The Scottish Government

Purpose

1. In discharging their duties to children they are looking after local authorities may place them in residential homes of various kinds. The provision and operation of residential homes is subject to the Residential Establishments - Child Care (Scotland) Regulations 1996. This guidance complements the general guidance on children who are looked after by local authorities in chapter 1 of this Volume.

Section 17(6)

2. A residential establishment can provide certain children with advantages in group living; it offers a wider choice of experience, for example in selecting relationships with peers and staff; it can provide a stable setting for programmes of care tailored to meet individual needs including support for the family, education and health. It is an essential resource and part of the overall network of services for children, which should feature in children's service plans.

3. Whether it is appropriate to place a child in a residential home, rather than other types of support or provision, depends on the individual circumstances of the child. It may be suitable in emergency situations and necessary on a longer-term basis where a family placement is ruled out for any reason. It has particular advantages for grouping specialist services on the same site. It can provide a suitable setting for looking after brothers and sisters together.

4. Most children can however be looked after best in a family placement. Children under twelve years of age particularly need the closer comfort and care that a family can offer. Only exceptionally should a child under twelve be placed in a residential establishment, after an assessment of his or her needs indicates that such a placement is appropriate.

Range of Residential Establishments

5. The Regulations apply to any establishment which provides residential accommodation for children and is controlled or managed by the local authority or is one in respect of which a person is required to be registered under section 61 of the Social Work (Scotland) Act 1968 or is a school which is registered voluntarily under section 61A of that Act.

Regulation 3

6.Some responsibilities of the local authority in relation to residential placements are now regulated by the Arrangements to Look After Children (Scotland) Regulations 1996.

Information to the Person in Charge

7. Where a local authority places a child who is looked after by them in a residential establishment it should provide the person in charge with written information about the child's background before he or she is placed and if this is not practicable, because of a change in circumstances, by the time of the first visit. Background information about the child should include his or her health, psychological, social, emotional and physical development, educational requirements and progress. In addition such information should cover any assessment undertaken of emotional or behavioural difficulties or special needs. Where the establishment is providing education and the child's needs are recorded under section 60(2) of the Education (Scotland) Act 1980 a copy of the Record of Needs should also be sent to the person in charge. The child's views about the placement should also be reported, suitably reflecting his or her age and maturity. Due regard should be given to the child's religious persuasion, racial origins and cultural and linguistic background. Any arrangements or conditions about contact with family and friends should be identified.

Regulation 17

8. The responsible authority should also agree with the person in charge a programme for each child which promotes the child's welfare and at the same time provides for development and control. The programme should include arrangements for admission; contact with the family; provision for adequate and efficient education; and for medical and dental treatment. It should identify the roles and responsibilities of the residential key worker, social worker and any other persons responsible for meeting the child's needs, including any special needs.

Statement of Functions and Objectives

9. The managers of each residential establishment in consultation with the person in charge are required to prepare a statement of functions and objectives for the establishment, within six months of the Regulations coming into force. They should ensure that the person in charge reports to them in writing at intervals of not more than twelve months on the implementation of the statement and progress in relation to the development plan for the establishment. They should also ensure that each establishment they provide is visited on their behalf at intervals of not more than six months and that this visit should result in a comprehensive report on the implementation of the statement of functions and objectives for each establishment. Managers may, in consultation with the person in charge, make appropriate amendments to the statement. Copies of the statement (or amended versions) should be made available to children and parents. The managers should also make the statement available, on request, to any local authority or children's hearing considering placing a child in such an establishment.

Regulation 5

10. The statement should provide the establishment with an overall sense of direction. It should describe what the home sets out to do for children; the types of service which it seeks to provide directly or in association with other agencies; the outcomes it seeks to achieve and the timescales. The statement might be organised around the eight principles set out in the report "Another Kind of Home" (HMSO, 1992) ¹

• individuality and development
• rights
• good basic care
• education
• health
• partnerships with parents
• child centred collaboration
• a feeling of safety.

Matters which should be included in the statement are detailed in the annex to this chapter.

11. The statement of functions and objectives should be reviewed regularly. A development plan ² can help to ensure that necessary action is taken to improve performance. It lists key priorities and identifies steps which can be taken to improve performance. The plan should dovetail with the statement and progress should be monitored when the statement is reviewed or more frequently if required. The plan should take the form of a rolling programme with new priorities, which reflect changing circumstances, replacing old priorities as the latter are achieved.

