symmerise 


At Penumbra, I am currently working for a new service, Intensive Housing Support. As such, we have recently began accepting referrals and I have had initial meetings with the people I support, so can’t discuss reviews, identifying a new activity or completing a specific task but I can talk through an initial meeting.In my current role I work with families affected by substance use.

When I receive a referral from a partner organisation, our assessment of needs form has a box which asks for any information about communicative support needs and gives examples of advocacy worker or interpreter needed. Along with my manager and colleague I helped develop this assessment of needs form for our service to ensure we have the relevant information to put in place additional support for language and communication preferences, should this be required 31.P1 

When attending an initial appointment with a supported person, sometimes the referrer is also present to facilitate an introduction but this is not always the case. At a recent initial appointment I began the appointment by introducing myself and explaining the purpose of our service. I gave them a copy of “My Agreement” which is a document entailing what support will look like for them, what they should expect from the service, what we expect from them as well as GDPR and Data Protection information. This includes appropriate information sharing with partners involved in the persons support, as I have found it is beneficial to be in communication with those involved to ensure we are all on the same page and working together to best support this individual, this is agreed first by the individual and then with all partners involved 31.P7. I explain that I can either go through it with them, or they can read it in their own time and ask any questions at the next appointment, as it is quite a lengthy document.

I followed this up with some initial support questions to promote person-centred support through active participation of shaping how they’re support will look. These questions include “What are your communication preferences? E.g. prefers text contact rather than telephone contact” 31.K36. This allows the individual to be as involved in decisions about their support as possible which I have found allows them to feel more comfortable accepting support 31.P2.

When I carried out these initial support questions, I observed the supported person to be quite nervous. Both the individual and the social worker had said they (JB) had experienced recent thoughts of paranoia and could not accept support without leaving the television on for fear of neighbours listening in. Additionally, JB was wringing her hands whilst talking and talking quite quickly. As such, prior to beginning the questions I explained that these questions were for me to get to know her better and understand how best to support her, however if I iterated that if they felt overwhelming we could stop, equally if there were questions she did not want to answer she did not have to answer them 31.P3. The social worker had gone on to explain a current safe plan was in place for JB should she start using substances again, as she has two teenage children. I asked permission from both the social worker and JB for access to this safe plan so that we can support and apply it if and when appropriate to do so, they both provided permission for this 31.P29 31.K45 . Upon obtaining this safe plan, both myself and colleague will familiarise ourselves with it so that we can carry out if needed and save it to JB’s record on care planner where it is stored securely and can be accessed from31.P30 31.K44.

Another question I ask as part of the initial support questions is “How to best respond to you? E.g. if supported person feeling low, the will present with XYZ – think about what we need to look out for, any indicators or triggers and what they want us to do in that situation”. JB explained that if she becomes avoidant, i.e. not responding to messages/phone calls and cancelling appointments this is a sign that she may be struggling mentally or may be using substances again31.K38. When asked how we can best respond in that situation, JB said to just show up at her house and check in with her 31.P33.

 I recently met with a new family at their home alongside the nurse that referred them. I explained what kind of support I can offer them, including practical, emotional and social support. I also explained that I would meet each family member individually to ensure they each have dedicated support time.31.P13  Often this can mean meeting out with the home to allow for privacy and space to talk. 31.P9 I plan to have the discussion with each member to determine a comfortable place for them and this can change from appointment to appointment, including, going for a walk and meeting at a café 31.P10 31.K41 .The family was receptive of this and suggested to be upstairs when the other member had their initial individual appointment before deciding where to meet from then on.

Meeting each family member individually allows for person-centred supported as they are each given their own support time that is specifically tailored to their needs.31.P15  The family I met with included two brothers in their forties both having difficulties with alcohol and substance use and their mother in her seventies, all living under the same roof. The alcohol use was often causing disputes between the brothers and had previously led to physical altercations which was having an impact on their mum.

 I initially met with the mum at home and both sons were upstairs, so we had privacy to talk freely. As this was the first meeting, I wanted to get a good understanding of her background as well as her current situation and how she was feeling. I wanted to do this so that I could begin to build some rapport with her as we are likely to be working together for a long period so I think it is important that we get to know each other to an extent and take things at a steady pace as it can be quite overwhelming when you first accept support 35.P13. She often referred to her concerns for her children and I reassured her that though this was part of it, her feelings were also valid, and this support was about her.31.P19  She noted she hadn’t received support before and had very few people to talk to about what was going on so was grateful to be able to get it off her chest 31.P8.

We discussed options for her support including where these would be, how frequently they would occur and the initial focuses.35.P16  I introduced a tool we use called I.ROC which help us to identify a baseline for current wellbeing and give us a focus for our support going forward. She said she gets out with her friends twice a month for coffee which she looks forward to, so we discussed doing something similar to give her another opportunity to get out of the house as this seemed to be preferable to her.  In future meetings I would look to learn more about her beliefs, culture and values. As she was comfortable with using public transport, we discussed meeting in town rather than me getting the bus with her, empowering her independence. 35.P28 

We also talked about completing a benefits assessment to ensure that she was receiving everything she was entitled to. I let her know that this could be done at her home or at the office of Cfine, giving her options and choice.35.P29  We agreed that once I had spoken to both brothers, I could look into making this appointment for all of them. I briefly discussed the My Agreement document which explains what she should expect from Penumbra and her support and what we expect from her as well as GDPR and data protection 35.P18 . The My Agreement also mentions our Confidentiality policy within Penumbra which refers to the sharing of information with external agencies who have been established as part of that persons network of care and support. As a service we prioritise communicating and collaborating with external agencies as it has proved to be beneficial for the person we are supporting 31.K37 . I therefore ensure to talk to the supported person about this way of working and ask for their consent both verbal and written, as per the My Agreement, to reach out to partner agencies and feedback our support with the individual to these partners. This also promotes collaboration to the individual and I encourage them to utilise the support available to them 31.P17  As an example, I obtained consent from AD to reach out to another third sector organisation working with him, he gave consent and myself and the other agency discussed his anxiety around attending appointments31.P7 , the other agency suggested offering telephone appointments as an alternative as he has found this to be an effective alternative option rather than cancelling the appointment altogether 31.P12 . I agreed that this is a useful option and is something I have offered with a different supported person as an alternative way of having an initial appointment. We agreed for me to leave the form with her to read through in her own time.
To promote independence even further, I could have suggested that she get in touch with Cfine or that we do it together rather than do it for her. The My agreement document is quite long which is why I only discussed it briefly and left it with her as it was coming to the end of the appointment, but I could have left it until the next appointment and gone through it with her to check she understood everything.

