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CHAPTER 31: Allegations Against Staff, Carers & Volunteers (LAST REVISED AUGUST 2011)

AMENDMENTS

This chapter was revised in June 2010 to include the role of the Independent Safeguarding Authority. The changes are highlighted in blue.

For additional detailed guidance in relation to schools, see Guidance for Safe Working Practices for the Protection of Children and Young People in Education Settings.

Section 7, Allegations Against Approved Child-Carers was deleted in August 2011, as the Childcare Approval Scheme is no longer in operation.


Contents

1. Scope
    Threshold Considerations
2. Roles & Responsibilities
3. General Procedures
    Principles
    Confidentiality
    Support to Parents/Children
    Monitoring Progress
    Timescales
4. Allegations Against Staff/Volunteers in Work
    Terminology
    Perspectives
    Reporting Concerns/Suspicions/Allegations
    Initial Consideration of Allegation
    Managing Issues Relating to the Subject of the Allegations
    Response by Children's Social Care & Police CAUI
    1st Strategy Meeting
    Conduct of Enquiry
    2nd and Subsequent Strategy Meetings
    Action Following Section 47 Enquiry and/or Criminal Investigation
    Substantiated Allegations: Referral to List 99, POCA List or Regulatory Body
    Unsubstantiated Allegations
    Actions in Respect of False or Unfounded Allegations
    Disciplinary Procedures
    Recording
    Learning Lessons
    Further Guidance
5. Additional Procedures for Allegations Against Carers: Foster/Short-Break/Lodgings & Approved Adopters
    Terminology
    Principles
    Making a Referral
    Initial Response to a Referral
    Independence of Staff Conducting Enquiry
    Strategy Discussion
    Complaints Procedures
    Conducting the Enquiry/Investigation
    Conclusion of Enquiries
    Other Linked Processes
    Recording
6. Allegations Against Registered Childminders


1. SCOPE

1.1

This procedure and guidance applies whenever it is alleged that a person who works with children has, in any connection with her/his employment or voluntary activity:

  • Behaved in a way that has or may have harmed a child
  • Possibly committed a criminal offence against or related to a child
  • Behaved towards a child in a way which indicates s/he is unsuitable to work with children
1.2

These procedures apply to situations when:

  • There are suspicions or allegations of abuse by a person who works with children in either a paid or unpaid capacity - as a permanent, temporary or agency staff member, contract worker, consultant, volunteer, approved foster carer, child minder or approved adopter
  • It is discovered that an individual known to have been involved previously in child abuse, is or has been working with children
1.3 If concerns arise about the person's behaviour to her/his own children, police and/or Children's Social Care must consider informing her/his employer in order to assess whether there may be implications for children with whom the person has contact at work.
1.4 If an allegation relating to a child is made about a person who undertakes paid or unpaid care of vulnerable adults, consideration must be given to the possible need to alert those who manage her/him in that role.
1.5 The response to private foster carers should be as for any other member of the public (see local private fostering procedures).
1.6 Where relevant, the procedures must be applied in conjunction with those about organised or complex abuse (see Organised & Complex Abuse Procedure).


THRESHOLD CONSIDERATIONS

1.7 Residential social workers, teachers, foster carers, health workers in residential child care establishments, hospital staff and early years professionals are all prohibited by law from applying more than specified types and levels of restraint to those children for whom they are professionally responsible.
1.8 Volunteers who work with children are also expected to maintain standards of conduct comparable to those prescribed for colleagues in paid employment.
1.9 Allegations or suspicions of abuse or neglect by staff, carers, approved adopters or volunteers e.g. physical punishment, use of restraint other than permitted by law or guidance issued by government or professional associations, as well as abuse and neglect as defined in the Recognition & Response Procedure should be considered under these additional procedures.
1.10 A relationship of trust is one where a teacher or other member of staff / volunteer is in a position of power or influence over a child by virtue of the work or nature of activity being undertaken. The Sexual Offences Act 2003 (ss.16-24) sets out a range of criminal offences associated with abuse of the position of trust.


2. ROLES & RESPONSIBILITIES

2.1

Each LSCB member organisation should identify;

  • A named senior officer with overall responsibility for:
    • Ensuring the organisation operates procedures in accordance with LSCB child protection procedures
    • Resolving any inter-agency issues;
    • Liaising with the LSCB on the subject
  • Managers to whom allegations/concerns should be reported (and deputy in his/her absence or if the subject of the allegation): this may be the employee's line manager or a senior manager as designated in the agencies procedures
2.2

Local Authorities should also appoint a designated officer/s to:

  • Be involved in the management and oversight of individual cases
  • Provide advice and guidance to employers and voluntary organisations;
  • Liaise with the police and other agencies
  • Monitor the progress of cases to ensure that they are dealt with as quickly as possible consistent with a thorough and fair process
2.3

Police forces should identify:

  • A senior officer within the professional standards department to:
    • Have strategic oversight of the arrangements
    • Liaise with the LSCBs in the Force area
    • Ensure compliance
  • Unit managers to:
    • Liaise with the local authority designated officer
    • Take part in Strategy Meetings
    • Review the progress of cases in which there is a police investigation
    • Share information on completion of the investigation or any prosecution
2.4 All organisations which provide services for children, or provide staff or volunteers to work with or care for children, should have and operate a procedure for handling allegations consistent with guidance in Working Together to Safeguard Children 2010.
2.5 Any other organisations contracted by agencies working in accordance with these procedures, should be made aware that they are also expected to comply with these requirements.
2.6 The employing or responsible agency must ensure that allegations are investigated and that any justifiable action is taken to ensure that the service is safe for child users.