Number of Children who may be Accommodated

12. The managers or the registering authority, in the case of establishments provided by the independent sector, should determine the total number of children who may normally reside in the establishment. In doing so consideration must be given to a number of factors including the characteristics of the children, for instance any special needs; stated functions and objectives; the resources available, particularly the size and characteristics of the building and staffing complement; any additional staff responsibilities, such as outreach work; and the need to meet other requirements, notably health and safety regulations. The need to accommodate emergency admissions, usually on a short-term basis, should also be taken into account. Where the establishment is an independent school, the managers/proprietors should ensure that the accommodation of such emergency admissions does not cause the school to exceed the maximum number of pupils/residents approved by the Registrar of Independent Schools. If that happens, the managers/proprietors of the school must seek approval from the Registrar as soon as possible for a temporary increase in the optimum roll.

Regulation 6

Appointment of Person in Charge

13. The local authority or managers should appoint a person in charge, identify the duties delegated to this post and specify the persons to deputise when the person in charge is absent. In smaller establishments responsibility for deputising may be vested in a member of the care staff, who is suitably qualified and experienced, rather than a dedicated post.

Regulation 7

14. The local authority or managers responsible for a residential establishment must have procedures in place for the appointment and regular vetting of all staff, including sessional, temporary and relief staff, who have substantial access to children. Thorough checks on suitability must also be completed prior to appointment. This should include checks with the Scottish Criminal Records Office (SCRO) on the possible criminal background of those about to be appointed. Other sources of information ³ should also be checked, where appropriate.

Regulation 8

15. Local authorities and managers should have personnel procedures ⁴ to enable them to discharge responsibilities as employers in relation to the selection, development and management of staff. In recruiting and selecting staff local authorities and other organisations should advertise posts externally, take up references, obtain comprehensive employment histories from previous and current employers and complete preliminary and final interviews. The appointment panel should include a member who is independent of the establishment. Following appointment the performance of staff should be monitored closely during the period of probation. The probationary period should be of sufficient time for probationers to demonstrate that they have met the required standards. All staff should receive regular supervision and annual documented appraisal of performance.

16. Staff should also have appropriate training for the work in which they are engaged. Local authorities and other organisations should aim to achieve a position in which 90% of all senior residential child care staff with management or supervisory responsibilities hold the Diploma in Social Work or its equivalent and 60% of care staff are assessed as competent at HNC/SVQ level 3. 30% of care staff should also hold the Diploma in Social Work or its equivalent and 60% should achieve this target in the next decade. The target for senior staff should be achieved by the year 2000 but the HNC/SVQ target for care staff will take longer. Staff should also have regular access to in-service training and the post-qualifying framework, particularly in relation to management and advanced practice.

Quality of Care

17. The welfare of children placed and kept in a residential establishment should be safeguarded and promoted and provision for the care, development and control of the children should aim to be conducive to the best interests of each child. Following the eight principles which are listed in paragraph 10.

Regulation 4

Individuality and development

18 . Children in residential care have a right to be treated as individuals who have their own unique relationships, experiences, strengths, needs and futures, irrespective of the needs of other residents. They should be prepared for adulthood and supported until they are fully independent.

19. The child's social worker is responsible for throughcare. This commences prior to admission, includes the period when the child is looked after and continues when the child leaves residential care. Placements in residential establishments should normally be planned following an assessment of the child's needs. The social worker, together with the residential key worker responsible for the child, is responsible for co-ordinating the assessment which should consider all the child's needs, including education and health and any special needs relating to disability. Planning for when the child is no longer looked after should commence before the child is placed in a residential establishment. This is usually assisted by helping the child to maintain links with his or her local community.

20. To ensure that support and developmental opportunities are designed to meet individual needs the child and his or her parents, in most cases, should be actively involved in the related processes of assessment, planning, programmes and reviews. Members of the child's extended family who are likely to play a significant part in his or her care should also be involved in planning.

21. Promoting individuality and development begins with the procedure for admission to the residential establishment. A sense of identity and belonging may also be fostered by the privacy accorded by a single bedroom and personal possessions. Staff, particularly key workers, need to tailor programmes to individual needs and provide, for example, individual counselling and group support. Some children may be affected by disability, cultural or language differences which need to be addressed sensitively in individual programmes. With others the emphasis may be on preparation for independent living.

22. The managers in consultation with the person in charge should, so far as practicable and having regard to the child's wishes and feelings, arrange that every child accommodated in the establishment is able to attend such religious services and to receive such religious instruction as may be appropriate to the child's religious persuasion.