AD had sought support from Redress Scotland service for previous sexual abuse when he was a child. They had since sent out the forms and AD had asked me to support him to complete these forms. We agreed to start reading through the forms at the next appointment, and I reiterated the importance of the 1:1 appointments with no disruptions from other family members 31.P21. I immediately took a trauma informed approach, ensuring I listened to how he wanted to approach filling out these forms and explained he could discuss as little or as much as he wanted to, I ensured to check in with him regularly to see how he was doing 31.P22. We had a conversation about how difficult this may be for him and that we would take it one step at a time, take needed breaks and stop whenever he wanted to and start by just reading through and understanding the forms before addressing the questions themselves, I checked in that he understood what I had said and asked if he had any questions 31.P23. I suggested that we can reach out to Redress to obtain a case worker for AD so that they can keep us right as we fill out the forms as well as answer any questions AD has about the process31.P24. Out with filling the forms, whilst supporting AD I have had conversations with him about the physical and mental affects this trauma has had on him, including a diagnosis of PTSD, symptoms of anxiety and depression and drinking alcohol as a coping mechanism 31.P25. AD was made aware when beginning support that any information we discuss is held confidentially within Penumbra and agreed partners, and the only reason that would change is if I was concerned for his safety or the safety of others. Should that happen, I would, where possible have a conversation with AD first before sharing the information. As this traumatic experience occurred several years ago, there is no current risk of the traumatic experience happening again, however, the impact this has had on AD still shows in his behaviours and presentation today and his safety and welfare of utmost priority. Therefore if I felt he was at risk to himself or others I would alert the appropriate authorities to ensure his safety, as per the “My Agreement” he signed, AD is aware of this 31.P26.

I have recently began supporting an individual (JD) who struggles with feeling very anxious. I observed this first hand at an initial appointment with his nurse, brother and mother.  This has meant that he finds it difficult to engage with services because he is often unable to attend face to face appointments due to working himself up so much that he does not attend. I became aware of this after observing him at an initial meeting with him, his nurse and two other family members, he was visibly shaking, did not speak much and had a shaky voice when he did speak 31.P3 . When arranging an initial appointment, he did not respond to my texts or calls. As two of his other family members were also in support and arranging appointments, I was able to set up an appointment via text message conversation with his brother 31.P431.P16 . Closer to the time of the appointment, he cancelled. I suggested that for the next appointment, rather than have it on a separate day, I could arrange it back-to-back with his brothers appointment, and shorten the appointment to just an initial conversation, to ensure it was less daunting for the supported person, this was agreed to be a good way forward 31.P1 31.P20 . Prior to the appointment I called his brother to confirm both appointments and he said he would let me know about JD’s appointment. I did not hear back from his brother so text to confirm I would attend the brothers appointment and had left room in my calendar to speak with JD. At his brothers appointment, I asked if he had spoken with JD about attending this appointment, and he said he hadn’t, he suggested to speak to him there and then, and I suggested to offer a telephone appointment initially, as it was clear face to face was challenging for JD 31.P5 . JD confirmed that a telephone appointment would be preferred 31.P11. An additional suggestion I made was to have the first appointment with JD alongside one of his other support workers who had known him for a long time, I explained that a familiar support worker may be helpful to make JD more comfortable to engage with the support 31.P12 31.K39 .

I am currently supporting an individual (WM) who struggles with anxiety and panic attacks and by his own self admission, cancels appointments last minute due to feeling overwhelmed and unable to attend the appointment. He noted that at the time of booking the appointment he feels up to it but when it comes to the day of the appointment he doesn't know if he will feel up to attending until waking up that day. As I have a couple of individuals on my caseload who can find it difficult keeping their appointments due to their anxiety, I have tried to approach each individual in different ways to try and make it less overwhelming for them to attend their appointment. For example, using various forms of communication including face to face appointments, telephone correspondence and text message contact gives the supported person options for getting in touch 31.P14 This has included maintaining consistent communication via text and phone call to arrange the appointment but also to send reminders the day before/the day of the appointment, this has proven to sometimes work but not all the time. As such, the next step I have taken is to reach out to my manager during our supervision to discuss further steps that can be taken to take away any further barriers and help these supported people to attend their appointments 31.P6.

At a previous appointment with AD, I completed the Key Contacts form and Contingency Plan form with him. I explained the purpose of these and ensured AD was fully participatory when completing these as I completed them there and then at the appointment, I also asked if he would like a copy of these forms which he declined 31.P27. I checked in to ensure he understood the purpose of the forms and let him know that these can be updated should there be any changes 31.P31.
As part of our morning check in, we have the opportunity to discuss anything pertinent with our current caseloads to allow for problem solving and group learning 31.P28. A further person I am currently supporting DS, has a contingency plan in place agreed with all professionals involved to ensure we are all responding to DS in the same way 31.P34. I attended a multi-agency meeting with partners to discuss and agree on any conflicts in decisions of this contingency plan, ensuring we are all on the same page with DS’ support 31.P35. Following the meeting, I asked my colleague to share a copy of the contingency plan with myself, which the key worker had sent following the meeting 31.P36. This has since been saved securely to DS support record on our secure system, Access Care Planner as per the Confidentiality policy 31.P37. 

