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Sunderland SU Advice Manual
Adopted August 2014
Next review July 2015
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Introduction
This is Sunderland SU’s Advice Manual. It describes the policies and processes of the advice
service we provide for students at the University of Sunderland.
We are proud that our advice is:
Free to students.
Independent; we always and only have the best interests of students in mind.
Impartial; we don’t judge any student who asks for advice and nothing about the
case will stop us acting in their best interest.
Confidential.
Sunderland SU’s Vice President (Education) and Vice President (Wellbeing and Engagement)
are politically responsible for the advice service. They are the democratically elected
Officers who lead the development of the service and are accountable to students for the
provision of high quality and impactful advice. They don’t ever know any details about a
students’ case as they are not professional caseworkers.
Two members of the Sunderland SU Senior Leadership Team are responsible for the advice
service. Gareth Hughes, the Head of Learning Experience, line manages two Academic
Officers. Eleanor Farrington, the Head of Wellbeing, Confidence and Connections, line
manages two Welfare Advisers and two Student Contact Officers.
Gareth has lead responsibility for the assurance of high quality advice. He joined Sunderland
Student’s Union in 2014 and was senior manager responsible for advice services in his
previous roles at Coventry Students’ Union and Liverpool Students’ Union. He has also
supported other students’ unions in developing their advice services as a Higher Education
Consultant with the National Union of Students. He has also supported a general audit of
academic quality and standards as an Auditor with the Quality Assurance Agency for Higher
Education.
Eleanor also joined Sunderland Student’s Union in 2014 and was a senior manager
responsible for children and young people’s services and programmes in her previous roles.
Her continuing professional development is now focussed on the strategic management of
advice services. Eleanor has lead responsibility for safeguarding.
The staff who support students through advice casework are:
Cheryl Klein (Welfare Advisor, who focuses on immigration advice).
Stephen Barksby (Welfare Advisor).
Gill Davison (Academic Officer).
Ben Ramsdale (Academic Officer).
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Jan Spalek (Student Contact Officer, who focuses on advice related to progression and
retention).
Tracy Simmons (Student Contact Officer, who focuses on advice related to progression
and retention).
We have an Advice Steering Group in which the Vice Presidents and the Heads meet on a
monthly basis to coordinate the work of the advice service at Sunderland SU. They are
joined by Louise Bell, the Hub Team Leader, who leads the administrative team which helps
students to receive an efficient and effective service.
This Advice Manual is intended to:
Help student clients to better understand their rights.
Give caseworker staff a structure to their activity.
Define the role of the Advice Steering Group.
Assure our broader stakeholders, including our University and our Board, that we
operate in an ethical, legal and high quality way.
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Contents
The Advice Manual contains the following policies:
Client Policy, including:
Who our advice services are for, and who we work with.
Our Equality and Diversity Statement
The circumstances in which we would withdraw our services.
Confidentiality Policy, including:
How we gain your consent to work with you.
o And the Client Consent Form that we use.
How you can expect us to handle the information we have about you.
The circumstances in which we would breach confidentiality.
How we manage unauthorised breaches of confidentiality.
Conflict of Interest Policy:
How we manage cases when we don’t feel we can offer independent advice to you.
Case Management Policy, including:
The way we create, treat and store your case files.
When we might refer you to an external service to help with your case.
Supervision Policy, including:
Our approach to training and development.
How we ensure that our advice is high quality.
o And the Case Review Form that we use.
Complaints Procedure, including:
How you can let us know if you are not satisfied with the standard of service you have
received from Sunderland SU, we have failed to do something we agreed to do, or you
are unhappy with the way you were treated by a Sunderland SU employee.
Contingency and Continuity Policy, including:
The processes we have in place to ensure we are reliable and respond to circumstances
which may affect the advice service we provide.
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Client Policy
Who our advice services are for, and who we work with
The University of Sunderland Students’ Union supports, and will provide advice to:
Students currently registered at the University of Sunderland, including London campus.
Collaborative partnership college students whose course is designated as a University of
Sunderland programme.
Prospective students of the University of Sunderland who have a conditional or
unconditional offer of a place at the University.
Recent students of the University of Sunderland, whose case has continued past their
enrolment.
If resources permit, we’ll also provide advice for:
Prospective students who do not have a confirmed offer of a place at the University of
Sunderland.
Concerned relatives and friends of students who seek advice on behalf of the student,
when the student can’t contact us themselves (if, for example, they’re in hospital). We’ll
inform the caller that it would be preferable to speak to the student if possible and that
without direct contact there may be limits on the accuracy of the advice given. Any
agreement to offer advice to a concerned third party must comply with Sunderland SU’s
Data Protection Policy and be authorised by letter or email by the student.
Sunderland SU staff.
Any other person, not fitting into the above client groups, will be signposted to an
appropriate alternative agency.
Our Equality and Diversity Statement
We’ll always observe our legal responsibilities to help clients participate fully with our
advice services.
SUNDERLAND SU IS IN THE PROCESS OF DEVELOPING AN ORGANISATIONAL POLICY
REGARDING ITS COMMITMENT TO EQUALITY AND DIVERSITY AND, WHEN THIS IS
DEVELOPED, IT WILL BE ENTERED INTO THE ADVICE MANUAL.
The circumstances in which we would withdraw our services
There may be certain circumstances when we’ll withdraw our services, permanently or
temporarily, from a client. We’ll take this decision carefully, after appropriate consultation
with a member of the Sunderland SU Senior Leadership Team.
A caseworker may wish to withdraw their service, and may discuss this with their line
manager, if a relationship with a client becomes difficult in examples such as:
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If a client has made a serious complaint against Sunderland SU’s advice service which is
currently under investigation. We use the term ‘serious complaint’ to mean one that
alleges, implicitly or explicitly, incompetence, prejudice or negligence on behalf of one of
our caseworkers. When the investigation of the complaint has concluded, we’ll
reconsider the withdrawal of service.
