5.3.7 Section 17 (Financial Assistance) and Spot Purchase Practice Guidance |
Contents
Section 17 Financial Assistance
- Statutory Framework- Children Act 1989 Sect. 17
- Departmental Guidance
- Departmental Practice (Assessment and Authorisation)
- Practical Guide (Process for making Payments)
- Delegated Financial Powers
- Reviewing Arrangements
- Spot Purchase for Support Packages
Section 17 Financial Assistance
Social Services are not intended to provide income support, but in exceptional cases they can provide financial assistance to families where children are assessed as being “In Need”. Payments are made to children and families under Section 17 of the Children Act 1989 broadly according to six categories:
- Small payments to cover subsistence in an emergency.
- Planned payments made in order to carry through a social work plan.
- Payments for accommodation and subsistence for unaccompanied minors over 16 who are age disputed or have elected not to be looked after.
- Accommodation or subsistence for families without access to public funds.
- Respite and support services for Children with Disabilities.
- Payment to homeless 16/17-year-olds under the joint protocol (See Protocol for Joint Assessment of Homeless 16 and 17 year olds by Housing and Family Services).
This practice guidance sets out the following:
1. Statutory Framework - Children Act 1989 Sect. 17
“It shall be the general duty of every local authority –
- To safeguard and promote the welfare of children within their area who are in need; and
- So far as is consistent with that duty, to promote the upbringing of such children by their families,
By providing a range and level of services appropriate to those children’s needs.”
Sect.17 (3)
Any service provided by an authority in the exercise of functions conferred on them by this section may be provided for the family of a particular child in need or for any member of his family, if it is provided with a view to safeguarding or promoting the child’s welfare.
Sect 17(6)
“The services provided by a local authority in the exercise of functions conferred on them by this section may include giving assistance in kind or, in exceptional circumstances, in cash.”
Sect.17 (8)
Before giving any assistance or imposing any conditions, a local authority shall have regard to the means of the child concerned and of each of his parents.
Sect.17(9)
No person shall be liable to make any repayment of assistance or of its value at any time when he is in receipt of income support or family credit under the Social Security Act 1986.
Sect.17 (10)
For the purposes of this Part a child shall be taken to be in need if –
- He is unlikely to achieve or maintain, or to have the opportunity of achieving or maintaining, a reasonable standard of health or development without the provision for him of services by a local authority under this part;
- His health or development is likely to be significantly impaired, or further impaired, without the provision for him of such services; or
- He is disabled
And “family”, in relation to such a child, includes any person who has parental responsibility for the child and any other person with whom he has been living
Sect.17 (11)
For the purposes of this part, a child is disabled if he is blind, deaf, or dumb or suffers from mental disorder of any kind or is substantially and permanently handicapped by illness, injury or congenital deformity or such other disability as may be prescribed; and in this part –
“Development” means physical, intellectual, emotional, social or behavioural development; and “health” means physical or mental health.
2. Departmental Guidance
For Section 17(6) assistance to be appropriate a child must be assessed as “in need” – see above.
Pyramid of Need Levels
The Royal Borough and partner agencies provide a range of services for children and their families from universal services available to all, through targeted services for those requiring extra support, to specialist and rehabilitative services where crisis or urgent intervention is required.
The pyramid provides a useful way of conceptualising the levels of need and service response. The Children Act threshold for Children In Need is the threshold for a service provision by Social Services.
Detailed guidance on the Pyramid of Need Levels is contained in Section 3, Pyramid of Need Levels of Assessment Framework Guidance.
For more detailed examples of high level need, child in need and vulnerable child see the concerns grid in “Receiving Help from Social Services a guide for agencies…..”
Section 17 (6) is not a form of income support and therefore should usually be used on a “one-off” basis, though there will be some exceptions to this.