As part of continued professional development, I attend regular training relevant to my role. This has included motivational interviewing which is an evidence-based approach of communication to elicit positive behaviour change. It involves a set of communication skills including expressing empathy, developing discrepancy, rolling with resistance and supporting self-efficacy and optimism, I ensure to bring these methods of communication to each of my support appointments 31.K35. As part of the training, it was suggested that if sitting opposite a supported person, we can move our chairs so they are at a right angle, which makes the environment more comfortable for the supported person and ensures the appointment doesn't feel like an interview, if the environment allows I ensure to position the chairs in this way 31.K40.

I completed a further training on Recording Principles which covered the importance of accuracy, clarity, relevance and appropriate level of detail: 
Accuracy and relevance can be achieved through verifying the accuracy of information that I record, summarising and analysing to prevent over-recording of information, distinguishing the relevant from the irrelevant, ensuring a persons record is individual to them, reflecting their circumstances in a way that is personal to them. Records need to be relevant and lead us to question if the information included in a persons record continues to be relevant to their current circumstances and the support they are receiving. Clarity can be achieved by differentiating between fact, observation and opinion. Recording appropriately and capturing enough information with clear rich description is useful. There is a need to balance appropriate level of detail or conciseness with ensuring I record the key information that is needed. Information here was obtained from the training course along with my reflective journal from the course 31.K43.

The difference between fact, opinion and judgment are as follows:
Fact - Something that actually exists or has occured.
Opinion - A view formed about something which is not necessarily based on knowledge or fact. One of the principles states that we will not present opinion, professional or otherwise, as unquestionable fact. Our professional opinions will be clearly owned and presented as such. We will use ‘I’ in our writing to own our professional voices.
Judgment - Can be an opinion expressed as a fact.

When recording and reporting information it is important to differentiate between these. An excerpt from the training states: You must write so that the reader is not left with an interpretation that differs from that which you meant to portray. Think about the meaning that others may make of what you have written. Would a colleague reading what you have written have an accurate picture of the person’s history and current circumstances? Will the child – as an adult later in life - be able to make sense of what was happening and why specific decisions were made? Good recording should enable anyone accessing a record to quickly be able to identify the key concerns and risk and glean a sense of the situation. The record should be able to track changes in needs over time and monitor the outcomes 31.K46.

The principles of active listening are:
- Being completely present throughout the entire conversation, I recently attended a training and the trainer said ensure every support meeting is meaningful and not transactional.
- Maintaining good eye contact, it is important not to have too much or too little eye contact as this can have a negative effect on the support.
- Being aware of and utilising other forms of non verbal communication including facial expressions, hand gestures, body language and posture, paralanguage which includes the pitch, volume and tone of the voice and silence.
- Asking open-ended as opposed to closed questions to encourage elaboration rather than one word responses.
- Reflecting back and paraphrasing what was said to give both myself and supported person a shared understanding.
- Listening to gain understanding rather than listening simply to respond to what was said
- Taking a non-judgmental approach and avoiding offering advice 31.K42.

Knowledge and Understanding

I have read and understood Penumbra’s policy ‘Equality and Diversity’. I have attached a summary of the policy that outlines the work setting requirements on equality, diversity, discrimination and rights:
“This policy seeks to ensure Penumbra does not discriminate on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion and belief, sex or sexual orientation as stated in legislation.
In addition, Penumbra will not discriminate on such grounds as trade union activity, political beliefs, domestic responsibilities, poverty or social exclusion.
Penumbra will abide by the following Health and Social Care Standards:
• I am accepted and valued whatever my needs, ability, gender, age, faith, mental health status, race, background or sexual orientation.
• My human rights are protected and promoted, and I experience no discrimination.”

