Policies and procedures

The forums financial control policy is a set of guiding principles or rules that the forum uses to set its direction and follows to manage its assets, resources and funds effectively. All forums must have a financial control policy in place to be able to apply for the DFE participation grant.

If you are a hosted forum you may submit the host’s financial control policy if a forum does not have their own. The forum should ensure that the document in place to support the hosting agreement (contract or memorandum of understanding (MOU)) has information on how financial arrangements work between the two organisations.

The forums financial control policy should include:

• How the forum will conduct its management of financial records.
• Banking arrangements including signatories.
• Guidance on acceptable receipts.
• Cheque payments.
• Petty cash payments.
• Expenses, payments and honoraria.
• Payment documentation – including how and who can authorise payments.
• Payment of staff.
• Managing false claims.
• Other rules.
• A conflict of interest statement for example, ‘No-one can authorise or make payments to themselves, a relative, partner or spouse.’

Forums may also want to review the handbook page on financial management and refer to the guidance on Managing your Parent Carer Participation Grant when developing a finance control policy. You can also watch our online learning session Why do parent carer forums need a financial control policy.

Download an adaptable template:

Financial Control Policy

Digital Signature form

All forums are expected to have a main governance document, which outlines their arrangements. The format of this will vary depending on the legal structure the forum adopts.

If the forum is an unincorporated association, they will need to develop a governance document, often called a constitution. The forum may want to build upon the terms of reference for the steering group that have already been agreed. You can see an example constitution here: forum constitution

A governance document may include: 

• Dissolution – What you will do if you have to close.
• Introduction. 
• Name of forum.
• Beneficiaries.
• Aims and objectives.
• Powers.
• Membership – including who, how to join and how to end membership.
• Steering group – meeting arrangements, officer role, appointment and termination.
• Annual General Meeting (AGM) and Extraordinary General Meeting (EGM) arrangements.
• Finance – decision making and how funds will be used.
• How amendments to constitution will be made.

Forums can access more information and templates from Community Matters or speak to the forums Contact Adviser if they need support.

You can find examples of how to write a constitution below: 

• Resource Centre – Constitutions, a step by step guide
• Designing a Constitution – East Suffolk Council 

Forums that have decided to become a charity will need to review the Charity Commission guidance. There is more information here:  How to write your charity’s governing document

If your forum is a charitable incorporated organisation there is more information here: Setting up a charity: model governing documents

If your forum is a Community Interest Company will need to review the guidance from Companies House and review the templates for governance documents here: Community interest companies: model constitutions and Articles of Association

Steering groups are made up of parent carers who help to set the direction of the forum and oversee its work. All forums will need to develop a governance document which outlines how they operate, and this may include how the steering group operates.
 
When a forum adopts a legal structure, such as becoming a charity or community interest company, it is important to think about how you will ensure this direction of the forum is not left to just a few people. Some forums also have a steering group in addition to the directors or trustees.
 
It is helpful to have terms of reference which outlines the roles of the steering group members especially before a governance document has been created on when this is in addition to directors or trustees.
 
Forums will also want to review the following when developing the terms of reference.

• The forums existing governance document.
• The handbook setting up a steering group page.
• The handbook deciding on a structure page.

Download an adaptable template

The forum should agree a code of conduct to help make sure its actions are transparent, that its representatives act with integrity and to give people confidence in the organisation.

This could include sections on:

• Behaviour – treating people courteously and with dignity and respect
• Confidentiality – following agreed rules for confidentiality after attending meetings. Not sharing information about individuals unless the individual has given permission to share, or there are child protection or legal issues arising.
• Conflict of interest – so members must declare any actual or potential conflict of interest. For example, if a member of the steering group runs a training company that is offering to provide training to the forum.
• Consequences- what happens if the code of conduct is breached. How will this be managed?
• Expectations – so that steering group members know what is expected of them.

The code of conduct should require representatives of the forum including committee members to sign up to abide by the code. It is also important that there is a clear process for what action the forum will take in the event of an individual not abiding by the code.