3. GENERAL PROCEDURES

PRINCIPLES

3.1 Any allegation of abuse must be dealt with fairly, quickly and consistently, in a way that provides effective protection for the child and supports the person who is the subject of the allegation.
3.2

It is not permissible for a member of staff to conduct an enquiry about suspicion or allegation of abuse with respect to a:

  • Relative
  • Friend
  • Colleague, supervisor / supervisee or someone who has worked with her/him previously in any of these capacities
3.3 If, following the conclusion of child protection processes, further enquiries are pursued for the purpose of disciplinary, regulatory or complaint investigation, they should be arranged in a way that avoids the repeated interviewing of children or other vulnerable witnesses.


CONFIDENTIALITY

3.4

Information about an allegation must be restricted to those who have a need to know in order to:

  • Protect children
  • Facilitate enquiries
  • Avoid victimisation
  • Safeguard the rights of the person about whom the allegation has been made and others who might be affected
  • Manage disciplinary/complaints aspects
3.5 A media strategy should be developed with no improper or inadvertent releases of information to the media, in accordance with the Association of Chief Police Officers (ACPO) guidance.
3.6 Police will not normally provide identifying information to the Press / media, unless and until a person is charged. In exceptional circumstances e.g. an appeal to trace a suspect, this confidentiality may be breached, but the reasons should be documented and partner agencies consulted first.


SUPPORT TO PARENTS / CHILDREN

3.7

Parents / carers of a child/ren involved should be:

  • Informed of the allegation as soon as possible provided provision of information and advice does not impede the enquiry, disciplinary or investigative processes (and may need to be told immediately if, e.g. a child requires medical treatment
  • Helped to understand the process involved and kept informed about the progress of the case
  • Told the outcome where there is no criminal prosecution (including the outcome of any disciplinary process except the deliberations/information taken into account in a hearing)
  • Where necessary, helped to understand the outcomes reached (but see above proviso in relation to the provision of advice)
3.8 Children's Social Care or police CAIU, as appropriate, should consider support for a child who may have suffered Significant Harm or a criminal prosecution.


MONITORING PROGRESS

3.9

The local authority designated officer should:

  • Provide advice / support when required or requested
  • Monitor progress of a case, either fortnightly or monthly depending on its complexity, by way of review management planning meetings or liaison with police, Children's Social Care, or the employer as appropriate
3.10 The CAIU should set a target date for reviewing the progress of the case and consulting the Crown Prosecution Service (CPS). Wherever possible this should take place within 4 weeks of the decision to initiate a criminal investigation.
3.11 Dates for subsequent reviews, ideally at fortnightly intervals, should be set at the meeting if the investigation continues.


TIMESCALES

3.12

It is in everyone's interest for cases to be dealt with expeditiously, fairly and thoroughly and that unnecessary delays are avoided. Target timescales will depend on the nature, seriousness, and complexity of the allegation:

  • 80% of cases should be resolved within 1 month
  • 90% within 3 months
  • All but the most exceptional should be completed within 12 months (it is unlikely cases requiring a criminal prosecution or complex police investigation can be completed in less than 3 months)


4. ALLEGATIONS AGAINST STAFF / VOLUNTEERS IN WORK

TERMINOLOGY

4.1

For the purpose of these procedures a 'worker' is a person whose work brings them into contact with children. This includes:

  • Individuals working in a voluntary capacity
  • Agency staff
  • Contract workers (consultants or the self-employed)
  • Those working on or off site e.g. undertaking home visits
  • Temporary and permanent employees


PERSPECTIVES

4.2

An allegation may require consideration from any of the following four inter-related perspectives:

  • Section 47 Enquiries by Children's Social Care
  • Criminal investigation by the police
  • Staff disciplinary procedures of employing agency
  • Complaint procedures of employing agency
4.3 The following procedures deal primarily with Section 47 Enquiries and any associated criminal investigation, as distinct from complaints of poor practice and disciplinary procedures, though exploration of these may reveal abuse and/or neglect.


REPORTING CONCERNS / SUSPICIONS / ALLEGATIONS

4.4 Any allegation of abuse must be reported to the worker's line manager or senior manager as described in internal agency procedures. Within a school this will be the head teacher.
4.5 If the above manager is implicated in the allegation, the concern must be reported to a senior manager or the designated / named person for child protection in that agency. Within a school this will be the chair of governors.
4.6 In either case a record of the report, which is timed, dated and includes a clear name or signature must be made.
4.7 The recipient of an allegation must not unilaterally determine its validity, and failure to report it in accordance with procedures is a potential disciplinary matter.
4.8 Any member of staff who believes that allegations or suspicions, which have been reported to the appropriate manager, are not being investigated properly has a responsibility to report it to a higher level in her/his agency or directly to the local authority designated officer.
4.9 The local authority designated officer must be told, within 1 working day, of all allegations that come to the employer's attention and appear to meet the criteria in paragraph 1 above so that s/he can consult or refer to police and Children's Social Care as appropriate.
4.10 If, for any reason, there are difficulties with following the above procedure, the Whistle Blowing Procedure should be considered or a referral made directly to Children's Social Care and / or the police.
4.11 The need for consultation must not delay a referral, which should be in accordance with Chapter 6 in this manual - Recognising Vulnerability of Children in Particular Circumstances Procedure.