This policy is underpinned by the following legislation:
This policy will be implemented within the framework of the relevant legislation, which includes:
• Equality Act 2010 including:
o Equal Pay Act 1970
o The Sex Discrimination Act 1975
o The Race Relations Act 1976
o The Sex Discrimination Act 1986
o The Employment Act 1989
o The Disability Discrimination Act 1995
o The Employment Equality (Religion or Belief) Regulations 2003
o The Employment Equality (Sexual Orientation) Regulations 2003
o The Equality Act 2006
• The Equality Act 2010 (Specific Duties) (Scotland) Regulations 2012
• Rehabilitation of Offenders Act 1974
• Employee Rights Act 1996
• Public Contracts (Scotland) Regulations 2015
• Equal Opportunities Commission: Code of Practice
• Department of Education & Employment: Code of Practice
• Commission for Racial Equality: Code of Practice
Additionally, I have completed the training on RBS Mentor ‘Equality and Diversity’ to deepen my knowledge of both the work setting and legal requirements of equality, diversity, discrimination and rights 31.K1.
I have read and understood Penumbra’s Right’s policy which explains my role in promoting individuals rights, choices, wellbeing and active participation as per the policy statement and underpinned by the following legislation:
“Respect for human rights is fundamental to the sustainability of Penumbra and the communities within which we operate.
Penumbra’s philosophy is to promote a human rights culture which helps to empower people to understand and claim their rights. Penumbra will promote these rights through the services and activities we provide and encourage individuals to exercise their rights to the full.
This policy is written to ensure compliance with the following legislation and associated regulations that are relevant to Rights
• Human Rights Act 1998
• Mental Health (Care and Treatment) (Scotland) Act 2003
• Mental Health (Scotland) Act 2015
• Adults Support and Protection (Scotland) Act 2007
• Protection of Vulnerable Groups (Scotland) Act 2007
• Protection of Children (Scotland) Act 2003
• Adults with Incapacity (Scotland) Act (2000)
• Public Interest Disclosure Act 1998
• The Regulation of Care (Scotland) Act 2001
• The Patient Rights (Scotland) Act 2011
• Social Care (Self-directed Support) (Scotland) Act 2013” 31.K2.
As per the Rights policy, to challenge and deal with discrimination, a human rights-based approach is needed. A human rights-based approach means that all forms of discrimination must be prohibited, prevented and eliminated. It requires prioritisation of those people in the most vulnerable situations, who face the biggest barriers to realise their rights.
As per the Equality and Diversity policy, Penumbra states the following:
Penumbra values the people it supports and those important to them and has a duty of care to ensure that all people are treated fairly and without prejudice. Our Commitment is consolidated with the principles of our Equality & Diversity Policy and all members of staff are bound by this.
• Penumbra has an expectation that people we support, those important to them and other stakeholders will not harass or discriminate against our staff and will treat our staff fairly and equally. As we will act upon a member of our staff discriminating or harassing people we support or others 31.K3. Penumbra will also take action upon others harassing or discriminating against our staff. Staff have a duty to make line managers aware of any suspected breaches of this policy, so that appropriate action can be taken (this includes the behaviour or work of third parties) 31.K4.
Contained within Penumbra’s Rights Policy, as part of staff responsibilities, it states “People we support have the right to be aware of how to make a complaint and how to access independent advocacy. Staff can refer to the Complaints Handling Procedure to find out how to best handle complaints should they arise 31.K5. 
My practice is underpinned by the following legislation, statutory codes, standards, frameworks and guidance. The ‘Code of Conduct for Staff and Volunteers’ policy at Penumbra outlines the compliance for the following legislation:
  Adults with Incapacity (Scotland) Act (2000)
  Adults Support and Protection (Scotland) Act 2007
  Data Protection Act 2018
  Human Rights Act 1998
  Mental Health (Care and Treatment) (Scotland) Act 2003
  Public Bodies (Joint Working) (Scotland) Act 2014
  Public Interest Disclosure Act 1998
  Protection of Vulnerable Groups (Scotland) Act 2007
  Protection of Children (Scotland) Act 2003
  The General Data Protection Regulation (UK GDPR)
  The Regulation of Care (Scotland) Act 2001
  Social Care (Self-directed Support) (Scotland) Act 2013
Additionally, my practice is in alignment with the following statutory codes:
The Scottish Social Services Council (SSSC) Codes of Practice (the Codes) set out:
  the standards of practice and behaviour expected of everyone who works in social services in Scotland 
  the standards expected of employers of social service workers in Scotland
In setting out these standards, the Codes are a tool for employers (i.e. Penumbra) and for workers to use to think about how they can continually improve their practice. The Codes let people who use social services and carers know what they can expect from the workers who support them.
Additionally, the standards relevant to my role are the following Health and Social Care Standards:
The Health and Social Care Standards (the Standards) set out what we should expect when using health, social care or social work services in Scotland. They seek to provide better outcomes for everyone; to ensure that individuals are treated with respect and dignity, and that the basic human rights we are all entitled to are upheld.
The objectives of the Standards are to drive improvement, promote flexibility and encourage innovation in how people are cared for and supported. All services and support organisations, whether registered or not, should use the Standards as a guideline for how to achieve high quality care.
Health & Social Care Standards - Principles:
  Dignity & Respect
  Compassion
  Be Included
  Responsive Care & Support
  Wellbeing
Additionally, the framework that is relevant to my role is Penumbra’s Safeguarding Framework which consists of the following policies:
  2.1.11 Safeguarding – Adult Support & Protection
  2.1.12 Safeguarding – Child Protection
  2.1.14 Safeguarding – Online Safety & Mobile Technology
  2.1.15 Safeguarding – Child Sexual Exploitation
  2.1.17 Safeguarding – Modern Slavery & Human Trafficking
  2.1.18 Safeguarding – Prevent Policy
  2.1.19 Safeguarding – Adult Sexual Exploitation
  2.1.20 Safeguarding – Hate Crime
Penumbra staff should have an awareness and understanding of all these policies and be able to act accordingly.
As part of the code of conduct for staff and volunteers, there are several guidance points from Penumbra which I have attached below. These guidance points can be accessed by all staff to work to procedures and agreed ways of working 31.K10:
7.1 Relationships with supported people
Staff must always act in such a way as to promote the wellbeing and interests of people we support. Staff should act with integrity, honesty and respect for the rights, property and residence of the people we support.
Supported people have the right to be listened to and to make their wishes known and to be directly involved in the assessment of their needs so as to maximise their independence. Any interaction with supported people must never compromise the professionalism of the staff member or volunteer.
7.2 Safeguarding
The protection of adults and children is a responsibility of all Penumbra staff and volunteers. Penumbra staff and volunteers must take all reasonable steps to promote safe practice in protecting vulnerable adults and children from harm, abuse and exploitation.
Please refer to Penumbra’s Safeguarding Framework.
7.3 Non-Discrimination
The people we support have the right not to be discriminated against on the grounds of race, nationality, religion or belief, age, gender or sexual orientation or social standing.
For more information please refer to the Policy 2.1.1 Equality & Diversity.
7.4 Privacy & confidentiality
The supported person’s right to privacy and confidentiality must be safeguarded. Any information either on paper or electronically, kept by Penumbra about people we support should be made available to them on request and should only be given to a third party with the prior permission of the person except in an emergency or crisis.
For more information please refer to the following Penumbra policies:
  1.04 Data Protection
  2.1.7 Confidentiality
  2.1.8 Record Keeping
7.5 Video/Online/Mobile Phone Recording
Penumbra staff and volunteers will not covertly record interactions with supported people or colleagues without their knowledge or consent and any instance of such will be considered as misconduct.
If you have good cause to record a meeting or conversation you should:
  Inform anyone you record about the specific purpose of the recording.
  Get their specific consent, such as through a fill-out form, which they must sign.
7.6 Use of Social Media
Use of all social media, blogs, social networks, chat rooms and forums should comply with Penumbra policies. This includes personal accounts. Penumbra staff and volunteers should follow Penumbra’s confidentiality and data protection policies.
Staff and volunteers will never post discriminatory, offensive or libellous comments, or any remarks or statements that may be harmful to Penumbra.
Please refer to Policy 1.13 Social Media.
7.7 Care of the people supported by Penumbra – administration of services
Penumbra staff and volunteers will only initiate or undertake personal tasks that could be reasonably expected to be performed by a caring relative or friend.
