Client Engagement Policy and Operating Procedure Governance : Board approved policy Policy owner: Information & Systems Manager Policy created: March 2017 Review Date: April 2019 Version Control: Version 1.0 March 2017 D Brady
Policy Statement 1 Toynbee Hall expects all dealings between its staff and clients to be of a professional nature and consistent with the requirements of Toynbee Hall s policies. 2 This policy sets out the core standards and principles of Toynbee Hall s relationship with its clients. For the purposes of this document the term client means a person who has requested advice or support from one of Toynbee Hall s services, used a service, or is taking part in an empowerment, capability building, or other activity facilitated by Toynbee Hall. For the purposes of this document the term staff refers to any member of Toynbee Hall personnel including employees, volunteers, trustees, Interns, apprentices, students or others on work placement. 3 This document covers engagement between clients and any member of Toynbee Hall staff including advisors, support officers, operational staff of any kind and their managers. It is supported by the Client Engagement Operating Procedure and the Guide to Managing Client Behaviour and Boundaries. 3.1 All relevant checks (e.g. Disclosure and Barring Service - DBS) must be carried out before a new member of staff/volunteer engages with clients unsupervised. 4 Issue based advice work To ensure that advice fulfils the standards outlined in the Advice Quality Standard, Toynbee Hall recognises the need for: an approach that is committed to issue based working; and a clear model that outlines the process of issue based advice. 5. Toynbee Hall Customer Service Standards The Toynbee Hall Customer Service Standards set out what clients can expect in their interactions with Toynbee Hall staff or volunteers. Staff will comply with the standards and timescales for contact with clients set out in Toynbee Hall Customer Service Standards. Staff will make clients aware of Toynbee Hall Customer Service Standards and ensure that a copy is provided to all clients at the start of the advice relationship and subsequently, if requested. 6 Meeting with clients It is sometimes necessary for advisors to visit clients in their own homes or at other locations in the community, including residential homes. 6.1 Home visits will normally be reserved for where advisors feel unable to support a client remotely and when a meeting in a Toynbee Hall office or other venue is not possible. Examples include where there are communication difficulties, mobility problems or more complex issues or where more than one person is being supported.
6.2 On all first visits to a client s home two advisors will attend (a volunteer advisor may accompany a staff advisor), unless another professional will be present, e.g. social worker or support worker unless a risk assessment says otherwise and a manager has agreed that. For all client facing activity on Toynbee Hall premises, two members of staff/volunteers must be on site at all times including the process of securing the building. 6.3 Any concerns or risks identified will be discussed with a line manager before the visit. 6.4 Advisors visiting clients at home will follow point 1 of the Client Engagement operating processes (including 1.4 safety calls). 6.5 Staff may also meet clients in other settings in the community, for example in a public place such as a café, library, community health centres, community centre or residential home. 6.6 Staff need to consider whether it is necessary to attend the meeting with a second advisor, for example, when the meeting place cannot be overseen. 6.7 Staff will be particularly aware of confidentiality issues when arranging to meet in a public place. 7 Supporting clients at meetings Advisors may be required to accompany clients to meetings with professionals e.g. housing staff where their role at the meeting is to support and empower the client to make their case and make informed choices. When attending meetings advisors will behave in a professional manner in line with the requirements of the Advice Quality Standard and service specific guidance. 8. Meeting with clients in secure settings If staff need to meet with a client in a prison or other secure setting they will follow any specific guidelines provided by or for the setting. 9. Drop-ins and surgeries Toynbee Hall advisors may be required to attend drop-in sessions or surgeries where new or existing clients can seek support. 9.1 At drop-in sessions and surgeries advisors will be particularly aware of confidentiality issues, time management, the limitations of service remits, and the need to manage client expectations. 9.2 Advisors will also have regard for risk and safeguarding issues. 10 Threats of harm and safeguarding issues Occasionally clients or third parties may inform an advisor that they intend to harm themselves or another person.