Assistance from other agencies
Before assistance is offered under s. 17(6) consideration must always be given to the possibility of obtaining assistance – or part assistance – from other agencies e.g. the Department of Social Security or charitable agencies such as the Rowntree Trust for Children with Disabilities. Behaviour Improvement Plan (BIP) monies could be considered as a source of finance to enable young people to access activities all encourage school attendance and can be accessed through the Children’s Planning Group.
Grants from charities may only be spent for the purpose specified in the initial request. The social worker is required to verify that the money has been spent in the way originally specified, any remaining balance may be spent on other kinds of assistance to the same family only with written agreement from the charity concerned: otherwise, the balance must be repaid immediately it is known that it will not be needed.
Loan or Grant?
Sect.17 (7) says assistance may be unconditional or subject to conditions as to the repayment of the assistance or of its value (in whole or part) - i.e. it can be a grant or a loan.
No person shall be liable to make any repayment of assistance provided through Section 17 (6) if that person is in receipt of income support or family credit (Section 17 (9). Thus any payments or assistance to people in this position will constitute a grant, although it would be appropriate to reclaim equipment when it is no longer needed.
For people not in receipt of income support or family credit, Section 17 (6) assistance should normally be given in the form of a loan unless there are exceptional circumstances making this inappropriate. When assistance is given on a loan basis, this should be made clear to the recipient and steps taken to see that the money is repaid or equipment returned when no longer needed. Written agreement must be obtained and witnessed.
Ongoing Payments
Except in the case of Unaccompanied Minors regular weekly payments should be authorised for a limited period only and reviewed before this period expires by the Social Worker and Team Manager.
The review period should be identified at the outset. Many circumstances will have a natural review period e.g. processing of DSS claim expected to take 4 weeks. The maximum time for which payments can be made without being reviewed is 3 months. However in most circumstances it should be less.
If committed expenditure will ultimately exceed the initial authorising officers delegated powers, approval of the next senior authorising officer must be sought at the outset (see Section 5, Delegated Financial Powers).
3. Departmental Practice (Assessment and Authorisation)
Payments under section 17 need to be made on the basis of an Assessment no matter how brief and must state clearly the need that is to be met and how the payment will meet that need.
It is not possible to specify every situation in which the use of Section 17 (6) money might be appropriate. It must be remembered that Section 17 (6) is a limited budget and with the exceptions listed at the beginning is intended for emergency or serious situations in which there are no alternative or more appropriate sources of help.
There may be situations not mentioned where exceptional circumstances prevail and assistance is given. These guidelines are not aimed at preventing us assisting where appropriate but at ensuring that a similar standard is applied across the borough.
Listed below are the types of situation where Section 17 might be appropriate:
(1) Subsistence
When appropriate food or vouchers to be given instead of cash.
Where cash is given the guideline is £3 per child per day (nothing for adults).
Subsistence should initially only be given for 1 day, possibly three if covering the weekend, and the claimant will be asked to go to DSS the following working day.
If subsistence is to be given for more than one day (except at weekends) the service user must prove that they have been refused assistance by the DSS.
In the case of lost/stolen money proof that they have informed the police will also be required.
(2) Utilities – Gas and Electricity
We should normally assist no more than once or twice.
We may assist more often where exceptional circumstances prevail. E.g. where there is a small baby with no means of heating milk etc. The maximum should be £5.
(3) Nappies and baby milk
The appropriate number of nappies and milk should be given.
No cash provided.
(4) Returning children home to their parents
Child must have been subject of S31 or S20, and where lack of provision would prevent the child returning home.
A Community Care Grant should be applied for.
If need be then set up money e.g. new bed / clothes will be provided.
Financial assistance, for subsistence, provided at £3.00 per child per day until DSS benefits are restored.
(5) Baby equipment (can be obtained from Sure Start if in their catchment area)
Pushchairs only in exceptional circumstances and either second hand or the least expensive suitable model available.
Fireguards, Stair gates, bottles and sterilising equipment.
(6) Holidays
Only for children/families in the high level of need group. The holiday must be part of a planned intervention. Assistance from Charities should be sought.