INITIAL CONSIDERATION OF ALLEGATION

4.12

There are up to 4 strands in the consideration of any allegation:

  • A police investigation of a possible criminal offence
  • Children's Social Care enquiries/assessment about whether a child needs protection or services
  • Consideration by an employer of disciplinary action
  • Employer's complaint procedures
4.13 The local authority designated officer and employer should consider whether further details are needed and whether there is evidence / information that establishes the allegation is false or unfounded.


Child Suffering or Likely to Suffer Significant Harm

4.14 If there is cause to suspect that a child is suffering or is likely to suffer Significant Harm, the local authority designated officer should immediately refer to Children's Social Care, who should hold a Strategy Discussion (see Section 5, Strategy Discussion, of the Section 47 Enquiries Procedure)


Criminal Offence Suspected, but Significant Harm Threshold not Reached

4.15 If Significant Harm is not considered an issue, but a criminal offence might have been committed, the local authority designated officer must immediately inform CAIU, conduct discussions and share information with any other agencies involved with the child to evaluate the allegation and decide on any other action required e.g. need for disciplinary action. Children's Social Care must be informed.


Investigation by Police / Enquiries by Children's Social Care not Required

4.16 If clear from the outset, following initial consideration or from the conclusions of the management planning meeting, that neither police nor Children's Social Care need to be involved, the local authority designated officer should discuss the next steps with the employer.
4.17 This discussion must take account of any information provided by the police and Children's Social Care. For further information about options, see Paragraph 4.23 below.


MANAGING ISSUES RELATING TO THE SUBJECT OF THE ALLEGATIONS


Information & Support

4.18 The employer should, as soon as possible, following consultation with the local authority designated officer, inform the subject of the allegation/s. The local authority designated officer should always first consult the police / Children's Social Care if either agency is likely to be involved / a Strategy Discussion needed, in order to agree what information can be disclosed.
4.19 Personnel / Human Relations should be informed of any potential disciplinary investigation.
4.20

The subject of the allegations should be:

  • Advised at the outset to contact her/his Union or professional association
  • Treated fairly and honestly and helped to understand the concerns expressed, processes involved and possible outcomes
  • Kept informed of the progress of the case and of the investigation
  • Clearly informed of the outcome of any investigation and the implications for disciplinary or related processes
  • Provided with appropriate support (via occupational health or employee welfare arrangements where these exist)
  • (If suspended) kept informed about workplace developments


Suspension

4.21

Suspension should not be automatic, but should be considered if:

  • There is cause to suspect a child is at risk of Significant Harm, or
  • The allegation warrants investigation by the police, or
  • The allegation is so serious that it might be grounds for dismissal
4.22 If Children's Social Care or police are to make enquiries or investigate, the local authority designated officer should canvass their views on suspension and inform the employer.
4.23

A decision to suspend or temporarily re-deploy staff rests with the employing agency (school governing body in the case of a school), which should consider:

  • The safety of the child/ren
  • Any impact on the enquiry
  • If a suspended person is to return to work, appropriate help / support e.g. phased return and/or provision of a mentor and how to manage contact with any child/ren who made the allegation
  • The need to make a referral to the Independent Safeguarding Authority


Disciplinary Procedures

4.24 For details relating to disciplinary procedures see Disciplinary Procedures.


Resignations &Compromise Agreements

4.25 All allegations should be followed up regardless of whether the person involved resigns her/his post, responsibilities or a position of trust, even if the person refuses to co-operate with the process. In these circumstances, the need to make a referral to the Independent Safeguarding Authority should be considered.
4.26 Compromise agreements', where a person agrees to resign without any disciplinary action and agreed future reference, must not be used in these cases.


RESPONSE BY CHILDREN'S SOCIAL CARE & POLICE CAIU


General

4.27

The receiving agency (CAIU or Children's Social Care) must in turn:

  • Alert the other agency (Children's Social Care / CAIU)
  • Inform the first line / police force designated manager
4.28 In cases where the local authority designated officer has not been involved in the referral, s/he must be informed immediately of the concerns.
4.29

Arrangements for a Strategy Discussion should be in accordance with the Section 5, Strategy Discussion, of the Section 47 Enquiries Procedure. though:

  • Should be chaired by the relevant senior manager
  • Will require meetings to plan and monitor the enquiry
  • Should be held within 2 working days of receipt of the allegation
4.30 If the Organised & Complex Abuse Procedures are applicable they take priority over those detailed below.