The Institute of Directors has useful information on developing a code of conduct.

Download an adaptable template:

Code of conduct – example 1

Code of conduct – example 2

Forums will be keen to hear any comment, suggestion or compliment on any aspect of their work to help them develop the forum.

Complaints offer a valuable source of learning to help improve practice. It is good practice for forums to outline how individuals can make a complaint if things go wrong or they are unhappy. Forums should explain how individuals can do this in a policy. Due to the legal structure they have adopted, some forums must have a complaints policy, for example a Community Interest Company. Good complaint handling provides a direct and positive connection between the forum and those using it.

A forums comments, compliments and complaints policy could contain:

• How to make a comment, compliment or complaint to the forum.
• The process to make a complaint both informally and formally.
• What the forum will do.
• How a person can appeal if not happy with the response.
• How the forum monitors and learn from comments, compliments and complaints.
• Any other policies which relate to the policy such as data protection or code of conduct.

Forums may also want to review the guidance Best practice complaint handling guide provided by the Legal Ombudsmen when developing a policy. Forums can also look at our complaints page.

Download an adaptable template

Conflicts of interests may arise where an individual’s personal or family interests, and/or loyalties, conflict with those of a forum. Such conflicts may create problems.  They can: 

• Inhibit free discussion.
• Prevent objectivity.
• Result in decisions or actions that are not in the interests of the forum.
• Risk the impression that the forum has acted improperly.

Having a conflict of interest policy can protect both the forum, and the individuals involved, from any appearance of impropriety. The policy should cover:

• Aims of the policy.
• Define what could constitute a conflict of interest.
• Outline how to declare a conflict of interest.
• Outline how the forum may remove/reduce the conflict of interest.
• Outline how the forum will manage any conflict of interest.
• Outline how the forum will record any conflict of interest.

On occasions, forum may be offered a gift or hospitality. The forum will need to decide if this is appropriate or could be seen as a conflict of interest. It could help to consider the following:

• Is this offer made for reasons of genuine appreciation for something I have done, without any encouragement from me?
• If I accept it, would a reasonable bystander be confident that I could be independent in doing my job?
• Do I feel free of any obligation to do something in return?
• Would I be comfortable if the gift or hospitality was transparent to the public?

Forums may also want to keep a log of any hospitality or gifts it receives. Useful information on creating a conflict of interest policy which forums may want to look at include:

• The handbook Conflicts of Interest page .
• “Conflict of interest policy – template” by Co-operatives UK.
• “Conflicts of interest: a guide for charity trustees” by the Charity Commission.

Download an adaptable template:

Disclosure of interest

Declaration of interest Log

Hospitality Log

The Data Protection (Charges and Information) Regulations 2018 requires organisations, groups and sole trader, processing personal data to register with the Information Commissioner’s Office (ICO) unless they are exempt. If your organisation was established for not-for-profit purposes and does not make a profit, you may be exempt from registration. The Information Commissioner’s Office has an online self-assessment to check if a forum needs to register or not.

If a forum handles personal information about individuals, the forum will still have a number of legal obligations to protect that information under the UK GDPR 2021 rules. Some key principles about data collection are as follows:

• Data must be processed lawfully, fairly and in a transparent manner in relation to individuals.
• Data must be collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes.
• Data collection must be adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed.
• Data needs to be accurate and, where necessary, kept up to date.
• Data needs to be kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data are processed.
• Data must be processed in a manner that ensures appropriate security of the personal data.

A forum’s information data protection policy should be written with these key points in mind. It must include information on how a person can have their data removed from the forum’s records.

Forums also need to think about data in different forms, not just membership. This includes photographs or event attendance lists. If they use external platforms to collect data, for example Microsoft, they need to explain this. Forums will need to think about how they get the permission for using photographs of members of the forum and/or their children, for example photos taken at forum events.

You may want to review the guidance from the Information Commissioners Office (ICO) when developing the policy.

Forums can look at our GDPR and Privacy page for more information.

