Sheffield City Council. Money Management Protocol

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1 Sheffield City Council Money Management Protocol Please read this Protocol carefully as it forms part of the Recognised Provider List application process for Money Management Organisations. Please note that if you are successful in your application to join the Recognised Provider List and you are awarded recognised status, you are required to comply with this Protocol. Background Councils have a statutory duty to make Direct Payments under the Health and Social Care Act 2001 and the Community Care, Services for Carers and Children s Services (Direct Payments) (England) Regulations Sheffield City Council is fully committed to Personalisation to provide people with greater choice and control over the support they receive. It has adopted the principles and practice of self directed support as the Adult Social Care model. Scope of Protocol This Protocol concerns the provision of money management services for Direct Payments recipients. It relates to individuals and organisations that deliver money management as a business activity, rather than family members and friends who may be involved in some elements of money management. The Council intends to automatically contact organisations about this Protocol when they provide services to more than 5 people. Smaller organisations with less than 5 Direct Payment customers may also apply to be included on the Recognised Providers List and comply with this Protocol if they wish to. The Protocol is voluntary and does not constitute a contractual relationship with the Council. As part of the Recognised Providers List (RPL) application process, money management organisations are asked to confirm that they will comply with the Protocol. If the application is successful, the organisation will become a Recognised Money Manager and will be listed as recognised on the Help Yourself Database (see This information will be made available to anyone involved in support planning, including people planning for themselves, their family and friends, external support planners and Social Care staff. Money management organisations will have the RPL logo and the Money Management logo next to their entry on the website. This can be advertised by providers who are awarded the recognised status and, as part of that, are compliant with this Protocol. 1

2 Money management functions include: Receiving Direct Payments from the City Council on behalf of an individual i.e. acting as the Nominated Direct Payment Agent Managing an individual s Direct Payment monies, associated financial transactions and record-keeping Paying support costs, such as invoices and wages, as directed by the individual Underlying Principles Our vision is to ensure that the people of Sheffield are supported to: Be healthy and independent Achieve their full potential Have choice and control of their care and support Be safe Develop support in their communities. Sheffield City Council supports the following core principles which underpin all of the work it undertakes. These principles will help Sheffield City Council to achieve its vision. We would expect Providers who sign up to this Protocol and have Recognised Provider status to support these principles and apply them to the way they do business. The principles provide an approach to promote the rights of people to independence, choice and control. The seven core principles are: Right to Independent Living: Ensure people can get the support they need to be independent citizens. Right to a Personal Budget: Inform people about how much money they can use for their support. Right to Self-Determination: Recognise that with the right support, people can make their own decisions. Right to Accessibility: Provide information in a way that people can understand. Right to Flexible Funding: Enable people to use the money flexibly and creatively. Accountability: People should be accountable for how they use the money and share what they have learnt. Capacity: Recognise people have capacity to make their own choices and stay in control, but may need support to do so. Aims and Objectives The Protocol has been developed to: Provide better outcomes for people using money management services Set standards and benchmarks for services Promote best practice and improve quality in this area of support activity Clearly outline the role and responsibilities of the parties involved in the management of Direct Payments monies Provide process and systems guidance for money management providers 2

3 Aid the development of useful tools for providers e.g. example contracts which could be used with their customers Support the safe growth and development of money management services Recognise providers who have been awarded the RPL and Money Management logos and are signed up to the Protocol and advertise this information on the Help Yourself Database Minimise the likelihood of fraudulent or ineffective management of monies Provide an early warning when organisations may experience difficulty in meeting their requirements. Working Together to Deliver this Protocol By working together both parties aim to improve the customer experience by ensuring a smooth customer journey, providing correct and timely information, delivering good customer service, keeping people safe and enabling appropriate market growth. All parties agree to work together throughout the set up and on-going maintenance of this Protocol. Setting up the Protocol 1. When individuals or organisations have business with 5 Direct Payment customers, a Council officer will make contact with the money management provider. The Council officer will: o Explain the Protocol and its purpose to the provider, including why it exists, who it is aimed at and what it achieves o Clarify and review processes with the provider including what procedures the provider must have in place to sign up to the Protocol (as outlined in point 2 below) o Check that the terms of the Direct Payments Agreement are understood and met by the provider (as outlined in point 3 below) o Invite the provider to apply to join the Recognised Provider List (RPL) to become a recognised Money Management Organisation and to sign up to the Protocol o If the organisation is successful in its application to the RPL, the Council will affirm Recognised status for the provider and log this on published lists o The officer will let the provider know contact details for future queries and dialogue, which will include an identified officer in the Social Care Accounts Service for financial monitoring correspondence. 2. In order to receive recognised status, the money management provider must evidence that they have the following in place: 3

4 o Staff recruitment and selection, training and development must be robust to ensure that all employees have the necessary knowledge, skills and aptitude for their role and the safeguarding of their customers and the promotion of their interests. Employment practices will take account of all current legislation including equal opportunities legislation o The provider should develop internal monitoring and quality assurance systems, relative to the size of business, to maintain and improve standards of service and actively seek customer feedback. Outputs and reports from any such system must be made available to Sheffield City Council on request o The provider will have a confidentiality policy and procedure that abides by the Data Protection Act 1998 o The provider will ensure that they comply with health & safety legislation and all relevant codes of practice or other authoritative guidance o The provider will have sufficient and appropriate insurance for the delivery of services. The provider needs to advise their insurer that they engage in money management activities and to clarify the level of insurance needed to cover loss of customer monies as appropriate o The provider should have a robust complaints procedure which enables their customers to communicate their concerns and feedback to the provider. Providers should keep records of the complaints they receive and should be able to evidence that they have investigated and responded to complaints in an appropriate way For more information about how to demonstrate these standards, please refer to the RPL application form and guidance at 3. The money management provider must demonstrate to the Council that they are compliant with the terms of the Direct Payment Agreement, this includes: o The provider must be clear and transparent about the services that they provide, and will have in place an agreement with the customer which details the service that they will provide along with a clear explanation of the costs involved. This agreement must be signed by the individual or their representative o The provider will ensure that the service is managed effectively in the best interests of the customer o The provider must check whether any of its activities require registration or regulation with any external bodies and comply with any such requirements 4