Regulation 14

Rights

23. Children and their parents should be given a clear statement of their rights and responsibilities. They should have a confidential means of making complaints. They should be involved in decisions affecting them and the running of the home. Their rights should be consistently respected.

24. The home or responsible organisation should produce a statement of the rights and responsibilities of children residing in their establishments and convey to children the practical arrangements for them to exercise their rights and responsibilities - notably rights to be involved in decisions about their own lives and the running of the home, their access to a general practitioner, who may, or may not, be the visiting GP, other health professionals and independent advocates. The home or responsible organisation should identify the rules of the home and the responsibilities of children, for instance in maintaining good behaviour. Staff should foster a culture in which children are encouraged to express their views.

25. Each establishment must have a formal complaints procedure which is part of the responsible agency's procedures. The procedure should be easily understood and readily accessible to the children and staff. This procedure should include provision for children to gain access, by such means as private use of a telephone, to a person independent of the establishment, for instance a complaints officer. Complaints should be followed up promptly and thoroughly. The child should be informed, usually in writing, of the outcome. A record should be maintained of the complaint, follow-up and outcome. Staff should receive training to familiarise them with procedures. It is also helpful to review the number and characteristics of complaints on an annual basis to identify any wider implications for practice and management in the establishment.

Good basic care

26. Children residing in residential establishments with or without education, should be given a high standard of personal care. They should be offered new, varied and positive experiences of life, and should be included in the wider community.

27. Buildings should be suited to their purpose. They should be accessible to disabled children and visitors. Smaller units in smaller buildings are more manageable and generally more effective in meeting the needs of children. Location is also important. Key features include a sense of belonging to a community and access to community resources such as schools, health, leisure and transport services. Children's friends should be welcome. The building and fabric should not appear or become neglected. Arrangements for maintenance, repair and refurbishment, including a budget for minor repairs, need to be in place.

28. Food and clothing are important aspects of basic care. Children should not only be given nutritious food but can also be happier about food when they are consulted about the menu and have access to snacks. Children should be encouraged to eat healthily. Advice on providing simple, tasty but healthy meals can be obtained from community dieticians. Other positive experiences for children include their choice of clothes and hair style, which are important expressions of individuality.

29. Children should have some choice of leisure and recreational activities both within the home and the community. When children have special interests, such as music, they should be helped by staff to follow them up. Sufficient resources, including money, equipment and transport arrangements, should be available to the home for children to pursue a reasonable range of interests.

Education

30. Children should be actively encouraged in all aspects of their education, vocational training or employment and offered career guidance. Their individual educational needs should be identified and met.

31. All children have a right to schooling appropriate to their needs and should be offered opportunities for continuing further and higher education beyond statutory school leaving age. Educational progress at whatever level is a powerful means towards achieving a rich and satisfactory adult life. Children cannot develop a sense of self-worth if they have experienced failure and disaffection at school.

32. The managers of the establishment should ensure, in consultation with the appropriate education authority, that each child of school age (see section 31 of the Education (Scotland) Act 1980) residing in the establishment and not receiving education at a school or other place outwith the establishment receives adequate and efficient education which is appropriate to his or her age, ability and aptitude. In making provision for education the managers should take into account the number of children looked after in the establishment for whom education may have to be provided; the age, ability and aptitude of each child; the period for which the child is expected to be looked after in the establishment; arrangements for the provision of education in the establishment including teaching accommodation and facilities and the services of appropriately qualified teaching staff. Chapter 1 of Volume 2 of this guidance on children who are looked after by a local authority sets out the general responsibilities for the provision of education for such children. Chapter 6 on secure care provides guidance on education relevant to all residential schools. Further information is available in "Effective Provision for Special Educational Needs" a report by HM Inspectors of Schools (Scottish Office Education Department 1994).

Regulation 11

Health

33. Children's health needs should be identified and met, they should be encouraged to avoid health risks and to develop a healthy life-style.

34. The managers in consultation with the person in charge should ensure that arrangements are made which are conducive to the good health of the children accommodated. These include the promotion of healthy living and the maintenance of satisfactory hygiene.

Regulation 15

35. The arrangements for the provision of health and medical care are set out in the guidance on children looked after by local authorities. Where practicable, children placed in residential establishments should continue to see the same health care team, thereby ensuring continuity. When a child wishes to see his or her own GP, or the local GP, he or she should normally be able to 'phone the doctor on a confidential basis. Children who require regular medication, for instance asthma inhalers, should be encouraged to manage their own medication provided that this arrangement is consistent with their own safety and the safety of other children residing in the establishment.

