To provide guidance on how to identify, analyse, mitigate, manage and record risks that have been identified at any point during the SSAFA Volunteer Operations client casework process.  

It relates to Volunteer Operations Caseworkers and Regional Office Employees.

It covers the reporting and management of all forms of casework risk including safeguarding concerns.

What is risk?

Risk is the probability of an outcome having a negative effect on people, systems, or assets.

We need to identify and manage risk continuously whilst a case is open, so we can carry out casework effectively and safely.

Risk reporting lines:

Where is SSAFA casework risk recorded:

1. In an emergency call 999.
2. For other situations contact your Regional Office to report and discuss.
3. If the risk is Safeguarding related the Regional Office in conjunction with you will complete a Safeguarding reporting form and follow Safeguarding Policy.
4. Mitigations to manage the risk will be put in place and you will be kept fully involved and informed at every step.
5. Record within the client’s Mosaic case the minimum information necessary using ‘Case Notes’.  Please remember these can be viewed by all Assistance Providers invited into the case at Stage 3.

Information must be necessary and relevant to ensure the safety of those involved  just because you have information does not necessarily mean it should be recorded.

This could be as little as ‘a risk has been identified and recorded on the Regional Office Register’.

1. The Regional Office will place a generic ‘warning’ on the client’s Mosaic Person Summary, therefore ensuring that all Regions and other COBSEO casework organisations are aware that a risk exists.
2. The risk will be reviewed by the Regional Office who are responsible for managing the register, and they will keep you informed throughout.
3. As the caseworker you should update the Regional Office in relation to the risk whenever a review is required, or a change occurs.
4. The risk will be marked as ‘inactive’ on the Regional Office Risk Register when either:
   1. The risk has been managed to an acceptable level
   2. The client case has been closed

Whether you have identified the casework risk directly or been informed of it, you are responsible for ensuring it is correctly recorded.  The risk can then be dynamically managed until it is classed as ‘inactive’.

For all forms of risk follow the recording process below:

1. Record all types of risk on the Regional Office Risk Register including Safeguarding
2. Additionally record the risk with other related departments:
   1. Safeguarding Risk - follow the SSAFA Safeguarding Policy and complete the Safeguarding Reporting Form
   2. Reputational Risk - email SSAFA Public Relations
   3. Organisational Risk - email the Casework Support Manager who will ensure it is recorded on the Casework Services Risk Register
3. Add the generic warning to the client’s Mosaic Person Summary - all others will be removed by the Mosaic Team:

4. Record within the client’s Mosaic case

The minimum of information should be recorded to ensure the safety of all those involved.  Consider whether it is necessary and relevant   just because you have information does not necessarily mean it should be recorded:

1. Triage  the ‘details of contact’ are not seen by Assistance Providers therefore information relevant to a caseworker should be recorded here. Examples:
   1. ‘This case must only be worked remotely due to the client’s bail conditions, face to face meetings are not to take place at any point’
   2. ‘Due to an identified risk at the client’s home all face to face visits must be arranged in a public place.  The client’s next-door neighbour has an aggressive large dog who has previously jumped the fence to their property’
2. Case Notes  can be used when the case is at Stage 2 onwards.  These can be viewed by Assistance Providers so ensure the suitability of the information.  Information will also be recorded on the RO Risk Register so keep it minimal. Examples:
   1. ‘A risk has been recorded in relation to this case  remote caseworking only’
   2. ‘SSAFA personnel  ensure you consult the Regional Office Risk Register or contact the Regional Office’

During the caseworking process a risk of any form to the client, volunteer, others involved or SSAFA may be identified at any of the following points:

• Referral Form into the Regional Office

Referring caseworkers and external agencies may identify an early risk in their preliminary information; previous clients may already have a 'warning' recorded on Mosaic.

• Regional Office Client Triage

The client will provide information and must always be asked the Safety Screening Check questions.

• Caseworker calling a client to arrange a visit

Clients may volunteer/divulge further information at this point.  If the visit is to be in person you must include the ‘Caseworker Visit Checklist’ in your conversation.  

• During Casework

At any stage of a case you may identify risks or be alerted to them.

You should consult with all other SSAFA departments or external organisations related to the risk.  This will depend on the type of risk you have identified.

Safeguarding - consult with the SSAFA Safeguarding Team

General - case by case basis

Reputational - consult with SSAFA Public Relations

Organisational - consult and escalate within Volunteer Operations as required

Safeguarding Risk

• Always follow SSAFA Safeguarding Policy and complete the Safeguarding Reporting Form  this will ask you to include the mitigations / identified protective factors
• In many cases it is clear as to the actions you should take, and Safeguarding will contact you to recommend/discuss further mitigations if they are required

Depending on the type of risk identified, mitigations may include but are not limited to:

• No lone caseworking  two caseworkers required
• A female/male caseworker to be allocated
• Caseworking visit to be held in a public place
• Casework to be performed remotely by the Regional Office
• Caseworking must take place remotely, no face-to-face client contact
• The client/individual at risk has been referred/reported to a statutory agency
• The client/individual at risk has been referred/signposted to an additional non-statutory support agency
• A warning letter from the ROM has been sent to the client  caseworking is currently suspended
• The ROM has made the decision to withdraw caseworking services from the client

A risk must be regularly reviewed by the Regional Office until it is defined as ‘inactive’ and recorded as such on the register.  It becomes ‘inactive’ either because:

1. The risk has been reduced to an acceptable level
2. The case is closed

Owners: Heads of Casework Services North and South.

Managers: The Regional Operations Managers (ROMs) are responsible for the management of their region’s worksheet on the shared Risk Register.

MANAGEMENT OF THE REGISTER:

• ROM’s can delegate the day-to-day management to a member of their team who must be Level 3 Safeguarding qualified
• ROM’s must perform a weekly review of their regions Casework Risk Register worksheet, or delegate this to a Level 3 safeguarding qualified RCM
• The Safeguarding team has access to the register for oversight purposes
• All RO employees have edit rights to the register
• All RO employees can search and view the full register including the worksheets for other regions
• Any additions/changes by RCCs must be made in consultation with a line manager
• RO employees should only update an entry on their own region’s worksheet
• If updates are required to other region’s worksheets, ensure they are consulted
• Refer to ‘Casework Risk Register Usage and Completion Guidance’ for information on how to complete the register