If a client has made a previous complaint against Sunderland SU’s advice service which,
following formal investigation, was considered to be vexatious.
If a client has been violent towards or harassed a member of Sunderland SU staff.
o In this situation, the client and the caseworker will be asked by their line
manager to present a statement outlining the incident or incidents in their own
words. After reviewing this information and, if appropriate, an interview in
person, the line manager will decide whether the advice service will be
withdrawn in full or whether its use will be restricted, such as requiring email
only correspondence.
The Head of Learning Experience may also make a decision to withdraw our service because
of complexities within the case in examples such as:
If a client is seeking advice from, or already has, another advice agency acting on their
behalf on the same case issues and refuses to discontinue receiving advice from the
other service.
If a client authorises the advice service to negotiate on their behalf and, following
agreement, the client does not abide by the terms of the negotiated outcome.
If the client asks us to undertake work which is illegal, such as supporting a fraudulent
claim.
If we do not have the resources to support a particularly complex or intensive case; if
this is the case we’ll work with the client to identify what we can do to ensure that
another service provider supports their best interests.
When a decision is made to withdraw our service, the Advice Steering Group will receive a
report at its next meeting, to consider any organisational learning or development that may
be required or recommended. The withdrawal of service must be considered alongside our
policies on equality and diversity, as well as other relevant policies.
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Confidentiality Policy
How we gain your consent to work with you
Sunderland SU takes the private nature of our advice work very seriously. We keep any
queries and cases that come to us confidential. Before we keep any information about you
on our system, we’ll ask you to sign a consent form, which will outline how and why we
keep your information and how we’ll use it. A copy of our Consent Form is included in this
Advice Manual.
How you can expect us to handle the information we have about you
Our case files are kept on a secure electronic case recording system called AdvicePro and
any necessary paper documentation, including your Client Consent Form, is kept in locked
filing cabinets. We’ll try to help you to talk freely in a comfortable environment by always
conducting appointments in private interview rooms, and we can discuss off-site
appointments if this may be appropriate.
Authority to Act
There is no breach of confidentiality if you have given us permission for caseworkers to
contact a third party on your behalf. We’ll do this when we’ve been given authority to act,
which will normally be in a signed form. We’ll include a copy of our Authority to Act Form in
all written communications with third parties. We’ll support you to give verbal authority to
act in telephone conversations where you and the caseworker are present in the same room
together. Where we anticipate multiple contacts with third parties we may ask for
signatures on a reasonable number of Authority to Act Forms in advance of correspondence
being drafted, and we’ll destroy surplus copies after your case has concluded.
In some cases we may need to seek specialist advice from another agency such as the
National Housing Advice Service (NHAS) or a solicitor, for example, and it may be necessary
to give them specific personal details, such as age or ethnic identity or gender. We will
inform you of this in advance.
There is no breach of confidentiality for members of Sunderland SU staff who give advice,
and who are named in this Advice Manual, to discuss cases or share information with
colleagues. This is because you’re a client of Sunderland SU’s advice service, and not an
individual caseworker. There may be some cases where colleagues in other advice services
provide additional case support, but this will be discussed with you in advance. You can
always be assured that we don’t have conversations with colleagues unless completely
necessary and we’ll always do so in a private and confidential way.
The circumstances in which we would breach confidentiality
If a client may be committing a crime
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A member of staff may become aware, or suspect, that a client has been involved or may
become involved in a criminal activity. No criminal offence is committed by someone who
fails to pass on knowledge of a crime, unless they do so for some form of reward or if the
crime could be construed as an Act of Terrorism. If such a situation arises it is treated with
the utmost seriousness and the Head of Learning Experience or the Chief Executive must be
consulted with immediately. Caseworkers must not make a decision to breach
confidentiality without the support of the Head of Learning Experience.
There may be times when immediate requests or demands for information are received
from external agencies such as the Police Service. These may include the issue of a search
warrant or the issue of a witness summons. Whether it is correct to release information will
depend upon the circumstances of the case and whether the service is protected by legal
professional privilege. The opinion of our solicitors at the time will be sought, as a matter of
urgency, and these communications will not be viewed as a breach of confidentiality.
Social Security Fraud
Whilst advising a client it may become apparent that they have committed fraud by making
or assisting fraudulent claims and/or failing to notify the relevant authority of any material
changes in circumstances. Practical examples that may be presented include claiming
benefits that clients aren’t eligible for, or by giving false information on an Access to
Learning Fund application. The caseworker would ostensibly breach confidentiality if they
informed anyone about the client committing fraud.
The client must be informed about the possible consequences of their actions. This should
be confirmed in writing by sending a letter or e-mail to the client after an interview,
whether in person or not, and a record of this must be kept on the case file.
We cannot assist a client who is committing, or has committed, fraud and then needs
assistance that would involve us knowingly to allow fraud to continue. We couldn’t, for
example, assist a client who has been fraudulently claiming housing benefit to make an
application to the Access to Learning Fund until the housing benefit claim has stopped. We
can continue to assist with other matters, however, such as academic queries.
Several pieces of legislation convey wide and extensive powers on Social Security Inspectors
to make enquiries and inspect documents including, theoretically, case files of advice
services. Traditionally these powers have not been used against advice services, however, if
they are used to attempt to access our advice records, then the case worker should inform
the Head of Wellbeing, Confidence or Connections or the Chief Executive who will consult
with Advice UK, or the insurer, and Sunderland SU’s solicitors.
Terrorism
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If a member of staff believes that a client has given information relating to a (potential) act
of terrorism they must discuss this with the Head of Learning Experience who will consult
with the Chief Executive, Sunderland SU’s solicitors and Advice UK, or our insurer.