Download an adaptable template:

GDPR – example 1

GDPR – example 2

The DfE conditions of grant requires that forums keep an asset register for any items over the value of
£500 purchased using the DfE grant. It is good practice for forums to develop a register of their fixed
assets anyway. Assets are the items that the forum has purchased such as computer equipment, printers,
office equipment etc. The register will enable you to keep track of the items that the forum owns and to
know their value.

The register should be in a table or spreadsheet format and should detail:

• The asset number
• A description of the item – e.g., Intel quad core, i7-860, 1tb SATA 4GB DDR.
• Brand – e.g., Hewlett Packard
• Model No.
• Serial No.
• Supplier
• Purchase date
• Purchase price
• Funding stream – e.g., DfE grant / LA grant
• Location – who has the equipment, or the place where its stored
• Depreciation – the decrease in value –
• Current value – depreciation calculation – A useful website that will help you to calculate depreciation is here
• Date of disposal (if applicable)

Download an adaptable template:

template asset register

If you are loaning equipment to forum members it is best practice to update the asset log and get the person to sign an equipment loan form. All assets are the property of the forum and should
not be retained by individual parents who leave the forum.

Download an adaptable template:

equipment loan form

A health and safety policy sets out the forums approach to health and safety. It explains how the forum will manage health and safety and should clearly say who does what, when and how.

Forums who employ people will need to have a health and safety policy. If a forum has five or more employees, you must write your policy down. The main areas a policy must cover include:

• Statement of intent outlining the forums general policy on health and including your commitment to managing health and safety and your aims.
• Responsibilities for health and safety including a list the names, positions and roles of the people in the forum who have specific responsibility for health and safety.
• The practical arrangements you have in place, showing how the forum plans to achieve its health and safety policy aims. This could include, for example, doing a risk assessment, training employees and using safety signs or equipment.

Useful information on creating a health and safety policies which forums may want to look at include:

• “Prepare a health and safety policy” by the Health and Safety Executive.
• “What is a Health & Safety policy and what should it include?” by Ihasco.
• “How To Write A Health And Safety Policy” by TSW Training.

Download an adaptable template

Disagreements or misunderstandings can happen in any group. Having clear grievance, disciplinary and dismissal policies in a forum provides safe and structured ways to manage different types of conflict situations.

The underlying principles for these policies is that they need to be:

• Full, fair and transparent
• Promote informal resolution first
• Encourage a safe a respectful culture for everyone working in the forum

Who are these policies for:

• Forum members (Trustees, directors, steering group members, representatives)
• Staff
• volunteers

What are they for:

Grievance – provides a safe, confidential and structured way for individuals to raise concerns about the forum, including:

• How they have been treated by others in the forum
• Decisions or actions taken by the forum
• Issues related to discrimination, bullying, or harassment
• Breaches of forum values or policies

Disciplinary – Provides a process for the forum to follow when people working for the forum fall below expected standard of behaviour or conduct, including:

• Breaches of confidentiality
• Failure to meet responsibilities
• Misconduct

Dismissal – when the disciplinary process has been followed the person may be dismissed from their role in the forum.

The best practice guide to follow is the ACAS code of practice

More information:

• Discipline and Grievances at work
• Example grievance procedure | Acas
• Handling an employee’s grievance: Grievance procedure – GOV.UKD
• Example disciplinary procedure | Acas
• What dismissal is – Dismissals – Acas

Forums are committed to identifying and eliminating all forms of discrimination, providing equal opportunities to all, promoting diversity throughout the forum, and encouraging all persons to treat each other with respect. All forums will want to support an environment for individuals who are either working for, or supporting the forum in which dignity and respect are paramount and a culture in which bullying, and harassment is unacceptable.
 
Bullying and harassment is not just morally unacceptable but, in most cases, it is also unlawful, so it is good practice for the forum to have a policy which outlines how to manage any suspected incidents. The policy could include:

• A definition of bullying & harassment
• How the forum will respond to bullying and harassment
• What should employees or volunteers should do if they think they are being bullied or harassed
• Formal Procedure to deal with allegations of bullying and harassment
• How the forum can create a positive environment    

Forums may also want to review the handbook page on Bullying and Harassment when developing a policy.
 