36. Each establishment should have a clear policy on children smoking designed to discourage smoking and to provide strong encouragement to give up smoking. Staff should not smoke on duty or in front of children. The aim should be to achieve a smoke-free environment for both children and staff.

Partnerships with parents

37. Children in residential homes and schools should be looked after in ways which maximise the opportunities for parents' continued involvement and for services to be provided in the context of a partnership with parents, wherever this is in the interests of the child.

38. In order to promote shared responsibility, establishments should provide for continued involvement by parents and other family members when this is in the interests of the child. For instance a parent who is suspected of abusing his or her child may not be able to see the child privately, albeit on a temporary basis. Parents should be encouraged to visit and see their child privately. They have an active part to play in planning and reviews which are described in separate guidance on children who are looked after by a local authority. The home or responsible organisation should encourage active participation by producing a statement of parental rights and responsibilities and how these can be exercised. Staff should also receive training to help them work constructively with parents.

39. The adults providing for children's care in residential establishments need to work together to focus on promoting each individual child's welfare, including the development of good health and the provision of education. Residential and non-residential social work staff and staff from education, health, housing and other agencies will need to be involved in order that proper attention is given to children's full range of needs. Field social workers and residential staff have to agree their respective responsibilities for direct face-to-face work with each child in a residential establishment. This will include the frequency and nature of visits by the field social worker to the child, the issues to be addressed in direct work, its purpose and the extent of involvement in day to day decision making.

40. The quality of care and decision making in relation to children looked after is determined not only by the individual actions of responsible agencies, such as education and social work, but also the extent and manner of their collaboration. For instance care staff can reinforce educational gains by encouraging children to participate in extra curricular activities at school and to complete homework. Effective collaboration between care staff and social workers can also be enhanced by clarifying respective roles and responsibilities.

A feeling of safety

41. Children should feel safe and secure in any residential home or school. The creation of a safe and secure environment depends not only on having sufficient male and female staff and management but also on routines, for instance effective hand-over arrangements to promote continuity, and clear boundaries between acceptable and unacceptable behaviour for both children and staff. A child should feel confident that his or her views will be heard. Concerns about the safety of children, for instance possible abuse, should be addressed promptly and in a way which is sensitive to the child's background and stage of development. To ensure effective arrangements each establishment should have child protection procedures agreed with the responsible agency, which are made known to children and staff. Staff should receive training to familiarise them with procedures.

Precautions against Fire and Accident

42. The managers must safeguard the physical well-being and safety of children being looked after in the establishment. Arrangements should take account of the particular needs of children with disabilities.

43. In consulting the fire authority for the area in which the establishment is located the managers must ensure that adequate precautions are taken against fire and that these are reviewed at suitable intervals taking into account any recommendations made by the fire authority. The managers must also ensure that staff and children looked after become familiar, by means of drills and practices, with precautions in the event of fire. A record of drills and practices must be maintained in order to monitor the state of readiness. ⁵

Regulation 9

44. It is the manager's responsibility to ensure that adequate precautions are taken against other forms of accident in the establishment. Staff and, as far as practicable, children should be familiar with such precautions. Safety awareness should also be an integral part of life skills training for children being prepared for independent living. It is good practice ⁶ to maintain a record of accidents which involve children looked after or staff. When a child is involved in an accident the parents and social worker should also be informed.

Regulation 9

Notification of the Death of a Child Looked After

45. In the event of the death of a child who is looked after, arrangements for notification are set out in the separate guidance on children who are looked after by a local authority. The establishment should provide appropriate support for other children and staff, including opportunities to share their feelings, participate in the rituals surrounding death and talk through the implications of loss for themselves.

Care and Control

46. All group living situations have expectations about how people will behave and relate to each other. Residential settings are no exception. Children should be helped to understand what the expectations of their behaviour will be and what will happen if they do not live up to them. It is the responsibility of staff and managers of residential establishments to ensure that this happens.

47. Living and working together is not easy. Tense moments will occur and anger will sometimes erupt. When difficult situations are handled well children can learn constructive ways of coping with stress and anger.

48. Systems of sanctions and control cannot be divorced from systems of management and care practice and planning in the home. It is vital that staff have a sound understanding of the principles and procedures employed for the care and control of children so that they can respond to a child appropriately and with confidence. The child's age and stage of development should always be taken into account in exercising sanctions and control. Staff should not compromise respect for the child, which is central to his or her welfare. It is the behaviour which is unacceptable, not the child.