The Terrorism Act (2000) makes it a criminal offence for a person to withhold information or
fail to act without reasonable justification to disclose. It should be noted that this obligation
is placed upon the individual caseworker not the Students’ Union, but a caseworker may
seek to rely upon a specific defence that they were following service policies. It will be
considered potential gross misconduct if any caseworker fails to consult with the Head of
Learning Experience at the earliest opportunity if they have reasonable cause.
Police visits
Case files are not open to police inspection and there is generally no legal duty for staff to
give information to the police. Police will be informed about our Confidentiality Policy and it
should be explained that, under this policy, they are unable to answer any questions about
clients. The caseworker’s line manager will be informed if the Police contact Sunderland SU.
The Chief Executive will be informed as soon as possible if the Police contact Sunderland SU
for information about a client or for any other reason.
If a caseworker is asked to discuss a client with the Police, provide a witness statement, or
receive a summons they must immediately report the matter to their line manager.
Sunderland SU will immediately seek legal advice on the matter; the default position,
however, will be that the information and documents are covered by legal professional
privilege as is the communications between Sunderland SU and our solicitors. As the
privilege belongs to the client rather than the service, they can authorise disclosure but
accurate and specific records of their consent must be kept within the case file.
Breaching confidentiality in other circumstances
Sunderland SU believes that clients should always expect that their case will be treated
confidentially, with possible exceptions made clear in advance. A breach of confidentiality
by a caseworker may be treated as gross misconduct. Therefore, if a caseworker is
considering whether it would be appropriate to breach confidentiality they will seek support
from the Head of Learning Experience.
The caseworker will discuss the reasons to consider a breach with the Head of Learning
Experience, and each case will be considered on an individual basis. If a breach is
authorised, the Head of Learning Experience will take appropriate action. The Head of
Wellbeing, Confidence and Connections will be informed at this stage, if appropriate.
We will always consider the best interests of the client first in any decision to breach
confidentiality. The caseworker will inform the Head of Learning Experience of any concerns
of the following nature:
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Self-harm and risk of suicide
There is no legal duty upon a caseworker to report any suspicions or direct reports of clients
who declare an intention to commit suicide or self-harm. However, there are several
compelling reasons why it may be necessary to do so which must be balanced against the
primary need for confidentiality.
If the situation arises where a client informs a caseworker of serious self-harm, or the
intention to do so, the caseworker will follow this process:
The caseworker will warn the client that they’ll discuss this with the Head of Learning
Experience and that confidentiality might be breached. The client should also be told
that the issue may be reported externally.
The caseworker should try to find out whether the client has any dependents or intends
to self-harm in a way that is hazardous to others.
The caseworker should treat this issue as an enquiry and provide the client with
information about the range of available support for those at risk of self-harm/suicide.
The caseworker will seek to refer the client to the Samaritans and other specialist
services for counselling support.
The caseworker will ask the client if there is a friend or family member who is already
aware of the self-harm or someone who they feel they could trust with this knowledge.
The caseworker must report this aspect of the case to the Head of Learning Experience.
The Head of Learning Experience will decide whether a breach is appropriate.
The Head of Wellbeing, Confidence and Connections will consider if any further actions
are required on a case-by-case basis and may consult Advice UK, or the insurers.
This process allows Sunderland SU to maintain an appropriate balance between client care
and confidentiality standards, as well as assuring key stakeholders that sensitive issues are
being properly managed.
Suspected Child Abuse
Clients need to be confident that Sunderland SU’s advice service is confidential and that
they can trust us not to divulge personal information to third parties unnecessarily. This
enables those who have concerns about a child, or who are being abused, to feel that they
can approach the service for help. There is no legal duty to report suspicions or allegations
of abuse against a child. However, a caseworker may feel that it’s necessary to breach
confidentiality in order to protect the client or someone else.
While a caseworker may have reason to believe a child is at risk of abuse or is being abused
they are not experts in child abuse and are not in an appropriate position to judge this.
Therefore we have procedures for decision making about a breach of confidentiality when
child abuse is alleged or suspected.
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The following procedure will apply when we have concerns the client may be abusing a child:
When information is disclosed to the caseworker that raises suspicions of abuse, the
caseworker will take careful notes of what is said and must not ask any questions which
seem to be "leading". The caseworker must record only the facts, preferably in the
language and words used by the client.
The caseworker will inform the client that they will discuss this with the Head of
Learning Experience and that confidentiality might be breached. The client should also
be told that the Head might report the issue externally.
The caseworker will then inform the Head immediately.
The caseworker will encourage the client to report the matter the local authority or the
Police, the NSPCC or a specialist organisation.
If the client indicates that they are willing to contact the local authority or the Police, the
caseworker will offer the client a private interview room where they can call the
appropriate authorities themselves.
In cases where the client does not wish to contact the appropriate authorities, the Head
of Learning Experience will consider whether a breach of confidentiality is appropriate,
He may consult the Head of Wellbeing, Confidence and Connections or a relevant
independent charity or other organisation with expertise in this area.
We recognise that reporting any possible case of abuse will usually result in that
organisation taking action. The Police and local authority both have a duty to follow up
any complaint or concern expressed about a child. The NSPCC does not have a statutory
responsibility to take action but has a duty under its Royal Charter.
The Head of Wellbeing, Confidence and Connections will then consider any further
actions on a case-by-case basis, but may consult Advice UK, or the insurers.
Sunderland SU must not participate in any form of ‘investigation’.
The following procedure will apply when a client reports they have concerns about a child
being abused or at risk of being abused.
When information is disclosed to the caseworker that raises suspicions of abuse, the
caseworker will take careful notes of what is said and must not ask any questions which
seem to be "leading". The caseworker must record only the facts, preferably in the
language and words used by the client.
The caseworker will inform the client that they will discuss this with the Head of
Learning Experience and that the confidentiality policy may be breached. The client
should also be told that the Head might report the issue externally.