7.8 Use of the supported people’s home and property
Penumbra staff and volunteers must remember that when working or volunteering in the home of the people we support that they should only use the facilities or property of the supported person with the prior knowledge and permission e.g. kitchen appliances such as kettles and microwaves, bathrooms etc.
7.9 Gifts Legacies or Wills
Penumbra staff and volunteers must not under any circumstances agree to be the signatory of a supported person’s Will nor should they be a beneficiary to a Will.
Penumbra staff and volunteers must not accept gifts or money from supported people. Small token gifts (to the value of £5) exchanged at Christmas for example are acceptable although preferably these would be something to be shared amongst a team rather than for an individual.
7.10 Finances
Penumbra staff and volunteers must always conduct financial dealings with honesty and integrity. Any misuse of funds belonging to Penumbra or to people supported by Penumbra may result in disciplinary action and will be reported to the police.
Penumbra staff or volunteers may only act as appointee or financial guardian for supported people in very exceptional circumstances and must be authorised by a Senior Manager.
For more information please refer to Policy 2.3.5 Supporting People with their Finances.
7.11 Visiting people supported by Penumbra outside working hours
Penumbra staff and volunteers must maintain a professional relationship with the people we support. It is usually inappropriate to visit or meet supported people outside working hours.
7.12 People supported by Penumbra visiting your own home
It is not appropriate to invite supported people to your own home as this may compromise your professional relationship.
7.13 Social contact with people supported by Penumbra
This should take place within working hours and be on a professional footing. Under no circumstances is it appropriate to form a relationship with supported people as this may compromise professional support. The home telephone numbers of Penumbra staff and volunteers should never be given to people supported by Penumbra.
7.14 Drugs and alcohol
The use of alcohol, drugs and other banned substances is not allowed during working hours. It is not acceptable to arrive at work under the influence of alcohol or drugs or to be smelling of alcohol and such incidents will be dealt with under Penumbra’s disciplinary policy. The illegal use of drugs and other banned substances will be classed as gross misconduct. It is not acceptable to allow supported peoples to buy alcoholic drinks for you or for you to buy alcohol for supported peoples.
For more information please refer to Policy 3.15 Alcohol and Substance Misuse.
7.15 Smoking
Smoking is prohibited throughout our premises (including any vehicles used in the course of Penumbra activities).
Penumbra staff and volunteers who wish to smoke may do so in their own time during scheduled breaks.
Penumbra staff and volunteers will not be permitted to smoke whilst carrying out their duties and responsibilities for Penumbra, even when encouraged or requested to do so by people we support.
Refer to Policy 2.2.2 Smoke Free.
7.16 Meals
It is not acceptable to allow supported people to buy meals for Penumbra staff and volunteers from their own money or for Penumbra staff and volunteers to personally pay for a supported person’s meal.
7.17 Dress and appearance
Penumbra staff and volunteers dress and appearance should be appropriate to the type of work that they carry out. Penumbra staff and volunteers should at all times be clean and tidy and their appearance should not cause offence to supported people.
7.18 External agencies
Penumbra staff and volunteers’ relationship with other agencies should be professional and should reflect Penumbra’s organisational values. The focus should be on working together to meet supported people’s needs and care should be taken to avoid jeopardising the supported person’s relationship with other agencies.
Penumbra staff and volunteers should be informed beforehand of the nature and content of meetings with other agencies to enable them to make a useful contribution.
Penumbra staff and volunteers must arrive at meetings with other agencies on time. Any unavoidable delays should be communicated in advance.
7.19 Ambassador role and public relations
Penumbra staff and volunteers should be aware that they will be perceived as an ambassador for Penumbra when involved in inter-agency working and indeed whenever they are asked for information about their work.
7.20 Customer Service
Penumbra staff and volunteers are expected to remain polite and respectful to all stakeholders.
Stakeholders of Penumbra include all Penumbra staff, volunteers, other related organisations, family members, members of the public and people supported by Penumbra.
7.21 Abuse and Harassment
Complaints of abuse and harassment of people supported by Penumbra or of members of staff/volunteers will always be regarded as an extremely serious matter.
Any allegations of abuse or harassment will be fully investigated under the disciplinary procedure.
Harassment can include bullying, intimidation, sexual harassment or discrimination.
Further information can be in Policy 3.12 Dignity at Work.
7.22 Security of personal property
Penumbra staff and volunteers are responsible for their personal belongings and confidential material when they are working in a supported person’s home. In supported accommodation there may be the facility of a locked cupboard and this can be used for storage by arrangement with the residents.
7.23 Lost property
A description of any lost property together with details of the circumstances should be reported as soon as possible to your line manager.
7.24 Personal vehicles
There is no general requirement from Penumbra for staff or volunteers’ personal vehicles to be used to transport the people we support. Public transport provides a ‘real’ method of getting around and should be encouraged.
7.25 Use of own car at work
If Penumbra staff and volunteers are required to use their own car for work purposes then all staff who drive as part of their job must comply with all statutory requirements of driving on public highways, and any recommended best practice guidance, and must:
  Provide evidence that they hold a current driving licence
  Ensure the vehicle or vehicles used are appropriately insured and have a current MOT
  Provide evidence to their Manager that they have the current documented evidence prior to first expense claim and on an annual basis (copies of documents should be uploaded to Access Workspace)
7.26 Timekeeping
Penumbra staff and volunteers are expected to arrive for work on time. Lack of punctuality places a burden on your work colleagues and is, at the very least, discourteous to supported people. Persistent or unexplained lateness is unacceptable and will be dealt with under Penumbra’s disciplinary procedures.
7.27 Telephone calls
Incoming and outgoing personal telephone calls should be in an emergency only.
7.28 Company Property
All company property must be used honestly, responsibly and efficiently at all times.
7.29 Policies and Procedures
Penumbra staff and volunteers are expected to adhere to all other Penumbra policies and procedures not already mentioned throughout this policy.
7.30 Reasonable Management Instructions
Penumbra staff and volunteers are expected to adhere to any reasonable management request. If Penumbra staff and volunteers believe that a request made by their line manager/supervisor is not reasonable they are encouraged to discuss this with their manager/supervisor informally. If a situation cannot be resolved please refer to the Policy 3.13 Grievance.
7.31 Health and Safety
Penumbra staff and volunteers are expected to adhere to all Penumbra Health & Safety policies and procedures, and to report any accidents or other instances that result in injury to you, colleagues, supported people or any other individual at work 31.K6.
Regardless of my own background, experiences and beliefs, it is my duty to uphold the equality and diversity policy within Penumbra. I am aware of the challenges I may face if my background/experiences/beliefs differ greatly from someone I support and I can reach out to my line manager to determine how best to support this person going forward whilst maintaining the boundary of not brining my own background/experiences/beliefs into the situation 31.K7.
As per the Code of Conduct for Staff and Volunteers Policy, I have attached the following statement: “It is the responsibility of Penumbra staff and volunteers to abide by the intentions and boundaries set by this policy. All staff and volunteers have a responsibility to ensure that good working practices are established and maintained, in relation to all aspects of the work of Penumbra.” 31.K8.
The roles, responsibilities and accountabilities of my manager are also outlined within the Code of Conduct for Staff and volunteers, as follows: “Penumbra staff and volunteers are expected to adhere to any reasonable management request. If Penumbra staff and volunteers believe that a request made by their line manager/supervisor is not reasonable they are encouraged to discuss this with their manager/supervisor informally. If a situation cannot be resolved please refer to the Policy 3.13 Grievance.
Additionally, all of my colleagues are expected to adhere to the Code of Conduct Policy for Staff and Volunteers as described in the following statement: “All Penumbra staff and volunteers will conduct themselves in a manner that supports the values of Penumbra, is respectful of the rights of supported people, carers, colleagues and external partners.” 31.K9 