(7) Child Care
- Day Care e.g. childminders or nursery. Only in the short term. Three weeks maximum.
- To facilitate temporary private care arrangements e.g. when parent may be hospitalised. Only appropriate if it is evident that the viability and success of the arrangement is dependent on the financial assistance. The main financial responsibility for the arrangement lies with the child’s family. At the very least, the parent should be expected to provide the person caring for the child with the child benefit received for that child. Any Sect. 17 payment should be based on actual cost.
(8) Travel
Must be public transport. The only exception is when public transport is completely unfeasible, or if it is cheaper by cab.
(9) Telephone installation
Only when essential for the child’s welfare or protection. Should only cover installation costs. If it is felt that the customer is unable to budget and would probably be disconnected because of unpaid bills then the phone should be for incoming calls only.
The possibility of installation under the Chronically Sick & Disabled Persons Act (1970) should be considered. Liaise with Adult services regarding this.
(10) Child Protection Case Conference costs
To enable a parent or guardian to attend a child protection case conference. This may include transport costs or the cost of child care.
To enact recommendations within the child protection plan drawn up at the case conference.
(11) Clothing
New shoes and underclothes for children.
New night clothing.
Assistance with school uniform in order to get a child to school.
Assistance with the purchase of second hand clothes in other instances.
(12) Furniture and household equipment (Charities should be approached if possible and feasible.)
Beds for the children.
Second hand cookers.
(13) Bedding
Bedding for the children only.
(14) Direct work with children
Part of ongoing family support work e.g. Life story work materials.
(15) Educational expenses
E.g. Books and school trips.
Only to be provided for children in high level need.
Schools should be approached in the first instance.
(16) Deposits on accommodation
Only if it can be clearly demonstrated that the deposit prevents a child being looked after, or, where it is a component of a child protection plan.
Upon completion of the tenancy the deposit should be reclaimed.
(17) After school and holiday activities
If part of a child protection plan, or preventing the need for accommodation.
Needs to be part of planned SW intervention.
(18) Children with a disability
Supportive care including respite at home.
One to one worker including play support.
Specialist aid and educational equipment for a child which the O.T. cannot provide.
Sign language courses for parents etc.
Services should be provided on the basis of an up to date needs assessment approved by the Team Manager. Further guidance to be developed and added at Appendix 4
(19) Escorts
If necessary to enable a child to get to school or nursery when the parent has a temporary disability
(20) To prevent the need to accommodate.
As the local authority has a duty to promote the upbringing of children by their families then if circumstances arise in which a Section 17 (6) payment would prevent the need for the child to live away from the family, then this would constitute grounds for making a payment. An example of this might be payment to enable a child to participate in activities if this would be a means of providing support and reducing stress, thereby enabling the parents to continue to care for the child. In exceptional circumstances payment could also be made to enable a child and/or family to have a holiday; however, charities should in most circumstances be approached to fund holidays. (See Para 6, Holidays and Para 18, Children with a disability of this section) – see Section 7, Spot Purchase for Support Packages.
(21) Habitual Residence Test failures and families without access to public funds
(22) Unaccompanied Minors
4. Practical Guide (Process for making Payments)
Summary of Process
- A social worker must complete an application form providing details of the user, reason for financial assistance, amount requested and payment method. If the amount of financial assistance is within the permitted approval level, the social worker can authorise the payment. If not, the request is forwarded on for authorisation.
- If expenditure on behalf of a client has to be made whilst their dedicated Social Worker is away, then the Duty Social Worker can complete the process on their behalf.
- All petty cash vouchers are prepared by Business Support Officers or by the Social Workers. These should be completed with full details of expenditure and budget code and are then signed by either the Team Manager or the Senior Social Worker. If neither is present then they give verbal agreement and this is noted on the petty cash voucher. They then sign the voucher at a later date.