The caseworker will inform the Head immediately.
If the client indicates that they are willing to contact the local authority or the Police, the
caseworker will offer the client a private interview room where they can call the
appropriate authorities themselves.
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In cases where the client does not wish to contact the appropriate authorities, the Head
of Learning Experience will consider whether a breach of confidentiality is appropriate,
He may consult the Head of Wellbeing, Confidence and Connections or a relevant
independent charity or other organisation with expertise in this area.
We recognise that reporting any possible case of abuse will usually result in that
organisation taking action. The Police and local authority both have a duty to follow up
any complaint or concern expressed about a child. The NSPCC does not have a statutory
responsibility to take action but has a duty under its Royal Charter.
The Head of Wellbeing, Confidence and Connections will then consider any further
actions on a case-by-case basis, but may consult Advice UK, or the insurers.
Sunderland SU must not participate in any form of ‘investigation’.
This matter is complex and the seriousness of the nature of the issue must be balanced
against the need to ensure a suitably professional standard of confidentiality. The procedure
will use external professional experts when Sunderland SU may not be in possession of the
full facts. This process provides security that the allegations are being correctly administered
as well as demonstrating to external stakeholders that we are committed to ensuring child
welfare without unnecessarily compromising confidentiality standards.
How we manage unauthorised breaches of confidentiality
If a caseworker discovers an unauthorised breach of confidentiality they should inform their
line manager immediately. The Head will seek support as to the potential consequences and
the best method to mitigate them from Advice UK or the insurers.
The majority of unauthorised breaches of confidentiality are accidental - letters sent to the
wrong address or email address, for example, but nevertheless any such breach should still
be discussed between the Head and the caseworker who should reflect on how the breach
arose and how to avoid any repetition in the future. Persistent accidental breaches of
confidentiality due to carelessness or a lack of appreciation of the required standards will be
potentially considered a capability issue and the matter will be addressed appropriately in
line with our performance management process.
Where confidentiality has been breached wilfully or maliciously or if a caseworker has
repeatedly breached confidentiality despite previous disciplinary action a formal
investigation will be carried out and disciplinary action may be required. Such breaches of
confidentiality are likely to be considered gross misconduct.
Where confidentiality is breached and a complaint ensues Sunderland SU will be in a
position of conflict of interest if it continues to provide advice to the client, and must
withdraw the service.
Confidential Sunderland SU Advice Service Client Consent Form
We need your consent to hold data about you. In order for us to help you with your enquiry we need to record some details about you. These details may contain your personal and sensitive data. To comply with the Data Protection Act (1998) we must tell you how we use this data and ask for your permission. By signing this form you are providing your permission for us to process your data for the purposes below. We will not share your information with anyone else without your consent unless required to do so by law. We may make your data anonymous and use it in statistical analysis. Where will you store my data and who has access to it? We store information about you for seven years after the close of your case. This form is kept in a locked filing cabinet. Your case notes are stored on a secure shared electronic case management system. Only designated members of the SU Advice Service can see your case notes, for supporting your case for quality assurance purposes, and they are responsible for your data and must ensure it is processed according to the law. You have the right to see this information at any time. What is personal and sensitive data? Personal data is data which can be used to identify you. This may include your name, date of birth, address, telephone number etc. Sensitive data is information related to any of the following: racial or ethnic origin, political opinions, religious beliefs, health, sexuality or sex life, offences and/or convictions and trade union membership. We store all data securely and do not disclose it to any external parties. Can I withhold my consent? Yes, but we need to record your basic information (required information section) in order for us to offer you advice. By signing this document, I agree that the University of Sunderland Student’s Union can hold personal and sensitive about me, and use it to support my case.
PRINT NAME(S): SIGNATURE: DATE:
Required Information
Last name:
First name(s):
Title:
Contact address:
Nationality:
Date of birth:
Contact email address:
Contact telephone number(s):
Course:
Stage of study:
Student ID number:
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What are you seeking advice about?
Optional Information
Gender:
Race or ethnicity:
Sexual orientation:
Do you consider yourself to be disabled?
Can we help by making any access adjustments to your appointment?
How did you find out about our Advice Service?
For office use only
Correspondence Client Signature Date Entered on Advice Pro (Y/N)
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Conflict of Interest Policy:
You have a right to expect that any advice you receive is independent and impartial and that
any caseworker acts only in your best interests. There may be occasions in which something,
in reality or in perception, could potentially influence the advice we give you. This is referred
to as a conflict of interest and it means that we will be unable to advise you. Conflicts of
interests are possible between you, and either an individual caseworker or the students’
union as a whole.
It is important to identify conflicts of interests clearly and as early as possible. Caseworkers
will seek to understand your case in an appointment and identify potential conflicts of
interest at the outset of the case. Conflicts of interest may also be identified during case
supervision sessions. It is important that caseworkers reflect on potential conflicts of
interest at all points during a case and should discuss questions with their line manager to
identify appropriate courses of action.
Examples of when a conflict of interest may occur:
1. When advising two or more parties to a dispute - this could include advising two
students who live in the same house, or a group of students who are accused of
collusion.
When this happens:
Sunderland SU’s caseworkers will act for the client who approached us first. The second
student will be sign-posted to another caseworker, if one is available, or we will refer
you to another source of advice.
If you state at the start of your case that another student may also be a future client, the
caseworker should seek permission, in writing where possible, to disclose that they have
already been consulted by you. If permission is provided, there will be no breach of
confidentiality if the caseworker explains to the other user why Sunderland SU cannot
provide advice. If permission is not given, the matter will be referred to the Head of
Learning Experience and could lead to a refusal of service. However, if we become
aware of conflict of interest because it arises during the course of a case rather than at
the outset, it will not be construed as a breach on the caseworker’s part.