From Penumbra's Safeguarding: Adult Support and Protection Policy, the policy statement is as follows: Penumbra is committed to the right of everyone we interact with to live a safe life. Where people may face harm, responding effectively and appropriately is a responsibility held by all staff 31.K28.

Indicators of potential harm or abuse can be identified in this list of types of harm within the policy:

Physical Abuse – involving actual or attempted injury to an adult defined as at risk. For
example:
• Physical assault by punching, pushing, slapping, tying down, giving food or medication
forcibly, or denial of medication
• Use of medication other than as prescribed
• Inappropriate restraint (see Rights, Risks and Limits to Freedom: Mental Welfare
Commission 2013 for definition).
Emotional/Psychological Abuse – resulting in mental distress to the adult at risk. For
example:
• Excessive shouting, bullying, humiliation, or manipulation
• Prevention of access to services that would be of benefit to the adult
• Isolation or sensory deprivation
• Denigration of culture or religion.
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Financial or Material Abuse – involving the exploitation of resources and property belonging
to the adult at risk. For example:
• Theft or fraud
• Misuse of money, property or resources without the informed consent of the adult at
risk.
Sexual Abuse – involving activity of a sexual nature where the adult at risk cannot or does not
give consent. For example:
• Incest
• Rape
• Acts of gross indecency
• Inappropriate touching or verbal or physical sexual harassment.
Neglect and acts of omission by others charged with the care of the adult, including ignoring
medical or physical care needs. For example:
• Failure to provide access to appropriate health, social care or educational services.
• Withholding of the necessities of life such as nutrition, appropriate heating, etc.
Exploitation – the deliberate targeting of vulnerable adults for personal benefit.
Discriminatory Abuse – acts of harm based upon individual, cultural or racial aspects of a
person’s identity, for example treating one supported person less favourably than another.
Information Abuse – deliberately giving erroneous or withholding information.
Human Rights Abuse – for example, deprivation of a right to family life or a fair hearing.
Acts of Violence – an attack by a stranger on an adult defined as at risk is an assault; this is
a criminal matter and should be reported to the Police. However, where there is the possibility
that the violence may be part of a pattern of victimisation in a community or neighbourhood,
the local authority’s Adult Protection procedures may also apply in respect of effective multiagency intervention.
Domestic Violence – The police define domestic violence as “any form of physical, nonphysical or sexual abuse which takes place within the context of a close relationship
committed either in the home or elsewhere”. In most cases this relationship will be between
partners (married, co-habituating or otherwise) or ex-partners.
Institutional Abuse – Institutional or organisational abuse is the mistreatment of people
brought about by poor or inadequate care or support, or systematic poor practice. It occurs
when the individual's wishes and needs are sacrificed for the smooth running of a group,
service or organisation.
Grooming – Grooming is when an individual perpetrator tries to ‘set up’ and ‘prepare’ another
person to be the victim of harm, often sexual abuse. It can be perpetrated by someone who is
a family member, friend or acquaintance of an individual as well as someone who is a
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stranger. A grooming process can occur over extended periods. It can be very subtle – those
who are being groomed often do not realise that they are being manipulated, nor do those
close to them.
It is important to note that abuse is not always intentional or deliberate. Particularly with
neglect, there may be no premeditation, but a persistent failure to meet someone’s basic
physical and emotional needs is still harm 31.K29.

