank.
Q1. Have you got a?
Tenants Guarantee
Support Charter
Tenants Handbook
Rent Book (or statements)
Yes
Yes
Yes
Yes
No
No
No
No
Q2. Have you got an Individual Support Plan/Care Plan?
Yes
No
If Yes, is it reviewed:
Monthly
3-6 monthly
Yearly
Other
Don’t know
How much say do you have in the Plan?
A big say
Some say
No say
Don’t know
Q3. Do you feel you have a say in?:
The running of your home
Changes to House Rules
The employment of staff
Changes in policies and practice
Rent
Service Charge
Maintenance
Improvements
The running of the organisation
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Please note: This document is a good practice guide and contents are provided for information only.
No
No
No
No
No
No
No
No
No
74
Q4. Support Needs
a) What support are you
getting?
b) What support
do you think you
need but are not
getting?
Help in developing domestic and practical living
skills
Help in developing social skills/confidence
Help in managing behaviour/attitude
Help in knowing how to access other services
and who to speak to
Help with budgeting/managing finances/debt
management – help with filling in forms and
claiming benefits
Emotional support/counselling, support with
sorting out relationship problems
Help in gaining access to other services
Help to establish personal safety and security
Help to move into your accommodation and set
up home
Q5. How happy are you with your support?
Not Happy
Happy
Very Happy
Please can you tell us why you feel this way?
………………………………………………………………………....................................
…………………………………………………………………………………………………
…………………………………………………………………………………………………
Q6. Support Hours - Please refer to the list in Q5.
a) How many hours of support are you currently receiving per week?
Up to one hour
16 – 28 hours
1 – 3 hours
More than 28 hours
3 – 7 hours
Don’t know
8 – 15 hours
b) How many hours of support do you think you need per week?
Up to one hour
16 – 28 hours
1 – 3 hours
More than 28 hours
3 – 7 hours
Don’t know
8 – 15 hours
Please note: This document is a good practice guide and contents are provided for information only.
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Q7. Care Needs
a) What care are
you getting?
b) What care do you
think you need but are
not getting?
Personal Care
Domestic and Home Care
Health/Medical Care
Respite
Reablement
Therapeutic/Intensive behaviour management
Specialist treatment or counselling
Help with transport/mobility
Home adaptations to improve accessibility/mobility
Q8. Care Hours - Please refer to the list in Q7.
a) How many hours of care are you currently receiving per week?
Up to one hour
16 – 28 hours
1 – 3 hours
More than 28 hours
3 – 7 hours
Don’t know
8 – 15 hours
b) How many hours of care do you think you need per week?
Up to one hour
16 – 28 hours
1 – 3 hours
More than 28 hours
3 – 7 hours
Don’t know
8 – 15 hours
Q9. How happy are you with the personal care you receive?
Not Happy
Happy
Very Happy
Please can you tell us why you feel this way?
………………………………………………………………………....................................
…………………………………………………………………………………………………
…………………………………………………………………………………………………
Please note: This document is a good practice guide and contents are provided for information only.
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Q10. Do you have?
House Meetings
Yes
No
A Tenants’ Association or Forum
Yes
No
A Complaints Procedure
Yes
No
Who would you complain to?
……………………………………………………………………………………
Q11. How happy are you with your housing?
Not Happy
Happy
Very Happy
Please can you tell us why you feel this way?
………………………………………………………………………......................................
.....………………………………………………………………………………………………
…………………………………………………………………………………………………..
Q12. Is there anything else you would like to say about the personal care or support that you
receive or where you live?
Thank you for completing this questionnaire.
Please return it to:
……………………………………………
By (date)
……………………………………………
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Consultation Form
This form helps to facilitate consultation with service users at schemes and may be used to evidence
that it has occurred e.g. decisions on decoration, service user views on changes to policy & practice.
SERVICE USER CONSULTATION
Date of Consultation:
Scheme:
Purpose of Consultation:
Name
Address
Response to consultation
or
1st Choice
2nd
Choice
3rd
Choice
4th
Choice
Consultation
Outcome:
Actions:
Consultation completed by (name)
Date:
Job Title:
Signature:
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78