Download an adaptable template

Whistleblowing is a specific type of complaint raised when a person, often an employee, reveals information about activity within an organisation or group that is deemed illegal, immoral, illicit, unsafe or fraudulent. The wrongdoing disclosed must be in the public interest. This means it must affect others, for example the general public, or other members of the forum.

Whistleblowers are protected by the law if they are an employee, a trainee, an agency worker or a member of a Limited Liability Partnership. If you are unsure if you are protected you can ask Citizens’ Advice for more information.

The law protects the whistleblower if they report any of the following:

• A criminal offence, for example fraud.
• Someone’s health and safety is in danger.
• Risk or actual damage to the environment.
• A miscarriage of justice.
• The company is breaking the law, for example does not have the right insurance.
• You believe someone is covering up wrongdoing.

Forums will need to have a policy in place which outlines how they will manage incidents of whistleblowing.  The policy will normally:

• Outline what counts as whistleblowing.
• Outline what does not count as whistleblowing.
• Outline who to tell in the forum and what to expect.
• Explain how to make a claim anonymously or confidentially.
• Explain how the forum will respond.
• Explain what the person can do if not happy with how the complaint is handled.

Download an adaptable template

A forum may want to have a separate remuneration policy which assist staff and volunteers in claiming legitimate and reasonable ‘out of pocket’ expenses incurred while conducting activities on behalf of the forum. Some forums have chosen to include this within their financial control policy and therefore may not need a separate policy.

It does not matter which way a forum chooses to record the remuneration process, but it is important the forum have this written down including the amounts and details on how to claim. Things to include:

• What expenses the forum will pay such as travel, refreshments and childcare.
• Amounts that the forum will pay for example 45p per mile for travel.
• The supporting evidence you require for example train tickets showing price and date.
• Who can claim and how to claim.
• Items you will not reimburse.
• Any special arrangements, for example if you require a taxi.

Forums should look at our paying people page for more information

Download an adaptable template:

Expenses Policy

Expense form spreadsheet

Time sheet spreadsheet

Representative banking details

Safeguarding children is vital for parent carer forums as they have a duty of care towards the children with whom they have contact. Having safeguards in place within an organisation not only protects and promotes the welfare of children, but also gives confidence to the steering group and any staff, volunteers, parent carers and the general public. 

It shows the forum’s commitment to protecting children, giving clear signals that the forum takes safeguarding children seriously in all aspects of its activity. The development and implementation of a clear and concise Safeguarding Children policy supported by clearly described procedures is a key requirement of any organisation working with children and families. 

Forums may also want to review the document Keeping children safe in education  when developing a children’s safeguarding policy. Although this guidance is for schools, it contains up to date information on essential information such as descriptions of the indicators of abuse and neglect.

Download an adaptable template:

Children’s safeguarding policy – example 1

Children’s safeguarding policy – example 2

Forums may also come into contact with vulnerable adults. Forums have a responsibility to prevent and report concerns about the abuse, neglect and ill treatment of adults who are at risk of harm. There are legal requirements on statutory bodies under the Care Act 2014, and statutory guidance applying to the voluntary sector across England (Care and Support Statutory Guidance 2018), for organisations to do everything they can to recognise and report abuse quickly and appropriately to keep adults safe, and to prevent such abuse from happening in the first place.

Anyone who is employed or volunteers for or, on behalf of the forum, regardless of the type or amount of contact they have with adults who are at risk of abuse or vulnerable adults, has a role to play in safeguarding and protecting them.  

They must:  

• Know how to recognise potential abuse of adults at risk/vulnerable adults.

• Know what to do when safeguarding concerns arise.