10.1 Advisors should follow the procedure set out in the suicide and self-harm and third party harm guidance flowcharts. 10.2 Advisors who have concerns about the safety or well-being of another person should take action in line with Toynbee Hall s Managing Client Behaviour Guidance and Safeguarding policy and operating process. 11 Managing challenging interactions Sometimes the behaviour of clients may be perceived as challenging. Staff must handle these interactions in a professional manner. Point 3 of the client engagement operating process sets out the process for managing client behaviour and boundaries. 11.1 Managing challenging calls calls to the enquiry team or other Toynbee Hall numbers should be managed in line with point 3.1 of the client engagement operating process. 11.2 Managing client boundaries - It is important that staff manage client expectations by defining the range and limits of the service and by setting clear working boundaries. Point 3 of the client engagement operating process sets out the action to be taken where clients challenge the boundaries of the advocacy relationship. 12 Risk Staff should take all appropriate measures to minimise risk to themselves and others and comply with the Health & Safety Policy and operating processes. However, staff may occasionally be placed at undue risk by the behaviour of a client or third party or the environment they find themselves in. 12.1 Point 5 of the client engagement operating process should be followed if a member of staff identifies a risk to their safe working. Risks may be verbal aggression, physical aggression, environmental hazards, risks to the client, Toynbee Hall staff or others. 13 Overly persistent or abusive Clients Sometimes a client s behaviour leads to a situation where there is nothing further that can reasonably be done to support them. 13.1 Point 4 of the client engagement operating process sets out the procedure to be followed which will lead to the withdrawal of the service from the client. 13.2 A client who exhibits one or more of the following behaviours may be identified as overly persistent or abusive: Continually changing the substance of an issue or seeking to prolong contact by continually raising further concerns or questions; Being unable or unwilling to clearly define precisely their issue or be clear about what a satisfactory resolution would look like to them, despite intensive support being made available; Seeking to renew or reopen an issue that has already been dealt with;
Persistent harassment or personal abuse of a member of staff or any behaviour which a staff member considers to be verbally or physically aggressive towards themselves or other people; Persistent failure to comply with agreed rules for communication; Making a recording of meetings or conversations without consent; Discriminatory behaviour 14 Feedback Toynbee Hall actively seeks feedback from clients to help it improve its services. 14.1 Staff will comply with any service specific requirements to seek feedback from clients. 14.2 Staff will be able to explain to clients how Toynbee Hall uses client feedback and how to make a complaint if they wish to. 14.3 All staff should record and process feedback in line with the Feedback Operating Process. 15 This policy should be read in conjunction with other relevant Toynbee Hall policies including the AQS standards, Quality Standards, Code of Practice, Code of Conduct, Managing Client Behaviour and Boundaries Guidance, Feedback Policy and Safeguarding Policy as well as with the relevant operating processes and guidance information. 16 If you have any concerns about this policy contact your line manager. 17 This policy will be reviewed by the Chief Operating Officer yearly or earlier if circumstances require.
Client Engagement Operating Procedure Procedure owner: Chief Operating Officer Procedure created: March 2017 Next review date: April 2019
Operating Procedure and Process This document should be read in conjunction with the Client Engagement Policy. 1. Clients at Toynbee Hall 1.1 Clients attending Toynbee Hall We often see clients at Toynbee Hall including in the evening and at weekends. At all times there are basic safeguards that should be in place. These include; a. Two Toynbee Hall staff/volunteers to be on site at all times b. Two Toynbee Hall staff/volunteers to lock/secure the building after client visits have ended c. A rota to be maintained to ensure we have two Toynbee Hall staff/volunteers on site at all times (We should always have a member of staff on site during opening hours) d. Regular checks are made of the panic alarms in the advice centre e. A phone readily available to call the police on 999 should that be necessary 2. Visiting clients at home 1.1 Before a home visit Before agreeing to visit a client at home, a Home Visit Risk Assessment questionnaire should be completed and uploaded to Key2 (Please see Annex A). If any risks are identified the member of staff should discuss this with their line manager. Home visits should normally be arranged within office hours, and enough time should be allowed for the visit to have concluded before 5pm. In circumstances where it may be necessary to arrange a home visit outside of office hours, the member of staff should discuss this with their line manager. For all first visits to a client s home two members of staff (a volunteer may attend if available) should attend unless another professional will be present, e.g. a social worker or support worker (unless agreed otherwise in writing with a manager). For subsequent home visits to the client a member of staff is able to attend unaccompanied if having asked appropriate questions from the questionnaire they are satisfied that it is safe to do so. Staff should exercise caution and if there are any concerns should attend with a second member of staff. The member of staff should confirm the date and time of the meeting with the client, in writing (text or email) if appropriate. The client should also be informed that two members of staff will be present for the meeting. The member of staff should brief the colleague who is accompanying them to the home visit about the purpose of the visit. The member of staff should prepare any paperwork necessary for the home visit. Both the member of staff arranging the meeting and the accompanying colleague should update their electronic calendars with the details of the home visit including