49. The managers of a residential establishment must determine arrangements for sanctions, relevant to the control of children looked after and in accordance with the stated functions and objectives. Each establishment should have a clear written policy on the management of challenging behaviour, including the use of restraint, and staff should have appropriate training. ⁷ Corporal punishment is not acceptable in residential establishments.

Regulation 10

Personal Records

50. The managers in consultation with the person in charge should ensure that all necessary records, including where necessary health particulars, are maintained in respect of each child accommodated in the establishment. A child's personal record provides a common understanding of the plan for him or her, arrangements made, agreements and decisions which have been reached and the reasons for them. It also enables the implementation of planning decisions to be kept under review.

Regulation 13

51. The record should include all the information about family history, involvement with the authority and progress which is set out in guidance on children who are looked after by a local authority. The record maintained by the residential establishment should include

• date of the placement
• the supervision requirement or provision by reference to which the placement was made
• the views of the child and his or her parents about the placement
• reasons for the placement
• persons notified about the placement
• reports of visits by the child's social worker
• date of termination of the placement
• reasons for ending the placement
• persons notified about the termination of the placement
• arrangements for providing the child with continuing support.

52. Personal records should be comprehensive and up-to-date. They should also include cross-references to other records where more detailed information is held. Records should be checked regularly by the person in charge of the establishment. In addition they should be accessible to the responsible social worker. Arrangements for access to personal records by children under sixteen have been modified by the Age of Legal Capacity (Scotland) Act 1991 as explained in the guidance on children looked after by a local authority.

Log Book

53. The managers in consultation with the person in charge of the establishment should ensure that a log book is maintained of day-to-day events, particularly concerns about individual children. References to individual children entered in this log will be detailed in personal records. In addition other entries such as the use of measures of control, complaints or accidents will be entered in separate logs dedicated to those respective purposes. In order to avoid unnecessary duplication and to facilitate rapid access it is helpful if entries in different logs about the same event are cross-referenced.

Regulation 12

Monitoring Registered Establishments

54. When an establishment ⁸ has been registered under section 62(3) of the Social Work (Scotland) Act 1968 the local authority must satisfy itself that the establishment continues to conform with the requirements of registration . The regulations require that the registering authority visits at least once a year in order to satisfy themselves of this. Visits should be more frequent if this is necessary to ensure the safety and welfare of the children. Local authority establishments are subject to inspection by local authority arms-length inspection units.

Regulation 16

55. Although the Regulations prescribe a minimum of one visit per year it is up to local authorities to determine the number of inspection visits per establishment (whether registered or managed by a local authority). A minimum of two visits per year would be the normal expectation and one of these should be unannounced. ⁹

56. The principles identified in paragraphs 17-41 provide the framework for the registering authority to evaluate the quality of care in homes and establishments.

External Management Arrangements

57. When an establishment is managed by a local authority or agency an external manager should be designated. This is a person who holds overall responsibility for the services provided by the establishment. In local authorities this will normally be a member of staff with responsibility for a number of establishments, for services in a geographical area or for a particular set of functions. In a large independent organisation the external manager may have a similar set of responsibilities. In a small organisation external management may be the responsibility of the Board of Managers or the Board of Governors. The primary responsibility, in conjunction with the person in charge, is to ensure that acceptable standards are maintained. In promoting high standards the external manager should not only be familiar with other monitoring arrangements, for instance, local inspection reports, but should also visit the establishment to talk with and listen to children, parents and staff. The external manager's main tasks are

• monitoring the experience of children
• ensuring that practice complies with legislation, regulations and national and local guidance
• supervising and supporting the person in charge
• ensuring that staff are familiar with their responsibilities and equipped, through training, to perform them
• ensuring that resources, including staffing, the building, furnishing and fittings are sufficient and suited to purpose
• identifying the need for and instigating any necessary changes
• reporting on progress to the managing authority or agency.

Recreational Trips

58. In common with their contemporaries, children looked after in residential establishments should have access to a range of leisure and recreational experiences including excursions, activity based trips and holidays. Careful consideration should be given to the objective of any trip, which should be fully consistent with each child's care plan. Parental consent should be obtained, particularly for outdoor recreational activities which are potentially hazardous. Well planned and controlled trips will include arrangements to ensure the safety and supervision of children and, also, the interests and security of others. The responsible agency should be aware that the successful promotion of trips often depends on sensitivity to public concerns. It should normally be possible to meet the objective of the trip by visiting a destination in the UK. Holiday trips outwith the UK should not be considered for young offenders.