An adult at risk of abuse can be anyone over the age of eighteen, including parent carers, staff or volunteers. Personal characteristics may make an individual more vulnerable for example, disability and communication difficulties, mental illness, or being an older person. Forums need to remember it is the situation around an individual which may increase risk or place them at potential risk of harm. It is therefore vital to be open to the possibility that any adult may be at risk and that this can be temporary or on-going depending on the support and protective factors around them. The development and implementation of a clear and concise Safeguarding Vulnerable Adult policy supported by clearly described procedures is a key requirement of any organisation working with families. 

Forums may also want to review the statutory guidance (Care and Support Statutory Guidance 2018) when developing the policy, in particular section 14.

Download an adaptable template

All parent carer forums aspire to be inclusive and representative of the families in their areas, so that they can effectively represent all parent carers’ voices. Forums are also asked in their grant monitoring about the diversity and reach of the forum. 
 
It is important that forums are transparent about how they are meeting their duties outlined in the Equality Act 2010. The Equality, Diversity and Inclusion policy may include:

• A definition of protected characteristics.
• How the forum will provide equal opportunities and avoid discrimination.
• How the forum will aim to provide access to and participation in services.
• How the forum will create a welcoming environment.         
• How the forum will manage any breaches of policy.
• How the forum will promote equality in the composition of the parent carer forum, recruitment, promotion, and development.
• Monitoring and evaluation of the policy.

Forums may also want to review the Diversity and inclusion toolkit and the handbook section on equality, inclusion and diversity when developing a policy.
 
Forums can access adaptable templates below. These templates are to help parent carer forums to develop policies which are right for them at their stage of development.  Individual forums will need to ensure that the policy meets their needs and enables them to develop a fully inclusive culture.
 
EDI policy for new or developing parent carer forums
ACAS EDI policy which can be adapted to suit
Comprehensive EDI policy for larger or more developed parent carer forums

Forums are often involved in a wide range of activities—from hosting events and meetings to engaging with families and professionals. These activities can carry potential risks. Conducting risk assessments is a vital step in ensuring the safety and success of the forum’s work. Here’s why:

• Protecting forum members and volunteers: Risk assessments help identify potential hazards that could affect forum members, volunteers, or staff—such as lone working, travel, or attending unfamiliar venues. By assessing these risks, the forum can put measures in place to keep everyone safe.
• Ensuring safe and inclusive events: Whether it’s a coffee morning, training session, or large-scale conference, risk assessments ensure that venues are accessible, emergency procedures are in place, and any specific needs (e.g. allergies, mobility, sensory sensitivities) are considered.
• Engaging with families safely: Forum members often engage directly with families, sometimes in sensitive or emotionally charged situations. Risk assessments help ensure that these interactions are handled safely, respectfully, and with appropriate boundaries.
• Meeting legal and funding requirements: Many funders expect forums to demonstrate good governance and risk management. Having documented risk assessments shows that the forum is acting responsibly and professionally. Certain legal structure may have additional responsibilities around risk management e.g. Charities: Charities and risk management GOV.UK
• Preventing disruption and liability: By identifying and addressing risks in advance, forums can avoid incidents that might lead to harm, complaints, or reputational damage. It also helps protect the forum from potential legal or insurance issues. You might want to look at the insurance information on the legal requirements page.
• Promoting confidence and trust: Families, professionals, and partners are more likely to engage with a forum that takes safety seriously. Risk assessments show that the forum is well-organized, thoughtful, and committed to safeguarding everyone involved.

For more information on risk assessments: Risk assessment | Resource Centre

For templates and examples: Managing risks and risk assessment at work – Overview -HSE

Forums recognise that increasingly many people use digital communication methods as a communication tool. The use of these provides many opportunities to improve the way forums communicate, reach out and interact with people and other groups. Whilst these technologies provide exciting opportunities, they are accompanied by dangers and negative consequences, if abused by users. 

Developing an acceptable usage policy provides guidelines about what the forum feels is acceptable use of digital communications including emails and platforms like zoom or teams.

Download an adaptable template

The use of social media sites is growing and is increasingly used as a communication tool now by many more people, including forums. The use of social media provides many opportunities to improve the way forums communicate, reach out and interact with parent carers and other groups.