the client s full name, telephone number and address and the name of the accompanying member of staff. The staff member who arranged the meeting should complete the team safety call log. The member of staff should ensure that they make any necessary arrangements in order to facilitate communication with the client, for example arranging communication equipment, or booking a translator. Staff should ensure that their mobile phones are fully charged before attending a home visit. If on arrival outside the client s property the member of staff has concerns about their safety they should not go ahead with the visit and should contact the office. The office will contact the client to explain that the member of staff is unable to carry out the home visit. If two members of staff are attending a home visit neither should enter the client s home unaccompanied. Where possible staff should travel to home visits together. If staff members are travelling separately, where possible, they should not park in view of the client s house and should always wait for their colleague to arrive before entering. Once both members of staff have arrived outside the property a safety call should be made to the office, informing them of how long the meeting is expected to last (see point 1.4 below). 1.2 During the home visit Both members of staff should show their ID badges to the client on arrival and introductions should be made. If on entering the client s house the staff member(s) has concerns about their safety they should not continue with the home visit, should make an excuse (for example informing the client that they are feeling unwell) and leave. Both members of staff should ensure that their mobile telephones are left on or in silent-vibrate mode and that they are kept beside them within easy reach. Staff should have a colleague s telephone number displayed on their phone so that they can call easily in case of an emergency. Staff should explain to the client that their work mobile phones will remain on during the visit and that they may need to answer a call from a colleague. Staff should use their discretion when answering calls, but should always answer a call from their colleagues or Manager. If the member of staff on the home visit receives repeated calls from a colleague, they should call this colleague back in case it is an emergency. Both members of staff should try to sit within easy access of an exit. If the meeting is going to last longer than the time specified to the duty advisor (and both members of staff are able to allow more time for the visit), the accompanying member of staff should call the duty advisor to inform him/her of this. 1.3 After a home visit A second call to their office should be made to confirm that both members of staff have left the client s home (see point 1.4 below).
1.4 Safety calls A member of staff must make a safety call to the office before entering a home visit. The colleague will log the time of the call on the team calendar and will ask the member of staff how long they expect the meeting to last. When a home visit is scheduled late in the afternoon or is unlikely to have concluded within office hours the team Manager (or if unavailable, a management colleague) should be informed so that they can complete the safety call process after 5pm. If the nominated colleague has not received a call from the member of staff within 30 minutes of the expected meeting end time they should call the advisor and/or the accompanying colleague and check that the staff members are safe. Where staff need to call a colleague who is at a home visit they should ensure that the caller identification on their phone is switched on so that the colleague will know who is contacting them. If, when receiving a call from the duty advocate, the member of staff is in an unsafe situation they should use the emergency procedure (see point 1.5 below). If neither member of staff answers when attempts are made to contact them, the duty advisor should immediately inform the Team Manager (or if unavailable, a management colleague). The manager will try to contact both members of staff again. If unsuccessful the manager should call the client to explain that they have been unable to contact either member of staff and ask to speak to them. If the situation remains unresolved a final call should be made by the manager to each staff member s mobile phone. If contact is still not established, or if the call to the client raises further concern, the police should be contacted. The Team Manager must be informed immediately, if they are not already aware that the police have been contacted. If the Team Manager is unavailable the Head of Service, Chief Operating Officer or other member of the Executive Team must be informed. 1.5 Emergency procedure If a member of staff finds themselves in an unsafe situation and is unable to leave the home visit, they should call the duty advisor and use the code name CHARLIE or should call 999 and ask for the police. If the member of staff is unable to make a call and cannot leave the home visit, they should include the code name Charlie in their response when the duty advisor calls. If the duty advisor is given the code name Charlie they should immediately contact the police and give the client s name and address and explain that an emergency call has been received from a member of staff. The line manager should be informed and a record should be made of the incident.