Caseworkers working for one student will try not to identify the other student.
Caseworkers will not discuss the case with any other caseworker or read the case notes
of the other students.
Where a caseworker is already supporting two users and a conflict of interest arises
between these users, the caseworker may refer to their line manager one of the following
options is likely:
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One student will be referred to an alternative caseworker, if available. Caseworkers will
not discuss case details and the other student’s notes will not be read by the
caseworkers. Students will be assured that the cases will be treated confidentially and
independently.
One or both students will be referred to a different advice service.
Sunderland SU will not act for either user.
2. When advising a student who has given information that the caseworker knows or
discovers to be false. This could include, for example, advising a student who says they
have no earnings in a benefit case but whom the caseworker knows is in full time
employment.
When this happens:
You will be reminded to disclose all relevant information to your caseworker.
The caseworker will make every effort to confirm the information suspected of being
false and advise you that Sunderland SU is unable to verify any information to a third
party that is believed false.
The caseworker will advise you of any legal or procedural consequences of using false
information.
We will ensure all verbal advice and information is confirmed in writing
We reserve the right not to give advice until we can confirm that all information we use
is accurate.
We will not contact a third party without your permission in any event.
3. When a case involves a staff member or elected Officer of Sunderland SU, or a close friend or relative or a caseworker.
4. When a case is a complaint about Sunderland SU or its staff, or a member of staff who
works closely with Sunderland SU, including some University of Sunderland staff. 5. When you wish to act in a way that will damage the services we provide. In the event of points 3, 4, or 5, arising, the caseworker will provide you with a copy of the relevant procedural information, a copy of this Conflict of Interest policy, and signpost you to other sources of advice. The caseworker may also discuss this, if appropriate with their line manager. If you believe that a conflict of interest has arisen and not been addressed or you are not happy with the way that Sunderland SU has addressed a conflict of interest, then the correct step to take is to use the Complaints Procedure outlined in this Advice Manual.
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Case Management Policy
The way we create, treat and store your case
You can expect Sunderland SU to handle your case in the following way:
1. From the start of the case, caseworkers have a duty to ensure that you are kept fully
informed about the management of your case. This will include explaining any limits to
the advice that can be given and any potential costs involved in the case.
2. Where action cannot be taken immediately on a case and some form of follow-up is
required at a later date, this should be recorded on your case notes. If the caseworker
has agreed to take any action on your behalf, they should record this in their own
calendar and check that they have carried out the work within the committed timescale.
Examples of follow-up action may include:
Chasing replies to letters written on your behalf.
Research into your query and contacting you with the findings.
3. The caseworker will inform you of any progress with your case, or if the case has been
completed. The best way of contacting you will be discussed at the start of the case and
will usually be by telephone, email or letter. The caseworker will inform you of progress
within a promised timescale and this will vary depending on caseload and demand. If
your caseworker wishes to make changes to proposed action already agreed with you,
they must contact you to ensure that revised action is acceptable before any change is
actually made.
4. Caseworkers will not routinely confirm advice or action in writing but may do so in some
circumstances, including:
When we first start representing you.
When we contact external agencies on your behalf.
When there is a need to notify you of time limits, deadlines or a hearing date.
When the advice is complex or covers a number of options.
When the client has specific language or learning difficulties and would benefit
from a written explanation.
All written communication, without exception, will be entered into the case file.
5. It won’t be necessary or usual to write a case entry for very simple queries such as a
request for a HC1 Form or information about what email address to use to submit an
appeal. It is, however, essential that a case record is created when:
You are likely to be returning for further discussion on the same issue.
When detailed information is given.
Where there could potentially be a need to substantiate the advice given.
Any contact with the University or an outside agency is made.
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All cases will be recorded on a shared electronic case management system called
AdvicePro but some copies of some documents may be kept for a short time while cases
are in progress. Caseworkers have individual responsibility for these notes, which will be
stored in lockable filing cabinets by the caseworker.
6. We will always need your name and contact details when a case note is written but we
will be sensitive to a desire for privacy if you do not wish to disclose some of your
personal or sensitive data. We do have an interest in keeping accurate and complete
information in case this becomes relevant to your case. Therefore we will ask you for
your permission to record your personal and sensitive data and will make a note that we
have done so and that you have declined.
7. If you become a client of Sunderland SU, we will require a signed Client Consent Form.
How we will store your case files
Sunderland SU uses a shared electronic case management system and stores case files on a
secure server. We will store a signed paper copy of your Client Consent Form in a locked
filing cabinet for the same amount of time as your case files. Currently, Sunderland SU has
some paper files that predate the existence of our electronic case management system and
these are stored securely until they are destroyed.
Only approved users have accesses to any of these files and they have all been trained to
understand and comply with our high standards of case management.
Your files are stored securely for seven years from the date of closing your case. We do this
so that we can protect you and Sunderland SU in case anything unexpected arises from your
casework in the future. After seven years, files are securely destroyed.
We consider a case ‘closed’ when Sunderland SU and you agree that no further action is
necessary on your case. This may include:
Your case has been referred to an external agency and all matters that we were dealing
with have been concluded.
The case has run its full course, and all available procedures have been exhausted.
We have ceased to act for you, such as when we have withdrawn our service.
You have the right to see your own case files and any documentation on that case file, such
as letters or emails, provided that disclosure does not compromise the privacy of another
party. The Data Protection Act and guidance from the Information Commissioner’s Office
direct us in this work. A request for files will be treated as a Subject Access Request and we
will provide copies of documents, but not the original documents, upon receipt of the
necessary fee and any other reasonable requirements under the Act. You should make a
request to see your case file to [email protected].
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When we might refer you to an external service to help with your case
What is ‘signposting’?
‘Signposting’ is the term we use when you contact us with a problem and the appropriate
response is to indicate another source of advice. This may be because you aren’t part of our
client group or the support you want is outside of our scope – for example, judicial review.