Allegations Against Children's Social Care Staff

4.31 If an allegation is made about any staff member employed by Children's Social Care the service manager must inform the safeguarding manager and head of Children's Social Care, who must ensure that an appropriately senior manager directs the enquiry and chairs the Strategy Meeting.
4.32

Achieving an appropriate degree of independent scrutiny over process and an independent element in the investigation may involve:

  • Appointment of external independent investigator/s to supplement or replace the team and/or to oversee the process
  • Use of staff within the organisation who are sufficiently separate from the line management of those against whom the allegation is made e.g. child protection advisors and manager
  • A reciprocal arrangement with another local authority


Allegations Against Agency Staff

4.33 Allegations against agency staff should also be dealt with by following the procedures in this chapter. The employing agency must (following receipt of legal advice with respect to confidentiality and preservation of integrity of the investigation), be informed of the allegation and the outcome of the enquiry.


Allegations Against Volunteers

4.34 Allegations against volunteers should be dealt with in a manner that is as consistent with the principles and procedures contained in this chapter as is possible.
4.35 The organisation using the volunteer should (following receipt of legal advice with respect to confidentiality and preservation of integrity of the investigation) be informed of the allegation and the outcome of the enquiry.


Allegations Against Staff Working in Regulated Environments

4.36 OFSTED must be notified of any action taken under the child protection procedures in any residential establishment.


1ST STRATEGY MEETING

4.37

A Strategy Meeting should be arranged within 2 working days of the receipt of the allegation or concern with core membership consisting of:

  • Appropriate senior manager to chair the meeting
  • Local authority designated officer
  • Relevant social worker and her/his manager
  • Police CAIU
  • Senior member of the organisation of the worker concerned, but not the line manager of the subject of enquiries
4.38

The following should be invited as appropriate:

  • Those responsible for regulation and inspection of the unit e.g. OFSTED, if applicable
  • Personnel / human resources representatives
  • Consultant paediatrician if sexual abuse alleged
  • Lead / named / designated professional for child protection for the agency in question
  • A representative of the other local authority if the child is placed, or alleged perpetrator is resident there
  • Complaints officer if the concern has arisen from a complaint, or a complaint investigation is in progress
  • A representative of the legal department
4.39 Where the representative of an agency is implicated through an accusation of collusion or failure to respond to previous complaints, it is inappropriate for her/him to attend the strategy meeting.
4.40

The strategy meeting (preferably with a dedicated minute taker) must:

  • Review any previous allegations made against the worker and the establishment
  • Decide whether there should be a Section 47 Enquiry and/or an internal disciplinary investigation
  • Consider the implications arising from the CAIU decision whether or not to investigate an allegation of crime
  • Consider, if a Section 47 Enquiry is appropriate, whether a complex abuse investigation is applicable
  • Scope and plan the Section 47 Enquiry
  • Allocate tasks
  • Set time-scales
  • Decide who to inform
4.41

The meeting must also:

  • Ensure any emergency action needed to protect a child is taken
  • Ensure all children who may be affected directly or indirectly are identified, considered and provided with support, including ex-residents if appropriate
  • Consider (where relevant) which other local authorities should be informed
  • Ensure the investigation is sufficiently independent
  • Make arrangements to ensure the safety of children known to the worker outside of the workplace
  • Make arrangements to inform the child's parents, and consider how to involve them in the investigation and provide support and information during enquiries
  • Consider the safety of children after the enquiry
  • Recommend to employing agency or responsible authority any action required to protect the interests of children whilst enquiries are conducted, including staff transfer, suspension or removal (such action is the responsibility of the employing / responsible agency and is to be taken in the light of details of the individual case and in accordance with 'human resource' procedures agreed with trades union or work place representatives)
  • Agree which manager within each agency will be responsible for co-ordinating the investigation
  • Consider the need to interview other members of staff and ex-members of staff
  • Consider the need for individual support for any workers, including those who are the subject of allegations (e.g. local authority occupational health or employee welfare arrangements)
  • Consider linkage and impact on industrial relations, personnel issues, registration and complaints issues
  • Consider use of any record of video interviews for disciplinary purposes
  • Consider the future of the establishment where it is considered that abuse has pervaded the whole staffing group with the involvement or collusion of managers
  • Consider possible claims for compensation and alert insurers
  • Consider notifying the chief executive / senior officer of the employing agency
  • Identify the information to be shared with the alleged abuser
  • Agree on management of any anticipated media interest
  • Set a date for a further strategy meeting
4.42 The strategy meeting should set a review date within 1 month of the referral being received with a view to concluding the enquiry as soon as possible.


CONDUCT OF ENQUIRY

4.43 The enquiry should take into account any signs or patterns, which could suggest the abuse may be more widespread than it appears and involves other alleged perpetrators or institutions (see Organised & Complex Abuse Procedure).
4.44 During the course of the enquiries, the chair of the Strategy Meeting and the local authority designated officer must be provided with regular progress reports as agreed at the initial strategy meeting.


Sharing Information & Disciplinary Purposes

4.45 Wherever possible police should obtain consent from the individuals concerned to share the statements and evidence they obtain, for disciplinary purposes with the employer and/or regulatory body. This should be done as the investigation proceeds rather than at its conclusion so as to enable police / CPS to share information those agencies consider may be relevant without delay when the investigation or any court case is over.
4.46 If consent is denied, the police will have to be request it formally and consult the police legal team.
4.47 Social workers should adopt a similar procedure to ensure that relevant information can be passed to employers without delay.
4.48 If the person is convicted, the CAIU should also inform the employer immediately so that appropriate action can be taken.