5 o Bank account(s) and accounting arrangements must be completely separate from company accounts and be set up to keep their customers monies secure and provide transparent recording about how monies are managed and spent o The provider will make available to the Council, on request, all financial records relating to Direct Payments Operating the Protocol On an on-going basis both the Council and the money management provider will work together to deliver the following: 1. The Council will ask for monitoring information at least once a year, via or telephone, in order to establish that contacts are up to date, that there is still compliance with the terms of the Direct Payment Agreement and the Protocol, and to review any operational issues. The Council may also organise a meeting with a provider to look at evidence of compliance and/or explore any particular operational issues 2. The Council will establish a forum for communication with and between providers and organise periodic meetings to promote and share best practice and provide updates 3. The money management provider must continue to maintain and develop their policies, procedures and systems as outlined in point 2 of the Setting up the Protocol section above and which they evidenced to the Council as part of their application to join the Recognised Provider List 4. To continue to meet the terms of this Protocol the provider must continue to abide by the conditions of the Direct Payment Agreement 5. If the provider knows they will have difficulty providing the required financial monitoring information to the set timescales, they will contact the Council in advance to discuss the problems and to agree an appropriate solution Developing Guidance and Tools 1. The Council will take the lead on developing, keeping up to date and sharing information on processes and procedures relating to Direct Payments 2. The Council will work with money management providers to produce and keep up to date an information pack which will contain the following: Glossary of terms Areas of responsibility Contacts Process flowcharts Expected timeframes Guidelines on what is / is not permitted Protocol on collection of individual contributions and dealing with arrears 5

6 3. The Council will develop templates and other useful information in partnership with money management providers and share this as a means of establishing and promoting best practice Minimising Risk 1. Both parties agree to work co-operatively to identify and follow up early warning signs of issues of concern, with a view to resolution at the earliest possible stage. 2. Where concerns are identified, the Council may at any stage take up checks on the provider and request information e.g. annual accounts, to establish that the organisation is operating on a sound basis 3. Should allegations of abuse be made against an individual working for a provider, the provider will co-operate fully with the Council and with appropriate statutory agencies, in the investigation of these allegations. The provider will work with the Council and other agencies as agreed within the South Yorkshire Safeguarding Adults Policy / Procedure to implement the protection plan aimed at both providing support to the individual and preventing further abuse from occurring. See 4. The provider will contact the Council in writing immediately if: The provider becomes aware of anything that might affect their ability to meet any of the conditions outlined in this Protocol The provider becomes aware of anything that might affect their ability to carry out the services that the provider delivers The provider discovers that any of the information they have provided to the Council is untrue, incomplete or misleading in any way 5. In circumstances where the individual chooses to change money management provider, both providers will work together to enable a smooth transfer and a good customer experience 6. Where the provider s business expands rapidly, relative to their size and infrastructure, the Council may wish to meet with the provider to establish that the organisation is equipped to manage the growth, in terms of staffing, systems and resources. The provider will make available any information required by the Council to demonstrate that the business is adequately equipped to deal with the growth Escalation 1. The Council may undertake additional reviews periodically should concerns be identified about a provider s practice or their ability to cope with the levels of business activity, taking into account their infrastructure 2. Where providers do not meet standards set in this Protocol, they will be supported to make the necessary improvements. Ultimately, where organisations consistently fail to adhere to the Protocol, they will be 6

7 removed from the Recognised Provider List and must cease from using the Recognised Provider and Money Management logos 3. The provider recognises that the Council has the right to suspend and remove them from the Recognised Provider List and to prevent them from using the Recognised Provider and Money Manager logos 4. Where serious or numerous concerns have been identified to the Council, the Council will make contact with the provider to look at the issues identified and any other wider implications. The provider will work with the Council to investigate these concerns and to take necessary mitigating action where required. Serious concerns will include allegations of possible abuse arising from the action or inaction of the provider and / or involve the possibility of either the individual or the Council suffering financial loss 5. Where providers do not supply financial monitoring data to the required timescales, the Council will contact the provider to establish whether there are concerns that need addressing 6. The provider should agree to all reasonable requests by the Council to inspect any other records kept in relation to the performance of relevant activities. The provider will respond to requests from the Council within a reasonable timeframe 7. Where complaints and issues are not resolved through the provider s own processes, the Council will act as contact point for escalation and resolution. The Council will progress and monitor these issues as required. Please see the Recognised Provider List Complaints Procedure, downloadable from Becoming a Recognised Provider: Please note that if you are successful in your application to become a recognised provider, you are giving Sheffield City Council consent to post the details of your organisation on their website at You will be identified as a Recognised provider of money management services for Direct Payments recipients. If you are successful in your application to become a Recognised Provider you consent to Sheffield City Council officers having appropriate access to your offices and records to check that your organisation is complying with this Protocol. Sheffield City Council reserves the right to remove from the Recognised Provider List any organisation that refuses reasonable access to offices or records or that fails to meet the standards in this Protocol. 7