This sometimes happens with existing clients who present us with an issue further to the
original one that we’re supporting you with. Signposting is different to ‘referral’.
What is ‘referral’?
A referral is an action taken by a Sunderland SU caseworker to seek support for you, as an
established client, from an external body, because they believe that they can offer no
further help. This may occur because the caseworker believes that they do not have the
expertise or resources to continue to ensure that your best interests are met.
When would we make a referral?
Sunderland SU will make a referral in consultation with you. We will always listen to you to
identify the best referral we can make in their specific circumstances.
We will always try to signpost and refer to agencies that do not charge for their services. We
will, in all appropriate circumstances, discuss with you any cost implications of using a new
service provider.
We will not transfer any case records unless a formal request is made by you or by the other
agency when accompanied by an acceptable form of authority.
How do we monitor the agencies we refer to?
The Advice Steering Group will regularly review our referral agencies and will consider:
Whether better relationships are needed with referral agencies.
Whether steps can be taken to reduce inappropriate client groups contacting the
advice service.
Whether steps are needed to fill gaps in the advice service we provide.
Whether there are any gaps in local advice service provision.
Whether individual caseworker’s referrals should be discussed in their supervision
sessions.
How we ensure that case files are managed appropriately.
Translation
There is a broad expectation that students will have a level of English language appropriate
to comprehend the advice they are receiving, as they need this to satisfy immigration
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conditions before entry to the UK. We understand that we have a duty to ensure that all
communication is completely understood. If you do not present with someone who can
objectively support you in your appointment, translation services may be needed to
progress with the case. Any costs for this extra service will be explained to you in advance of
us taking on your case and you’ll be expected to pay for the extra support before we offer
you advice.
If Sunderland SU needs any documents to be translated for us to give advice, or for Home
office applications, we will tell you as soon as possible. We will refer you to some
appropriate translation services and it is important that you consider the agencies you ask
to translate documents as only certain firms are acceptable to the UK Home Office. Any
costs for this extra service will be explained to you in advance of us taking on your case and
you will be expected to pay for the extra support before we offer you advice, or as soon as
possible if the case is on-going.
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Supervision Policy
Supervision
‘Supervision’ describes the process by which Sunderland SU’s Senior Leadership Team
assure the quality of the advice we give to students by supporting and scrutinising casework.
Supervision is on-going training and development, focussed on advice quality. The
designated lead for advice quality is the Head of Learning Experience, supported by the
Head of Wellbeing, Confidence and Connections.
Supervision is a monthly focussed meeting to discuss the specific details of at least three
cases, the strategies chosen by the caseworker and the advice given. The priority in
supervision is to ensure that caseworkers are constructively challenged to defend the
strategies and tactics they have decided to use to support clients.
Caseworkers will also have access to colleagues, the Head of Learning Experience or the
Head of Wellbeing, Confidence and Connections to address day-to-day questions. There will
also be some circumstances where, due to the specialist nature of some advice work,
external colleagues may be asked to support the Head of Learning Experience in assuring
the quality of advice, mindful of our responsibilities to protect client confidentiality.
Our approach to training and development
Our caseworkers are in a position of authority and responsibility and Sunderland SU takes its
duty to ensure that they are competent very seriously. Our caseworkers are valued, and we
invest in their training and development on an ongoing basis.
Every caseworker wil have an annual appraisal, which is a focussed meeting with their line
manager encompassing a training and development analysis, against their objectives,
organisational need and their own goals. The outcomes of the meeting are reviewed six
months afterwards, at the mid-point of the performance management cycle. Each
caseworker also has a monthly meeting with their line manager to discuss progress against
agreed objectives and to evaluate continuous professional development.
Each caseworker is a professional with a responsibility to reflect upon their own
competence so that they offer excellent advice at all times. Sunderland SU will welcome any
conversation about training and development but will expect caseworkers to take
responsibility for their own competence in partnership with the organisation.
Range of training and development for caseworkers
Caseworkers will access much training and development that is not formal instruction; the
‘currency’ of advice is, for example, often maintained through appropriate research and
networking. Sunderland SU encourages and expects all caseworkers to seek diverse ranges
of training and development and discuss resource needs with their line manager.
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New caseworkers
When a new colleague begins to undertake casework, Sunderland SU will ensure that they
are fully competent to support students. Sunderland SU recognises that competence comes
from behaviour and knowledge.
A new caseworker will:
Be asked to observe an experienced colleague for at least two weeks, before they
undertake casework themselves.
Have an experienced colleague observe appointments that the new caseworker leads.
During this period and in all instances, cases will be discussed individually with the Head
of Learning Experience. For this reason, induction will focus on no more than two cases a
day to allow suitable research and reflection.
Progress will be assessed by the Head of Learning Experience in consultation with the
caseworker’s line manager. Each caseworker will have a record of their training and
development in their annual appraisal and entered into their human resource records. Any
on-going training and development will be entered into the human resource records as they
take place.
Case review
We will also regularly review case files to ensure that:
We are giving high quality advice.
We identify any training or development needs for our caseworkers.
We meet all of the deadlines that we need to, for clients and for internal purposes.
Our policies and procedures are being followed.
Each month two case files of each caseworker will be selected at random to ensure that files
are comprehensive and consistent. If case files are not of the required standard appropriate
training, development or performance management will be identified and implemented.
This is a separate process to supervision and focuses on managerial aspects of advice work,
such as accurate recording of contact information, signatures of students on appropriate
forms, and the maintenance of correspondence lists.
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Case Review Form
Date of review
Month reviewed
Caseworker
Reviewed by
Client’s name
AdvicePro Reference
Case management Yes No
Client details: In person query must have all details on back of consent form or exceptions recorded in Advice Pro. Telephone query must have at least name and contact number, plus address or email address. Email query must have at least name and email address
Case file clearly shows query, relevant background information, advice given, options given, present position of case.