The development of social media has highlighted that whilst these platforms provide exciting opportunities, they are accompanied by dangers and negative consequences if abused by users, and it is therefore important that forums are clear about how they monitor and use social media. The misuse of social media can have a negative impact upon the forum for example by impacting on the morale of members and the reputation of the forum.

The forums policy should help the forums steering group, employees and volunteers make appropriate decisions and outline the standards the forum observe when using social media. A policy should:

• Outline the platforms the policy relates.
• Who is covered by the policy.
• How the forum uses social media.
• How the forum moderates its social media.
• What is classed as unacceptable behaviour/content.
• How the forum will respond to unacceptable behaviour/content.
• Links to any other policy such as acceptable usage, safeguarding, code of conduct and data protection.

Useful information on creating social media policies which forums may want to look at include:

• The handbook Social Media page.
• “How to Write a Social Media Policy” by Hootsuite.
• “UK Social Media Policy Template for Charities” by Charity Excellence.

Download an adaptable template:

Social media policy – example 1

Social media policy – example 2

Forums will find that complaints are small in number. The majority are handled informally wherever possible or formally using the forums complaints procedure. Most are resolved quickly and sensitively with an outcome acceptable to both parties.

However, there are occasions when complainants behave in an unreasonable manner when raising and/or pursuing concerns. The consequences are the actions of the complainants begin to impact negatively on the day-to-day running of the forum and directly or indirectly the overall well-being of the members of the forum.

Forums may want to outline how they define a persistent or vexatious complaint and will handle them. The policy aim should be to:

• Uphold the standards of courtesy, language and reasonableness that should characterise all communication between the forum and persons who wish to express a concern or pursue a complaint.
• Support the well-being all steering group members and everyone else who has legitimate interest in the work of the forum.
• Deal fairly, honestly, openly and transparently with those who make persistent or vexatious complaints and those who harass, threaten or use inappropriate language towards or concerning members of the forum steering group employees and volunteers.

Download an adaptable template:

Persistent or vexatious complaints policy – example 1

Persistent or vexatious complaints policy – example 2

Forums recognise the importance of creating and maintaining a positive image of the forum. A logo usage policy can provide guidelines for the forum and those they work with about what the forum feel is acceptable use of their logo and organisations name on publications both printed and digital versions.

A logo usage policy can be useful in ensuring that a forums logo is not added to documents the forum has not co-produced. It can help to maintain the trust of parent carers.

The policy should outline when and how the logo can be used and any restrictions. It can also include information about how to get permission to use the forum’s logo, for example on co-produced documents.

Forums will also want to review the handbook Branding pagewhen developing the policy.

Download an adaptable template

Forums play a vital role in representing the voices of families with children and young people with special educational needs and disabilities (SEND). As part of this work, forum members or staff may find themselves working alone—whether attending meetings and events, working alone in an office or working from home. A lone working policy is essential to ensure their safety and wellbeing. Here’s why:

• Safeguarding and wellbeing: Forum members may engage with sensitive topics or vulnerable individuals. A lone working policy helps ensure that appropriate boundaries and safety measures are in place to protect both the worker and the families they engage with.
• Risk awareness and management: Lone working can involve risks such as travel, working alone in an office, or working late hours. A policy helps identify these risks and outlines steps to reduce them—such as check-in procedures, emergency contacts, and safe meeting locations.
• Legal and ethical responsibility: Parent Carer Forums, even as voluntary or community-led groups, have a duty of care to their members. A lone working policy demonstrates a commitment to health and safety, aligning with best practices and legal expectations.
• Clear guidance and support: The policy should provide practical guidance for lone workers—what to do in an emergency, how to report concerns, and who to contact for support. This clarity helps individuals feel more confident and secure in their roles.
• Promoting a culture of safety: Having a lone working policy fosters a culture where safety is prioritised. It encourages open communication, regular check-ins, and mutual responsibility among forum members and coordinators.

Watch a video and read more about lone working from Health and Safety Executive.

Download an adaptable template