2ND & SUBSEQUENT STRATEGY MEETINGS

4.49

In addition to the issues addressed at the first strategy meeting, subsequent monthly meetings must also address:

  • Progress and results of enquiries
  • Therapeutic and support needs of child/ren
  • Appropriate applications for criminal injuries compensation
  • Support needs of all appropriate staff
  • Future needs of the establishment
4.50 A final strategy meeting must be held at the end of enquiries to plan further actions required.


ACTION FOLLOWING SECTION 47 ENQUIRY & / OR CRIMINAL INVESTIGATION

4.51

Working Together to Safeguard Children 2010 (para.27 appendix 5) makes it clear that 'the police or CPS should inform the employer and local authority designated officer straightaway when:

  • A criminal investigation and any subsequent trial is complete
  • It is decided to close an investigation without charge or
  • It is decided not to prosecute after the person has been charged'
4.52

The information provided by the police and/or Children's Social Care should inform a consequent discussion between the local authority designated officer and employer of next steps which may include:

  • No further action
  • Further investigation to decide how to proceed (usually undertaken by the employer, but the employer may need to commission an independent investigation, dependent on resources and the nature and complexity of the allegation)
  • Summary dismissal
  • Decision not to use the person's services in the future
4.53 The discussion should take into the different standard of proof in disciplinary and criminal proceedings.
4.54 If formal disciplinary action is not required, appropriate action should be instituted within 3 working days.
4.55 If a disciplinary hearing is required and can be held without further investigation, the hearing should be held within 15 working days.
4.56 The investigating officer should aim to provide a report within 10 working days. On receipt, the employer should decide whether a disciplinary hearing is needed within 2 working days and if so it should be held within 15 working days.


SUBSTANTIATED ALLEGATIONS: REFERRAL TO INDEPENDENT SAFEGUARDING AUTHORITY OR REGULATORY BODY

4.57 If the allegation is substantiated and the person is dismissed or the employer ceases to use the person's services, or the person resigns or otherwise ceases to provide her/his services, the local authority designated officer should discuss with the employer whether a referral to the Independent Safeguarding Authority for inclusion on the Children's Barred List and/or the Adults' Barred List is required, or advisable, and the form and content of such a referral.
4.58 The local authority designated officer should also advise whether it is appropriate to make a referral to a professional body or regulatory body e.g. the General Social Care Council, General Medical Council, OFSTED etc.
4.59 If a referral is appropriate the report should be made within 1 month of the conclusion of the case.


UNSUBSTANTIATED ALLEGATIONS

4.60 Where, following initial enquiries, it is concluded there is insufficient evidence to determine whether the allegation is substantiated, the chair of the Strategy Meeting will ensure relevant information is passed to the employing agency. The relevant senior manager of that agency will consider what further action, if any, should be taken in consultation with the local authority designated officer.
4.61 The member of staff concerned must be notified in writing of the outcome and the child and her/his parents should also be informed of the outcome.
4.62

Consideration must be given to:

  • Any support the staff member may need, particularly if returning to work following suspension e.g. phased return, mentor
  • The provision of support or counselling for the child, and if appropriate her/his parents, taking full account of a child's needs if a seemingly false or malicious allegation has been made
  • How to manage any future contact between the member of staff and the child/ren who made the allegation
4.63 Staff conducting disciplinary proceedings need to be informed in writing when the Section 47 Enquiry has been concluded.


ACTION IN RESPECT OF FALSE OR UNFOUNDED ALLEGATIONS

4.64

If an allegation is determined to be unfounded, the employer should:

  • Refer the matter to Children's Social Care to determine if the child is in need of services, or may have been abused by someone else
  • Ask police to consider what action may be appropriate in the rare event that an allegation was deliberately invented or malicious


DISCIPLINARY PROCEDURES

4.65 Any disciplinary process must be clearly separated from a Section 47 Enquiry. Section 47 Enquiries take priority over any disciplinary investigations, and will determine whether the investigations can be carried out concurrently.
4.66 The fact that there may be insufficient evidence to support a police investigation or prosecution should not prevent any action being taken that is necessary to safeguard a child's welfare.
4.67 It may be the allegation was prompted by inappropriate behaviour, not considered sufficiently harmful under the child protection procedures, but may still need to be considered under the disciplinary procedures.
4.68 Following notification that the Section 47 Enquiry and or criminal investigation has been concluded, staff conducting any disciplinary proceeding will have relevant information from Children's Social Care and the CAIU made available to them.
4.69 All possible steps must be taken to avoid repeat interviewing of a child.


RECORDING

4.70 All allegations must be recorded clearly and accurately. Where a child has made an allegation, a copy of the statement / record must be kept on the section of her/his file not open to disclosure, together with a record of the outcome of any investigation. For related criminal or civil proceedings, records may be subject to disclosure
4.71

A clear and comprehensive record must be maintained (by the employing agency) on the worker's confidential personnel file (and a copy provided to the member of staff concerned) of:

  • Any allegations made
  • How the allegation was followed up and resolved
  • Any action taken and decisions reached
4.72

This record will:

  • Enable accurate information to be provided in response to future requests for references
  • Provide clarification in cases where a future Criminal Records Bureau (CRB) disclosure reveals information of an allegation that did not result in a criminal conviction
  • Prevent unnecessary re-investigation if an allegation re-surfaces in the future
4.73 The record should be retained at least until the individual concerned has reached normal retirement age, or for a period of 10 years from the date of the allegation (if longer).