- If money is being handed to clients on site then the client will sign the petty cash voucher to show their acceptance of the money. No one else will sign on their behalf. If the Social Worker is required to take money for a client away from the site then the Social Worker must personally sign for the money from the safe on the petty cash voucher. At this point, the Social Worker is held responsible for the money. Social workers will continue to be held responsible for the money until they have received the clients signature on a duplicate, second petty cash voucher and have returned this to the safe. This duplicate voucher should be taken by the Social Worker to the client. The client must sign this duplicate voucher to confirm receipt of the money and then this should be returned back to the safe by the Social Worker. At this point, the Social Worker should ensure that they retrieve the original voucher with their signature on from the safe. At this point their responsibility for the money is ended.
- The Imprest Holder will keep a ledger to record all petty cash monies being paid to clients off site by social workers using the duplicate petty cash slips. This ledger will be used as a prompt to remind social workers who may have forgotten to return the clients duplicate petty cash slip to the safe.
- No money should be paid out from the safe without the relevant agreements and signatures being obtained on the petty cash vouchers and without an authorised application form for financial assistance.
- The same basic process should be followed with regard the payment of LPOs and invoices.
- The basic process to be followed is: - Recommendation – Request – Authorisation – Payment – Receipt
For further information concerning the processing of payments (including the management of the local Imprest Account through the One World financial management system) please refer to the Departments Cash Handling guidelines.
5. Delegated Financial Powers
Each payment should have the agreement of an authorising officer (usually a Team Manager) and the approval of a certifying officer (usually a Principal/Senior Business Support Officer).
All of the following should be considered by the social worker when making a request for payment.
- Is the payment legal and within these Departmental Guidelines.
- Which payment method is the safest/ appropriate? (Cash, L.P.O, cheque, travel warrant)
- Is it the most economical option?
- Is the section 17 budget the correct one to use?
- Role of the Authorising Officer. (Team Manager).
- To agree that the assistance is valid and is the correct approach for meeting the service users needs.
- To confirm that there is money available in their budget.
Role of the Certifying Officer. (Imprest Account Holder)
- Provide advice on any of the above-mentioned considerations.
- Confirm that all appropriate considerations have been made.
- Provide an element of consistency across the Service Group and because of this can often make suggestions based on good ideas used in other teams.
For further information concerning the responsibilities of authorising and certifying officer please refer to the Departments Cash Handling guidelines.
Delegated Powers – Financial Limits
| Up to £200 per family per year | Social Worker |
| Up to £2000 per family per year | Team Manager / Senior Social Worker |
| Up to £4.000 per family per year | Head of Service |
| Over £4.000 per family per year | Head of Service |
Both the Authorising and Certifying Officer should always be consulted before a payment is made. However if the Certifying Officer is unavailable this should not hold up payments that are urgent, relatively small or straightforward.
Payments should not be made without the involvement of 2 officers e.g. social worker request agreed by a Team Manager. If a social worker is in the situation where they are effectively requesting and authorising they must also consult with another officer who will act as certifier. This is for their safety
- Is the child a child in need?
- Can any other agency assist?
- Is the request an appropriate use of Section 17?
- What is the most appropriate means of meeting the need? (Loan, cash grant, LPO, goods in kind, other)
- Have you got Team Manager approval?
- Have you got a signed petty cash voucher?
6. Reviewing Arrangements
This Section 17 Guidance will be reviewed on a yearly basis. The guidance will be reviewed by the Joint North/South Team Managers Meeting and by the Head of Services Meeting. Changes will be made in the light of the rate of inflation, changes in legislation and policy elsewhere and developments in financial monitoring arrangements.
7. Spot Purchase for Support Packages
- Why have a Support Package?