2 Supporting clients at meetings Staff should make arrangements with the client for where to meet and offer the client the option of a pre-meeting (if appropriate). Where appropriate, staff should write to the client to confirm the meeting arrangements. After the meeting staff should discuss options and agree next contact with the client and any further support needs. 3 Managing client behaviour and boundaries This process identifies steps to be taken when a member of staff has difficulties in managing client relationships or calls to the service, due to perceived challenges. Examples may include: Verbal aggression Repeated failure to focus or engage Frequent and/or lengthy contacts Frequent demands which are outside the service remit The Toynbee Hall Guide to Managing Client Behaviour and Boundaries covers all aspects of managing difficult client relationships and behaviours as well as providing guidance on how to maintain professional boundaries. 3.1 Challenging Calls Managing client behaviours and boundaries When the Toynbee Hall Enquiry Team or any other member of staff answering incoming calls receives a challenging telephone call they should: 1. Complete an electronic Managing Client Boundaries (MCB) form. 2. Upload the form to the client s Key2 record. 3. Put an action on Key2 stating MCB form completed and uploaded. The Team Manager responsible for the Enquiry Team will regularly review the records of challenging callers. They will alert the advisor and his/her line manager if any client persistently makes challenging calls. The advisor and line manager will decide what action to take. If challenging calls are received from callers who are not Toynbee Hall clients then a MCB form should be completed and stored on Key 2. The Team Manager and Head of Department will monitor these calls and take appropriate action if the calls are persistent. 3.2 Challenging client contact Managing client behaviours and boundaries If an advisor has a challenging contact with a client they should discuss and reflect on this with the Team Manager. The manager will decide whether to implement the following MCB procedure: 1. The member of staff fills out an MCB form and (if applicable) a Risk Assessment Document. 2. The member of staff should copy the MCB form to their manager 3. The manager will tick the MCB flag on Key2. 4. The form should be uploaded to Key2 and an action added stating MCB form completed and uploaded.
The manager will agree any further action required with the advisor/enquiry officer. The following options may be considered: The advisor discusses the client s behaviour with the client The Manager writes to the client to set out what is expected from them A client-advisor contract is put in place The case is referred to the Director or Head of Services to decide whether the client should be classified as persistent or abusive (see point 4 below). Examples of limits which Toynbee Hall may place on the client (in a letter or as part of a contract) include: o Limits on the amount of advice time available o Limits to methods of accessing the service (e.g. withdrawing home visits or limiting telephone calls) o Temporary or permanent suspension of service. If it is decided that a client/advisor behaviour agreement letter should be sent to the client, the letter must be approved by the Chief Operating Officer. The Team Manager will inform the Toynbee Hall Enquiry Team if any limits have been placed on a client s contact with Toynbee Hall. A MCB form will be completed for any subsequent challenging interactions with the client and the case will be reviewed at the advisor s next supervision meeting and a decision will be made about what, if any, action is appropriate. Serious or immediate concerns should be reported directly to the Team Manager, Head of Services or Director. In situations where, following appropriate action, a client continues to present a challenge to the service, the client may be classified as overly persistent and the service withdrawn. If a member of staff other than the client s advisor receives a challenging call from a client, for example an enquiry officer, they should fill in a MCB. The member of staff who took the call should upload the form to the client s Key 2 record and add an action to state MCB form completed and uploaded. 4 Overly persistent or abusive clients Managing client behaviours and boundaries If it is felt that a client has become overly persistent or abusive, the Chief Operating Officer should be informed. Before a client is classified as overly persistent or abusive, the Chief Operating Officer must: assure him/herself that the correct processes have been followed and that there is nothing more that can be done for the client. If appropriate, advise the commissioner or funder of the service that a client has been identified as being overly persistent or abusive and that the service will be withdrawn. write to the client explaining what action has been taken so far and why the organisation is unable to help any further.