Within the policy, it is outlined how and when to report any concerns about abuse, poor or discriminatory practice, resources or operational difficulties: 

Any concern that an adult may be at risk of harm, including anonymous referrals, must be
treated as an urgent priority.
In the event that you become aware an adult may be at risk of harm, or you are told directly by
the person that they are being abused, it is likely that the adult may be feeling vulnerable or
upset at this time.
You should be supportive and reassure the adult by listening carefully. Focus your questions
on helping you understand what may be happening, but do not ask detailed questions - it is
not your role to investigate, simply to understand if there is cause for concern. Your primary
focus should be on identifying if there are sufficient grounds for further action to be required
and ensuring the person is safe and offered compassionate support.
Reporting
• You should advise the adult that you have a duty to pass this information on to your Service
Manager/area Head of Service/Director of Services and that Social Work Services may be
required to be informed to see if further support or protection can be provided. Reassure
the person that the intent of this is to support them. The person may have strong anxieties
about the matter being reported such as a fear of negative consequences from someone
committing harm, or of their personal life being opened up to strangers. It is important to
listen carefully to these concerns whilst maintaining clarity of your duty to report. In your
incident report, record the person's concerns and ensure these are communicated within
any referral so they can be compassionately addressed in any process.
• When you feel it is appropriate to leave the adult who is disclosing the abuse, the
information given by them should be passed on immediately to your Service Manager who
will then inform the area Head of Service and Director of Services as appropriate.
• If you are concerned for the immediate safety and wellbeing of an adult, contact the
emergency services on 999. Do not delay. You can contact your Service Manager once
you are satisfied that the person is safe.
• If you suspect that a criminal act has been committed, for example in cases of physical or
sexual abuse, and the person is not at immediate risk of further harm, you should speak
with your Service Manager or area Head of Service to ensure an appropriate process is
used to gather sufficient information of a suspected criminal act so that an accurate report
to provide to the police is compiled. The police should then be contacted as soon as
possible. If the person is at immediate risk, the police should be contacted immediately
and steps taken to preserve evidence.
• If there is no Service Manager or area Head of Service available, you must contact your
area Management on Call Pager who will provide advice and inform the Director of
Services as appropriate.
• Where abuse due to the use of restraint has occurred, the Mental Welfare Commission
Scotland should also be notified in writing by the Service Manager, area Head of Service
or Director of Services. 
You do not have to be certain that the person meets the three-point test before reporting.
You should report all concerns internally by the above procedures and a decision shall be
made as to whether a referral to the local authority under the Adult Support and Protection
arrangements is required. It is ultimately down to the local authority to determine if the person
meets the three-point test criteria and if they have duties and powers under the act which they
should use.
Any failure to report suspected or confirmed harm will be investigated under Penumbra’s
disciplinary policy.

Where there are concerns harm is being caused by a Penumbra staff member/volunteer
Where there are concerns a Penumbra staff member may be causing harm, it is vital there is 
clear and planned co-ordination of any internal and external investigations. The Service 
Manager must discuss concerns immediately with their area Head of Service or Director of 
Services (or the Senior Manager on out of hours backup if neither are available) to decide if 
any urgent action, such as suspension, is required. HR must also be liaised with immediately, 
if within office hours, or immediately the next working day.
Penumbra has the responsibility to investigate the situation under our conduct policies. 
However, this investigation must not interfere with any investigation being carried out by the 
statutory services on the harm to the individual. It is essential that contact is made with the 
relevant statutory service to inform them of any action taken with staff concerned and ensure 
liaison to plan appropriate actions.
The Service Manager will immediately inform the area Head of Service of all updates and 
developments and will liaise with Human Resources where required.
A copy of any reports written by staff will be given to Human Resources.
Any staff member/volunteer suspected of harming an adult at risk may be suspended pending 
investigation by Penumbra and other agencies such as the Police, the SSSC, the Care 
Inspectorate, and the MWCS. The outcome of the investigation may result in disciplinary 
action being taken against the staff member. The outcome of this action may be dismissal 
(Refer to Policy 3.10 Disciplinary).
If a staff member is suspended by Penumbra pending investigation into any form of harm of 
a supported person, the Care Inspectorate and SSSC will be informed of the suspension and 
the subsequent outcome of any enquiry.
Depending on the SSSC Registration, Human Resources will inform the SSSC of the 
circumstances of an employee leaving Penumbra if any staff member:
• resigns pending a disciplinary based on the harm/neglect or exploitation of a supported 
person, or
• is dismissed from Penumbra following a disciplinary based on harm/neglect or 
exploitation of a service user.
Where the harm is caused by your line manager
It is possible that a staff member may have concerns that a line manager has caused harm. 
In such a scenario, a Penumbra incident report should not be completed initially as the 
manager in question may be able to view it prior to appropriate processes being implemented.
The following should be carried out:
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• Immediately report the matter to the Director of Services, or another Director in their 
absence, or contact Human Resources (see Policy 3.14 Whistleblowing). Outside office 
hours, contact the Senior Manager on the organisational backup.
• Create a written summary of the incident within an email and following discussion with a 
Director/Senior Manager/HR as above, email it to the person you have spoken to.
• In liaison with the Human Resources department, the Director/Senior Manager will 
determine the action required to be taken and will take responsibility for creating an 
incident report within ACP.
• The next level manager shall follow the processes above if the matter is deemed to be 
covered by Adult Support and Protection and/or initiate an investigation under Penumbra’s 
Disciplinary policy. 
• A copy of any reports written by staff may be used as part of the investigatory process.
• Penumbra Policy 3.10 Disciplinary will be referred to and suspension from duty of the 
member of staff may be considered in order to protect the supported person from further 
harm.
The next level manager will report any incidents to the Care Inspectorate within 24 hours and
will report the incident to the SSSC with support from HR 31.K30.