LEARNING LESSONS

4.74 If an allegation is substantiated, the employer should review the circumstances of the case to determine whether there are any improvements to be made to the organisation's procedures or practice to help prevent similar events in the future.


FURTHER GUIDANCE

4.75

Further guidance is available from:

  • Working Together to Safeguard Children HM Government 2010 Section 6.32 to 6.42 and Appendix 5
  • Safeguarding Children and Safer Recruitment in Education: Dealing with Allegations of Abuse Against Teachers and Other Staff DfES November 2006


5. ADDITIONAL PROCEDURES FOR ALLEGATION AGAINST CARERS: FOSTER / SHORT- BREAK / LODGINGS & APPROVED ADOPTERS


TERMINOLOGY

5.1 For the purposes of this procedure, the term 'carer' refers to formally approved foster carers, short break carers and supported lodgings carers who may provide placement/s directly for the local authority or for an independent organisation. This procedure also covers approved adopters, prior to the making of the final adoption order.


PRINCIPLES

5.2 Any allegation of abuse must be dealt with fairly, quickly and consistently, in a way that provides effective protection for the child and supports the person who is the subject of the allegation.
5.3 Fostering / adoption staff should be informed and involved in the Strategy Discussion to provide information and consider the implications for past, current and future placements, and the requirements of panel procedures.
5.4 An allegation may require consideration from 4 inter-related perspectives: child protection, criminal investigation, fostering or adoption panel procedures and the complaints procedure. This manual primarily addresses the child protection perspective.


MAKING A REFERRAL

5.5 Recognition of concerns or an allegation may arise from a number of sources e.g. a report from a child or an adult within a placement, a complaint or information arising from a complaint investigation.
5.6 When a member of staff or other involved professional is suspicious or has received allegations of abuse about a carer, or by a person living within a placement, s/he must report this to her/his line manager.
5.7 The recipient of an allegation should not attempt to determine its validity and failure to report it in accordance with procedures is a potential disciplinary matter.
5.8 If the allegation or child protection concern relates to a placement in another geographical authority, the referral must be made to that authority and dealt with under its local procedures. In these instances the relevant Children's Social Care in Berkshire should assist.


INITIAL RESPONSE TO A REFERRAL

5.9 The social worker receiving the referral must inform her/his 1st line manager.
5.10 If the supervising social worker receives the allegation, her/his team manager must be informed and the referral passed to the team holding case responsibility for the child.
5.11 The relevant team manager for the child and fostering / adoption / family placement team manager (as appropriate) must consult and decide whether the allegation / complaint / concern satisfies the criteria in Paragraph 1 above. If it does, the service, safeguarding managers and the local authority designated officer must be informed and consulted.
5.12 If the concern does not satisfy the criteria of 1.1 or after consultation it is agreed it is not a child protection issue (there may be occasions where children are harmed in the course of managing a child's challenging behaviour), the case may be appropriately responded to through internal management structures. The local authority designated officer may discuss how this is best accomplished with the service provider.
5.13 Where there are disagreements about whether or not the concern is one of child protection, this should be resolved through line managers and the safeguarding manager. Where there is any doubt child protection procedures should be initiated in the first instance.
5.14 The decision and the reasons for it must be clearly recorded on both the child and the carer's files.
5.15 If the matter is to be considered under the child protection process Children's Social Care must discuss the case with the police at the first opportunity and inform them if a criminal offence may have been committed against a child.
5.16 OFSTED must be notified of any allegation against a registerable carer.
5.17 Other local authorities may need to be alerted e.g. if they have a child placed with the carer.
5.18 The manager of the team responsible for the enquiry (see below) should make an immediate assessment of the level of risk to the child/ren in placement (and any need to move them prior to the strategy meeting) in consultation with the investigating social worker, supervising social worker and child/ren's social worker/s and manager/s.


INDEPENDENCE OF STAFF CONDUCTING ENQUIRY

5.19 The close inter-relationship between carers and Children's Social Care and the need to ensure the investigating social worker's independence should be taken into consideration in the allocation and management of any enquiries / investigation.
5.20 The person undertaking the enquiries must not be the child's social worker, or a worker managed by the person with line responsibility for the child/ren.
5.21 It is not permissible for a member of staff to conduct an enquiry about a suspicion or allegation of abuse with respect to a relative, friend, colleague or someone who has worked with her/him previously.