If appropriate, Inform the client how to make a complaint about the decision to withdraw the service. In some cases it may be appropriate to state that no further telephone calls will be taken from the client and that communication will only be possible via letter. Once the service is withdrawn, the Chief Operating Officer must inform the Enquiry Team and advice colleagues..
Home Visiting Risk Assessment Form Annex A Name of client: Client Reference Number (Key2) Client Address if different from Key 2 Date assessment conducted: By: Premises risk assessment 1. Access to home easy access and exit, more than one exit from the home. Doors easily opened, unobstructed, pathways or steps safe, lighting adequate Identified risk or hazard Risk management or hazard control 2. Pets adequately restrained 3. Neighbourhood general safety 4. Are there any safety concerns regarding the route from public transport stops to the home or any issues with safe well lit parking? Are there any safety concerns regarding the route from public transport stops to the home or any issues with safe well lit parking? 5. Apart from the client does anybody else live in the home? 6. Is there any history or risk of aggressive behaviour or potential violence from the client, family or other residents? 7. Are there any other risk factors or hazards (Including mental health, substance/alcohol mis-use)? 8. Are there any other safety issues associated with the premises/person? 9. Is the client supported by any other agencies? Please give details...
Operations Risk and Incident Management Toolkit Introduction Anything that could prevent Toynbee Hall achieving its aims or carrying out its strategies is a risk. However, in Operations we face different kinds of risks, the potential harm from which we need to manage, which are largely derived from: Managing client behaviours and boundaries Lone working Child Protection Safeguarding If we do not manage the risks we encounter adequately we may face: harm to staff, volunteers or clients damage to its reputation Loss of grants or contracts Legal action receiving less funding or fewer public donations Managing Operational risks Toynbee Hall seeks to manage its operational risks through ensuring compliance with the following key policies, procedures and tools: Child Protection Safeguarding Client Engagement o Client Engagement Operating Procedures o Managing Client Behaviours and Boundaries Guidance Operations Risk Register Risk and Incident Management Toolkit Risk Management Toolkit This toolkit is designed to help Operations assess and review risk and incidents so that we are better able to mitigate and manage the risks we encounter. The main risks Operations encounters relate to harm to staff, volunteers and clients derived from: Lone working, especially in client homes Face to Face sessions at Toynbee Hall Client behaviours The Risk and Incident Management Toolkit aims to provide staff and volunteers with tools to: Identify and mitigate risks in advance Record incidents and risks they encounter so we can manage and mitigate those for the future The Toolkit contains: Guidance for completing Incident forms Annex A Risk assessment form Annex B Risk Log Annex C Home Visit Risk Assessment Form - Annex D.
Incident and Risk Recording Introduction The Incident/Risk Log and Safeguarding Log will centralise the recording of all incidents and identified risks. This will enable the Risk Management Team to analyse all incidents and risks across Toynbee Hall and feed in to our Strategy and future Business Planning and Development. The intelligence gathered from the analyses will also allow for a more pro active approach to risk. Identifying at the earliest opportunity any trends or areas of potential risk. It will also give valuable information for managers to see an over view of what is happening in their team. You can filter information by team, area, contract, service etc. Completing the Incident/Risk Log The log and reports will only be accessible to Managers and above. If staff sensitive information is received the report will be sanitised and kept in a separate folder accessible by the Senior Management Team only. Manager s responsibility On receiving report from staff member the manager must complete the incident/risk or safeguarding Log. Take the next number i.e. PH090/SG03 and enter details in each box as titled. This number must be placed on the report by the manager. The number on the report must correspond with the number taken from the Log. The report is to be stored in the folder by the manager and saved as the Log number. Staff responsibility The incident/risk Report and Safeguarding Log must be completed as soon as is possible after the incident whilst fresh in your mind. Remember for more serious cases you may be asked months later to recall events of that day. If you are unsure of whether an incident should be reported you must consult with your line manager. All incidents and identified risks must be reported to your line manager however minimal they may appear. Your report must be detailed and paint a picture for the reader. You must include: Where it happened When it happened What happened What is an incident or Risk? These are examples, the list is not exhaustive, if you are unsure speak to your line manager. Acts of aggression/abuse from client, professionals or others or threats of said Assault Violent outbursts from clients whether directed at staff/volunteers or witnessed by staff/volunteers Acts of Self harm/threats of self harm inclusive of letters and phone calls that may indicate this Security lapses example: staff/volunteer left on unit with inadequate staffing levels Any occurrence that causes concern Feeling unsafe on a unit, in someone s home or in the community Finding drugs, weapons, contraband Receiving inappropriate phone calls, letters that raise concern