Key dates recorded
Conflict of interest recorded
File and supporting documents in good order. All documents easy to locate. All correspondence tracked and stored.
Comments:
Quality of Advice Yes No
Advice is accurate and appropriate for client
All issues have been covered (including client’s initial query and other advice/support identified during the interview)
Follow up action has been agreed and clearly recorded
Any deadlines have been met
Comments:
Is corrective action required? Yes/No
If yes, what action and by when?
Correction action completed on:
Signed off by case reviewer:
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Complaints Procedure
Sunderland SU wants to hear from people about their experience of using the advice
service. Complaints, criticisms, compliments and questions are all valuable feedback which
we welcome positively. Feedback helps us to reflect on areas of service delivery and advice
quality and provides focus for improving our work.
All complaints will be handled in confidence and are treated in line with the Sunderland SU
advice service Confidentiality Policy.
Publicising our Complaints Procedure
The Advice Steering Group is responsible for ensuring that the Complaints Procedure is
clearly displayed in Sunderland SU and in each room where appointments happen. The
Complaints Procedure will also be available at www.sunderlandsu.ac.uk/studentadvice.
We will display the following Complaints Statement in Sunderland SU and in each room
where appointments happen.
“We want to hear from you.
We welcome positive or negative feedback on any aspect of the Sunderland SU advice
services. If you have any suggestions for improvement, please talk to a member of the
advice team or email [email protected].
We have a Complaints Procedure you can use to raise a formal complaint which can be
found at www.sunderlandsu.ac.uk/studentadvice or you can talk to a member of
Sunderland SU staff.”
Issues that can be dealt with through our Complaints Procedure
We define a complaint as any expression, written or verbal, of dissatisfaction by a client.
Sunderland SU will follow these procedures when we receive a complaint – or anything that
sounds like a complaint – from a client, an organisation or a member of the public. The
complaint must relate to an aspect of the advice service for which we have direct
responsibility.
Complaints may include, but are not limited to:
Service delivery, for example barriers which prevent you from accessing the service,
unacceptable delay or problems with casework.
Incorrect or incomplete advice.
Poor delivery of a workshop.
Disputes between a service user and Sunderland SU student advice service, such as a
dispute relating to our policy, procedure or activities.
Discourtesy or unhelpfulness of staff.
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Issues that cannot be dealt with through our Complaints Procedure
This procedure does not handle complaints about other services provided by Sunderland SU
including, for example, catering or events. You should refer to the main Sunderland SU
Complaints Procedure for this. Any complaints made by Sunderland SU staff or volunteers or
job applicants will not be dealt with using this procedure, and should instead be dealt with
using the Sunderland SU grievance or disciplinary procedures.
The Complaints Procedure
Informal stage
Please raise your complaint directly with the caseworker concerned as soon as possible. The
caseworker will try to resolve your complaint quickly and informally. If you feel you are
unable to approach the caseworker concerned, or you feel that the informal response you
received was unsatisfactory, you can go to Stage 1.
Stage 1
A complaint can be made in person, by telephone, in writing or by email to
[email protected]. You should describe the nature of your complaint
and provide details.
Your complaint will be passed to a Complaints Handler as soon as possible. Stage 1 should
be completed within 5 working days of the complaint.
Where possible, the Head of Wellbeing, Confidence and Connections will be the Complaints
Handler. Where a conflict of interest arises, or if they are absent another Complaints
Handler will be agreed.
You will be informed who your Complaints Handler is.
You will be invited to discuss your complaint with the Complaints Handler, in whatever
way is most appropriate.
The Complaints Handler will keep a record of the meeting, telephone conversation and
any correspondence. The Complaints Handler will endeavour to resolve the matter.
If you remain dissatisfied, or it has not been possible to use Stage 1, then you should
proceed to Stage 2.
Stage 2
Your complaint will be investigated further and this may involve consulting with other
parties. Where possible, the Head of Wellbeing, Confidence and Connections will be the
Complaints Handler. Where a conflict of interest arises, or if they are absent another
Complaints Handler will be agreed.
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Put, in writing or by email to [email protected], as much information
about your complaint as possible and the remedy you are seeking as a result of your
complaint. If you are unable to do this, you can meet with the Complaints Handler who
will attempt to put your complaint in writing and will ask you to sign your agreement.
The Complaints Handler will investigate the complaint and attempt to resolve it. In the
event that the complaint involves another party, the Complaints Handler will ask for a
statement. The Complaints Handler may delegate any aspect of the investigation to a
nominee.
The Complaints Handler will decide an appropriate course of action and will send you a
written response within 15 working days of your written complaint being received by
Sunderland SU.
The written response should summarise the investigation and any action proposed to
resolve the matter. This could include, but is not limited to:
o A formal apology.
o A statement of how things will be changed in the future.
o If your complaint is against a member of staff, that this will be dealt with
separately.
We will keep a record of all proceedings.
If you remain dissatisfied, or it has not been possible to use Stage 2, then you should
proceed to Stage 3.
Stage 3
Your complaint will be reconsidered. The decision made at this stage is final.
You should send your request for a review of the decision to
[email protected]. You should describe the reasons you wish to enter the
review stage and provide details.
Where possible, the Head of Learning Experience will be the Complaints Reviewer. Where a
conflict of interest arises another Complaints Reviewer will be agreed.
The Complaints Reviewer may seek further clarification from any parties already
involved.
The Complaints Reviewer will reflect on the process and decision already made.
The Complaints Reviewer will write to you with the outcome of the review and this
decision is final. You will be sent a response within 15 working days of your written
complaint being received by Sunderland SU.
We will keep a record of all proceedings.