STRATEGY DISCUSSION

5.22 A Strategy Discussion, in the form of a meeting, must be held within 2 working days. If emergency action is required immediately, the strategy meeting should be convened as soon as possible.
5.23

The chair should be independent of management responsibility for the child or carer and the following should be invited:

  • Police CAIU (all first strategy meetings)
  • Child's social worker and manager
  • Supervising social worker (fostering, short breaks, adoption) and manager
  • Social workers for any other children in placement
  • Local authority designated officer
  • The employer's HR representative if the foster carer is an employee of the fostering service provider
  • Child protection advisor
  • OFSTED representative
  • Relevant health and education representatives
5.24

The strategy meeting must consider and record whether any further action is required under the 4 headings:

  • Child Protection
  • Criminal Investigation
  • Fostering or adoption panel procedures


COMPLAINT PROCEDURES

5.25

In addition to planning enquiries in accordance with Section 5, Strategy Discussion of the Section 47 Enquiries Procedure, the meeting should consider the following issues:

  • The significance of any other previous allegations made against the carers or their family or other members of their household
  • Whether the child/ren remain in placement (removal of child/ren should not be an automatic course of action - the decision making should be in the context of the best interests of the child and the information available)
  • Other children currently living in the carer's household, and those previously placed with the carers (including the need for strategy discussions / meetings with regard to any of these children) and what information to be given
  • Any other children the carer may have contact with in other roles e.g. as a child minder or youth worker
  • Any proposed new placements with the carer - should generally be delayed pending the outcome of the enquiry
  • The status of the carers, as co-workers and individuals who have a right to be heard
  • Who will inform the carers of the allegation and when
  • The support to be provided to the child/ren in the placement, including the carer's children e.g. use of advocates
  • Support to be provided for carers from supervising social worker, fostering / adoption / family placement team and other sources
  • How, and when the parents will be informed of the allegations
  • Whether to initiate complex abuse procedures


CONDUCTING THE ENQUIRY / INVESTIGATION

5.26 The Section 47 Enquiry and any police investigation will take place in the Section 47 Enquiries Procedure.
5.27 Enquires must be conducted in the strictest confidence so that information can be given freely without fear of victimisation, and in a way that protects the rights of carers and their families.
5.28 Paragraphs 5.43 - 5.44 apply to enquiries into allegations against carers and if the carer is an employee of the fostering service provider Paragraphs 5.45 to 5.48 apply.


Informing Parents and Those With Parental Responsibility

5.29 Parents of relevant children should be given information about the concerns, advised on the process and outcomes reached. Provision of information and advice must not impede the proper exercise of the enquiry, disciplinary and investigative processes whilst protecting the rights of carers and their families.


Placements

5.30 No further placements of any kind should be made with the foster carers until the enquiry has been concluded (unless the Strategy Meeting decides otherwise.
5.31 The fostering / adoption / family placement service manager should determine the nature of carer/s' payments during the enquiry.


Support for Carers During the Enquiry

5.32 The supportive role of the fostering / adoption / family placement team should be considered at the strategy discussion, which must ensure all involved understand the focus for the supervising social worker is the child and that s/he will be unable to provide unconditional support to the carer.
5.33

When the carer's are informed of the allegation the supervising social worker should explain her/his role to the carer and ensure that the carer is aware of other sources of support. This could be from 1 or more of the following:

  • A friend
  • Local Foster Care Association or
  • The Fostering Network
5.34 Carers who are members of the Fostering Network have access to legal advice (see the Fostering Handbook for details).
5.35 Foster carers should be enabled, through their local authority, to have free access to legal advice.
5.36 Carers must be informed that, if the allegations culminate in court proceedings, witnesses including support workers or friends may be required to give evidence.
5.37

During the course of the investigation carers have the right to:

  • Details concerning the nature of allegations (timing will be dependant upon CAIU and Children's Social Care investigation)
  • Contact details for the relevant managers
  • A copy of the procedures being followed
  • A statement about existing placements
  • A statement about future placements
  • A statement about financial arrangements
  • Make a written statement to the fostering team
  • An indication of the time scale for the investigation
  • Details of independent support and how this may be acquired
  • Receive details in writing of all decisions made and actions taken


CONCLUSION OF ENQUIRIES

5.38

A Strategy Discussion must be held at the conclusion of an enquiry to ensure all information is shared to:

  • Ensure all actions agreed in previous strategy meetings have been completed
  • Agree the conclusions of the enquiry:
    • That the alleged abuse has taken place (papers may or may not be forwarded to the Crown Prosecution Service)
    • The alleged abuse has not been proven but concern may remain
    • There may be standards of care issues that need to be addressed or
    • That the allegation of abuse was not founded
  • Address whether looked after child/ren remain or return to placement
  • Address how best (if applicable) to protect any children in the home including whether or not an initial child protection conference is to be convened
  • Consider counselling / therapeutic needs for those affected by the enquiry
5.39 The concluding strategy discussion record / decisions arising must be put in writing and placed on both the child's and carers' files.
5.40 The team manager responsible for the enquiry must ensure that within 2 weeks of the concluding strategy discussion a letter is sent to all parties, including parents and carers outlining conclusions made and actions to be taken. A copy of this should be placed on the carer's file.