Remarks made regarding gender, previous convictions, derogatory remarks, manipulative behaviours. Strange, unusual behaviour from other staff Threats to third parties Safeguarding (refer also to Toynbee Hall and Local authority Policies) This list is not exhaustive Abuse is a violation of an individual s human and civil rights by any other person or persons. Abuse may consist of a single act or repeated acts. It may occur when the vulnerable person is persuaded to enter into a financial or sexual transaction to which he or she has not consented or cannot consent. Abuse can occur in any relationship and may result in significant harm to, or exploitation of, the person subjected to it. Incidents of abuse may be multiple, either to one person in a continuing relationship or service context or to more than one person at a time, or by more than one perpetrator. A continuum of abuse includes isolated incidents of poor or unsatisfactory professional practice, at one end of the spectrum, through pervasive ill treatment or gross misconduct at the other. Repeated incidents of poor care maybe an indication of more serious problems, i.e. institutional abuse. Should you require any further assistance with this Log or reporting form please discuss with your line Manager or a member of the Senior Management Team. Remember, it is your responsibility to ensure any identified risks or incidents are reported.
Incident/Risk Report Confidential To be completed by the person reporting the incident Complete all parts applicable. Enter N/A if not. Date: Time: Place: Client Name: Client Reference: Incident/Risk report log number. To be entered by Manager: Staff involved in the incident or staff member reporting risk Where did the incident happen/where was the risk identified Incident/Risk reported to Date Time Was medical attention required: If yes who yes no (delete) GP / Hospital name: Line Managers Comments Recorded on incident/risk database by: Date Time Managers name print: Managers Signature:
Personal incident/risk Report Incident/Risk Report number: Complete the following statement in conjunction with the Incident/Risk reporting Aide Memoire. Name Print Signature Date
Home Visiting Risk Assessment Form Annex D Name of client: Client Reference Number (Key2) Client Address if different from Key 2 Date assessment conducted: By: Premises risk assessment 10. Access to home easy access and exit, more than one exit from the home. Doors easily opened, unobstructed, pathways or steps safe, lighting adequate Identified risk or hazard Risk management or hazard control 11. Pets adequately restrained 12. Neighbourhood general safety 13. Are there any safety concerns regarding the route from public transport stops to the home or any issues with safe well lit parking? Are there any safety concerns regarding the route from public transport stops to the home or any issues with safe well lit parking? 14. Apart from the client does anybody else live in the home? 15. Is there any history or risk of aggressive behaviour or potential violence from the client, family or other residents? 16. Are there any other risk factors or hazards (Including mental health, substance/alcohol mis-use)? 17. Are there any other safety issues associated with the premises/person? 18. Is the client supported by any other agencies? Please give details...
Risk Assessment Record Form Client Name Staff/volunteer name Line Manager What are the hazards or risks? Who might be harmed and how? What are you already doing? List the control measures already in place What is the risk rating H, M, L? What further action, if any, is necessary, if so what action is to be taken by whom and by when? Action Completed State the date completed and sign. What is the risk rating now H, M, L? Signature of Assessor Date Assessed Signature of Line Manager Review Date Risk Rating Description Action Priority High Where harm is certain or near certain to occur and/or major injury or ill-health could result Urgent action Medium Where harm is possible to occur and/or serious injury could result e.g. off work for over 3 Medium priority days Low Where harm is unlikely or seldom to occur and/or minor injury could result e.g. cuts, bruises, strain No action or low priority action
Toynbee Hall Incident Log PH01 PH02 PH03 PH04 PH05 PH06 PH07 PH08 21
Suicide Self- Harm Flowchart.xps 22
3rd Party Harm Flowchart.xps 23