Recording and monitoring complaints
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We have a complaints log in which all complaints will be recorded including
correspondence, decisions, actions and outcomes. The Head of Learning Experience is
responsible for ensuring this information is complete and up to date. It will be reviewed
annually, at the same time as the review of the Advice Manual, by the Advice Steering
Group. This review may identify further action necessary to improve the quality of the
advice service.
Complaints to the Office of the Immigration Services Commissioner
Sunderland SU offers immigration advice which is regulated by the Office of the Immigration
Services Commissioner (OISC). OISC requires us to tell all clients who have received
immigration advice from Sunderland SU that you have the right to make a complaint to OISC
at any time. You can do this by requesting details from the Sunderland SU Hub Team or by
visiting http://oisc.homeoffice.gov.uk/complaints_about_immigration_advice/.
Effectiveness of the Complaints Procedure
All caseworkers are trained in the effective use of this policy and the Advice Steering Group
reviews it annually.
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Contingency and continuity
Sunderland SU has a responsibility to you to ensure that we are always in a position to act in
your best interests and our operational activity does not affect your case. We aim to meet
this responsibility by considering any unforeseen events or circumstances which may affect
the advice service we provide. We plan contingencies around them, in order to ensure that
we can offer you continuous and high quality support.
We will always keep you informed about the progress of your case and any developments
that affect it. We will also record any changes to your case. These are key parts of our case
management policy.
Central support
Sunderland SU’s Hub Team manages the administration of all cases. This means that a
central point of contact is the Hub Team who ensure that:
All emails to [email protected] are read and action is taken by an
appropriate person.
All phone calls to 0191 515 3030 are answered and action is taken by an appropriate
person.
All letters are received and distributed to an appropriate person.
All Client Consent Forms are entered into AdvicePro and stored securely.
All correspondence between you and Sunderland SU is recorded.
Caseworker assignment
All of the types of advice that we offer have at least two full-time caseworkers who can
support you with your case. The exception to this is immigration advice which has a
different contingency plan, outlined in the Immigration section in this policy.
When your case starts, Sunderland SU will assign you a caseworker depending on the type
of advice that you want and the availability of appointments. All the notes about your case
are kept securely on Advice Pro, our shared electronic case management system. Your
assigned caseworker is the only member of the casework team that can access your case
file.
The Head of Learning Experience, the Head of Wellbeing, Confidence and Connections and
the Hub Team are all able to reassign your case to another caseworker if, because of a
conflict of interest or unexpected absence or any other reason, you need support and your
assigned caseworker is not available. We’ll record this change on your case notes.
In the unlikely event that no caseworker can support your case, Sunderland SU will help you
to find another source of advice under our referral procedure.
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Key dates
Key dates are deadlines that are important in order to progress your case. Key dates arise
from the case itself, such as the time limits referred to above and any other time limit which
if missed, could lead to an allegation of negligence against Sunderland SU. Key dates could
include:
Application deadlines
Expiry of a limitation period
Time limits for reviews or appeals
All hearing dates
You will be informed about key dates of your case and they will be noted prominently on
your case file. Your assigned caseworker is responsible for key dates being identified and
met. Caseworkers will do this through their own diary system.
Sunderland SU understands that there are time limits for all kinds of claims, applications,
appeals and steps in proceedings. Deadlines are often strict, and the consequences of
missing them can be serious. Caseworkers are aware that many of the problems you present
with will have a time limit.
Time limits usually run from the date of an event or a decision. Ideally, you will provide us
with copies of any written correspondence regarding a decision so dates can be checked by
the caseworker. Caseworkers will carefully consider what event or decision you want to take
action about when calculating deadlines. If you are able to take action by yourself, the
caseworker will advise you when the deadline is and how to take the necessary action
within that deadline. A note of the advice given will be made on AdvicePro, including the
key date identified.
Caseworkers will assume that an appeal or application will have to arrive inside the deadline
and will allow two days for first class post to arrive.
If the case needs to be referred to a solicitor or specialist agency, the caseworker will ensure
that the referral is made in sufficient time to enable the agency to take the necessary action
within the deadline.
Immigration advice
Sunderland SU offers immigration advice. We take our responsibilities to ensure that this
type of advice is high quality very seriously. We think it’s important, therefore to make clear
how we have considered continuity and contingency for immigration advice. In doing this,
we are making clear how we meet the expectations of the Office of the Immigration
Services Commissioner (OISC).
Our services
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Cheryl Klein offers Level 2 immigration advice to people that fall within our Client Group
Policy. Any client who presents with an immigration case will be allocated to Cheryl. Cheryl
Klein is line managed by Eleanor Farrington, the Head of Wellbeing, Confidence and
Connections. Gareth Hughes, the Head of Learning Experience has lead responsibility for
the assurance of high quality advice services at Sunderland SU as outlined in this Advice
Manual. Sunderland SU is currently developing its supervision and case management
activity to ensure that Cheryl has access to colleagues who can help continuously develop
the quality of advice.
Support
Cheryl ensures that, as outlined in the OISC Code of Standards and this Advice Manual, all
key dates that affect your case are written into your case notes. We will, therefore, be able
to provide continuous high quality advice to you. If Cheryl is absent from Sunderland SU, we
will not be able to provide immigration advice but will be able to meet our duties to give
you timely information about your case and its progress.
The Hub Team and Stephen Barksby, Welfare Advisor, have access to Cheryl’s case notes
and email inbox and will be able to access any information about your case for you if Cheryl
is absent. The Hub Team will check Cheryl’s inbox at least once each day if Cheryl is absent
in order to note any new information about immigration cases. If there is any information
which needs to be communicated to you, then Stephen Barksby will ensure that you are
informed and that this is recorded on your case notes on AdvicePro. The Head of Wellbeing,
Confidence and Connections is responsible for ensuring that planning among the Welfare
Advisors keeps your case proceeding as expected.