Informing the Fostering / Adoption Panel

5.41

The fostering / adoption / family placement team must review the status of the carers within 28 days of the conclusion of the enquiry and present a review report to the fostering / adoption panel. The report will address:

  • Findings of the enquiry, including if a report has been forwarded to the Crown Prosecution Service
  • What, if any concerns remain
  • Feelings and experience of the carer
  • Views of the family placement / supervising social worker
  • Any implications for the safer caring agreement
  • Training issues
  • Any other issues relevant to an annual review
  • Other information relevant to the child in placement
5.42 This process provides the carer with the opportunity to reflect on their experience and consider what action they might wish to consider. They must be informed of the panel date and information on the complaints and access to files procedures.
5.43

Following the review, the responsible manager must confirm in writing to the carer the recommendation that will be made to the panel along with a copy of the review report. The possible recommendations are:

  • Immediate re-instatement of the carer, if approval and use had been suspended
  • Re-assessment of the carer in relation to the identified concerns
  • The carer remaining on hold pending the decision of the Crown Prosecution Service
  • The carer choosing to resign
  • The concerns are sufficiently serious to warrant termination of approval regardless of whether there is a Crown Prosecution Service decision to prosecute


The Panel

5.44

The panel must consider the following information prior to drawing its conclusions:

  • The review report and recommendation by the supervising social worker
  • Any written submission by the carer/s
  • Minutes from any relevant child protection conference
  • The minutes and decisions from the concluding strategy discussion
5.45 Both the supervising social worker and her/his manager must attend the panel meeting.
5.46 The panel chair should without delay, forward the panel's recommendations to the 'agency decision maker'. The decision maker, informed by the panel's conclusions, must make her/his decision and communicate it in writing to the carer/s. A copy of the letter must be sent to the service manager (fostering / adoption / family placement) for inclusion on the carer's file.


Support for Child After the Enquiry / Investigation

5.47 The team manager responsible for the child must consider whether any additional / individual support should be offered to the child and her/his family at the end of the Section 47 Enquiry.


Support for Carer After the Enquiry / Investigation

5.48 The fostering / adoption / family placement team manager must consider whether any additional / individual support should be offered to the carer and her/his family at the end of the Section 47 enquiry.
5.49 Following conclusion and feedback of the results of the enquiry and any investigation the supervising social worker should offer the carers the opportunity to discuss the process, including its impact on the family and future implications for provision of care.
5.50 Whatever the final outcome, carers should be offered continued advice, support and help from the fostering / adoption / family placement team, using a written agreement to define the period of time, level and quality of support.


Role of the Supervising Social Worker

5.51

The role of the supervising social worker should be to:

  • Be informed of the allegation from the outset
  • Attend the strategy discussions
  • Link with investigating social workers about when to make contact with the carer/s
  • Contact the carer as determined at the Strategy Discussion
  • Ensure the carer receives appropriate information and advice
  • Attend any follow up interview with the carer and her/his family, unless this is judged inappropriate


OTHER LINKED PROCESSES

5.52 If following the conclusion of protection processes, further enquires are pursued for the purposes of the fostering panel, OFSTED or a complaint investigation, they should be arranged in a way that avoids the repeated interviewing of children and other vulnerable witnesses.
5.53 Subject to legal constraints, evidence gathered during an enquiry about allegations against foster carers can be made available to staff responsible for complaints, fostering panel, and OFSTED.
5.54 Consideration must be given by the case responsible team / service manager and the strategy meeting chair about the possibility that the circumstances may meet the criteria for a serious case review (see Serious Case Review Procedure). The safeguarding manager must be consulted and informed of any potential cases.
5.55 The local authority designated officer should advise whether referrals should be made to the Independent Safeguarding Authority or Regulatory Body.


RECORDING

5.56 Any instigation and outcome of a Section 47 Enquiry involving a child placed with foster carers must be notified to OFSTED.
5.57

The supervising social worker should, after the panel has drawn its conclusions and the agency decision maker has communicated her/his decisions to the carer/s, complete a report, including the following information:

  • Name of foster carer/s
  • D.o.b. and ethnicity of foster carer/s
  • Address of foster carer/s
  • Name, d.o.b. and ethnicity of child/ren concerned
  • Nature of Section 47 Enquiry, including date of allegation
  • Panel's conclusions and agency decision i.e. immediate reinstatement of the carer / re-assessment of the carer in relation to the concerns that have been identified / the carer/s remaining on hold depending on the decision of the CPS / carer/s choosing to withdraw / concerns sufficiently serious to warrant termination of approval regardless of whether there is a CPS decision to prosecute
  • Date of outcomes
5.58

This report should be countersigned by the registered manager for the adoption / fostering service and copies sent within 7 working days of receipt of the agency decision maker's decision to:

  • OFSTED
  • Service manager for looked after children
  • The carer
5.59 A copy of the report must be placed in key information at the front of the carer's file.


6. ALLEGATIONS AGAINST REGISTERED CHILDMINDERS

6.1 Whenever an allegation is made against a registered childminder, the following procedures must be followed in addition to those outlined in the Section 47 Enquiries Procedure.
6.2 The local authority designated officer must be informed of the allegation and invited to the Strategy Discussion.
6.3 The social worker must inform the OFSTED early years inspectors of any allegations (relating to her/his own, minded or other children) against a registered childminder.
6.4 A member of OFSTED staff should be invited to the strategy discussion. Her/his role will be to consider the legal implications of continued registration or cancellation.
6.5 Planning must include consideration of all children using the childminder, as well as the implications for any children that have used the facility in the past and the childminder's own children.
6.6 Timing, method and content of information to be shared with parents of other children should be discussed and agreed at the strategy discussion.

End