As per the Lone Working policy:

All Penumbra staff are expected to take all reasonable steps to:
• ensure their own safety;
• ensure the safety of others;
• understand and follow this policy and associated lone working procedures;
• promptly inform their line manager of any incidents or concerns surrounding their
safety or that of supported people and colleagues;
In the event of a critical incident whether or not any injuries are sustained, staff are required
to:
• Notify their line manager as soon as possible
• Follow local communication procedures to notify colleagues
In the event of mobile telephone signal failure staff should utilise:
• Appendix One (Contingency Plan in the Event of Mobile Telephone Signal Failure)
and if required,
• Appendix Two (Contact Person Notification of Supported Person Visits) 31.K31 

The Penumbra Confidentiality Policy is underpinned by the following legislation:

• Data Protection Act 2018
• General Data Protection Regulations (GDPR)
• Human Rights Act 1998
• Public Interest Disclosure Act 1998
• Adults Support and Protection (Scotland) Act 2007
• Protection of Vulnerable Groups (Scotland) Act 2007
• Protection of Children (Scotland) Act 2003
• Crime and Disorder Act 1998
• The Regulation of Care (Scotland) Act 2001

This policy applies to all Penumbra staff. The data covered by the confidentiality policy includes:
• Information about the organisation for example, its business plans and finances
• Information about other organisations, partners, contractors etc.
• Information about individuals, e.g. people we support and staff where recorded electronically or in paper form.

The following procedures are outlined within the policy:

It is the responsibility of every Penumbra staff member to abide by the intentions and boundaries set by this policy:

• Managers are responsible for ensuring that all staff, particularly new staff, relief and agency staff, contractors and volunteers, know what is expected of them with respect to confidentiality and protecting information. Managers have a responsibility to ensure that good working practices are established and maintained, in relation to confidentiality.
• Staff are responsible for safeguarding the confidentiality of all personal and organisational information to which they have access, transmitted or recorded by any means.
• Staff are personally responsible for any decision to pass on information that they make.
• All Staff, if ever asked to divulge confidential information who has no authority to request this, should report the matter to their line manager immediately. Furthermore, if a staff member hears a Penumbra employee discussing information of a confidential nature in an inappropriate way (e.g., chatting to a colleague in the office or on public transport, telling friends in a social setting), this matter must be reported to a line manager immediately.
• Breaches of confidentiality are taken very seriously by Penumbra with disciplinary procedures used as set out in Policy 3.10 Disciplinary 31.K32 

All procedures set out in Policy 1.04 Data Protection must be adhered to for using, keeping and sharing data.
• A Recovery Team approach demands full disclosure amongst colleagues of information relevant to the wellbeing of a person supported by Penumbra. Access Care Planning, People Planner Service Requirements, I.ROC, HOPE Toolkit and associated support plans, will be discussed at team meetings.
• Care will be taken to avoid any discussion of a person’s support within the hearing of non-team members.
• Other than the provisions made in Exceptions to Confidentiality, information about someone’s support plan will not, except in an emergency, be communicated to any third party.
• Sufficient information, for continuity, may be provided to the carriers of the Management-On-Call Pagers. Pager holders will abide by Penumbra Policies to ensure security of information 31.K33.

Stated within Penumbra's Confidentiality Policy is the following statement:

Penumbra will adhere to principles of honesty, openness and transparency in all its operational and organisational activities. There are times however when some information held by the organisation has to be regarded as confidential. In such circumstances all staff are required to maintain strict confidentiality regarding such information.

Penumbra is a voluntary organisation working in partnership with local authorities and is required to follow local safeguarding procedures when abuse is brought to attention. All staff receive annual safeguarding training and have access to the Safeguarding Framework.

This policy should be read in the context of Penumbra’s Safeguarding Framework which consists of the following policies:
• 2.1.11 Safeguarding – Adult Support & Protection
• 2.1.12 Safeguarding – Child Protection
• 2.1.14 Safeguarding – Online Safety & Mobile Technology
• 2.1.15 Safeguarding – Child Sexual Exploitation
• 2.1.17 Safeguarding – Modern Slavery & Human Trafficking
• 2.1.18 Safeguarding – Prevent Policy
• 2.1.19 Safeguarding – Adult Sexual Exploitation
• 2.1.20 Safeguarding – Hate Crime
Penumbra staff should have an awareness and understanding of all these policies and be able to take action accordingly.

With regards to passing on otherwise confidential information, and outwith the already outlined superseding safeguarding policy, the Confidentiality policy states:

In developing positive and supportive relationships with the local community, only information regarding Penumbra’s overall Vision, Mission and Core Values will be shared. Professional information on people supported by Penumbra or personal information about staff members will not be shared.

6.2 External Agencies
In providing support to people who use our services and activities a network of care and support is established with external agencies. These agencies may include General Practitioner, hospital-based staff, Social Workers, addictions workers etc. Professional practices will be employed to share with these agencies only information relevant to cooperative working relationships in the support of the people who use our services.
We may also engage agencies to provide services to Penumbra, e.g. Peoplesafe & Access (e.g. People Planner, Access Care Planning; Access People etc). In all circumstances Penumbra will ensure agencies contracted to provide a service to the organisation have access to the minimum level of information, maintain the highest security protocols and standards of confidentiality.
During the application/referral process, information will only be sought which is relevant to assisting the application. Penumbra’s confidentiality policy will be communicated on request to all external agencies with which we deal.

6.3 Family, friends & advocates
Confidential information regarding someone who uses our services will only be communicated to family members, legal guardians, and independent advocates, named persons or friends with the consent of the individual concerned 31.K34.