- Assessment
- Selecting the Agency
- Setting up the Service
- Arrangements for Additional Support to Young People in Residential Units
1. Why have a Support Package?
| 1.1 | From time to time social workers have to buy a service from an agency because the needs of a child or young person cannot be met in any other way. This is called a “spot purchase”. Each spot purchase agreement is an individual contract with an external provider and lasts for a specified period or for as long as the child or young person needs the service or when an alternative provider is required. Below are some examples:
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| 1.2 | Essentially the situations, with exception of the child with a disability, require work to help a current crisis or when it is not possible to provide the service internally or through an existing block contract arrangement. Spot purchase contracts should not be used for residential and respite care placements. |
2. Assessment
| 2.1 | When making your assessment of needs of child/young person or family, you will need to be very clear about the following:
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| 2.2 | You should take into consideration that you are sending lone workers into risky situations. You must make a risk assessment of the home/environment in which they will be working. Any risks/problems must be shared with the agency providing the service. This may include:
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| 2.3 | You should have discussed the matter thoroughly with the service user. Most support packages will be ineffective if the service user is not willing to engage with the worker and at least try new methods. |
3. Selecting the Agency
| 3.1 | When selecting your agency, you may use any of those listed below as their methods of staff recruitment and management have been examined and found to be satisfactory. |
| 3.2 | List of agencies and contact no's. The Agencies below offer a range of services but specialise in Family Support work. Swiis is the only service that will not charge you if they don't make contact with the client. However, they do not provide accommodation. Please talk to the Commissioning Team before using Care Moves, Quality Care and London Care Solutions. Swiis Direct Family Service 5 New Broadway Tel: 020 8579 5040 Fax: 020 8 579 5517 Care Move Services a division of Dyzack 225 Bellingham Road, Tel: 020 8520 8947 Fax:020 8 520 6105 Quality Care (London) LTD Empire House, Tel: 020 8903 6333 Fax:020 8903 3335 London Care Solutions Studio House Tel: 01992 624800 Fax: 01992 633599 If you wish to use an agency that is not approved in the first instance contact the Commissioning Team, who may be able to assist. It is necessary to make an assessment of any new agency to gather as much information as possible about the agency and its staff together with the agencies practices and policies. The following questions must be asked: |
3.3 The Agency
What sort of agency is this?
- private company limited by guarantee
- a franchise
- voluntary- not for profit
- a charity (if this is the case there should be a charity number.)
Who are the directors and managers? What are their career histories and experience and is this appropriate to be managing a social work service?
If it is a charity who are the trustees? Are they independent and have no pecuniary interest in the agency.
Who are the key personnel and what is their experience. Are they professionally qualified?
Which other local authorities have used the agency? Can we approach them for references?
Does the agency have:
- a CP policy
- a complaints policy
- a constitution (if a charity)
- an equal opportunities policy
It should be possible to obtain details of the precise fee structure. This should be broken down into hours, with a clear description of the service that may be purchased for that rate. There should be clear arrangements for invoices and payments. There should be details of what payments are expected in the event the service cannot be delivered e.g. through the illness of the worker or where it is refused e.g. when the young person decides to go out. There should be a statement regarding invoice arrangements.
3.5 Recruitment of StaffThe Agency should have:
- a recruitment policy
- a supervision policy
- procedures regarding the implementation of Warner recommendations
- policies regarding police checks. (See Section 3.8, Supervision Policy.)
The Agencies Recruitment Policy should include all of the following:
- Application form to gather all personal and employment details for Agencies records.
- Applicants CV.
- Two references, one of which must be from the last employer.
- References to be taken up in writing.
- Verification of qualifications.
- Applicants are informed that police and checks with the DOH consultancy register will be carried out.
- Applicant has a face-to-face interview with Agency personnel.
- The Agency checks any gaps in the applicants employment history.
- Probationary period.
- The application form or the interview should remind the applicant that all posts in children’s services are exempt from the ‘Rehabilitation of Offenders Act’.
Although Warner places the duty on local authorities to be responsible for children’s safety, most of the recommendations are about good employment practice when selecting staff to work with children. Therefore the expectation would be that the agency draws a parallel with the Warner recommendations and has included the main factors in their recruitment and supervision policies.
Reference should be made to the following:
- do qualifications and experience of worker match the job specification?
- information required on application form.
- references.
- verifying qualifications
- interviews.
- equal opportunities.
- probationary period.
- training and development
- appraisal
- Police, DOH and DFEE checks.
The agency should have access to a means of obtaining a Criminal Record Bureau (CRB) check in respect of all employees. (From 1.4.02 the agency should be a member of the CRB). Unless the agency can supply a reference number and the authority that completed the check, it must be assumed that the CRB check obtained is simply a data protection check. However, having a police check does not preclude the possibility of the person having offences. The key issue is the agencies policy regarding convictions. Do they accept people with offences of violence committed sometime ago etc. When considering one-to-one work with young people it is important to know about any convictions for deception etc. All staff should be the subject of a check through the DOH consultancy index. If their name appears, it must be assumed that they are unsuitable to work with children and young people regardless of whether a conviction was obtained.
3.8 Supervision PolicyThe agency should have a written supervision policy. Key factors in any policy must be:
- Regular appraisal interviews
- Feedback from commissioning authority.
- Training
- Disciplinary procedure
- Satisfaction survey to seek the view of clients at some point during their contact with the agency
- Invoices: A breakdown of the costs involved is essential. Where costs are linked to the level of difficulty posed by the young person, details of how this will be reviewed should be included so that costs can be reduced when the young person requires less supervision.
- Activity budget: Are activities included or costed separately. If separately then a level of costs should be agreed beforehand.
- Written reports: The frequency and areas to be covered should be clearly defined.
- A final report that shows some analysis of the work and what has changed.
- Where court reports are likely can the agency supply these and what is the likely quality?
- Cost per hour (Is this a competitive price?)
- Whether the staff provided will have the skills necessary to undertake the particular work you require of them. It is necessary to explore the qualifications and experience of the specific workers supplied.
- Can the agency provide cover in the event of staff sickness? This may be crucial in situations where they are supervising a child.
- How the agency will manage the service and supervise the workers. Agencies either provide a cost that includes management of the workers or they will expect the workers supervision and management of tasks to come from you and/or your team manager. If you decide to purchase the latter arrangement, you must ensure that you have adequate time and resources to provide proper supervision.
4. Setting Up the Service
| 4.1 | Having satisfied yourself that the agency can meet your requirements, you need to set up a meeting to draw up the plan by which the service will operate. Whilst you may wish to have an initial discussion with the agency, the planning of the service must be undertaken with the service user, either parent or young person. |
| 4.2 | A Spot Purchase Contract letter (which can be found on the Intranet in the A-Z list of forms) must be completed for all contracts. It is important to be clear about the aims and objectives of the service and the time frame within which the objectives should be achieved. |
5. Arrangements for Additional Support to Young People in Residential Units.
| 5.1 | For additional staff provided to the residential units in order that they accommodate a particularly challenging young person, the arrangements are slightly different. In this case, the initial discussions need to take place with the unit, who will arrange for the staff through their usual agencies. The costs of the package will be charged to separate budget codes as follows: Additional Support Packages: St. Marks Whistler Walk |
This will ensure that the costs are included in the costs of running the units but will be funded by the parenting budget of the responsible social work team. The workers will be managed and supervised by Whistler Walks managers. However all other aspects of this procedure apply in that the tasks should be clearly defined and the package reviewed in the normal way.
Monitoring and Review
All contracts must be routinely monitored to ensure that the service is being provided to the right standard and agreed cost. Formal reviews of the contract should occur regularly (at least monthly). The service plan itself should also be reviewed regularly as the needs of the service user may change. The review
frequency will depend on the circumstances (and may be more frequent at the start of a contract) but should occur at least every three months.
Any permanent change to the contractual arrangements or level of service requires a new contract. A contract can be cancelled at any time with 48 hours notice (or immediately, if the provider fails to comply with the terms and conditions).
End