CHAPTER 13: Allegations Against Staff, Carers & Volunteers

Principles

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.

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/supervise or someone who has worked with her/him previously in any of these capacities.

Confidentiality

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.

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.

Support to Parents/Children

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

• Informed of the allegation as soon as possible provided that the information and advice does not impede the enquiry, disciplinary or investigative processes (and may need to be told immediately if, for example 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).

Monitoring Progress

The Local Authority Designated Officer (LADO) 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.

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 four weeks of the decision to initiate a criminal investigation.

Timescales

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 one month;
• 90% within three 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 three months).

Terminology

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

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

• Child protection enquiries by Children's Social Care;
• Criminal investigation by the police;
• Staff disciplinary procedures of employing agency.

Reporting Concerns/Suspicions/Allegations

Any concerns/suspicions/allegations which fall within the scope of this procedure (see Section 1, Scope) 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.

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.

In either case a record of the report, which is timed, dated and includes a clear name or signature must be made.

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.

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.

The Local Authority Designated Officer must be told, within one working day, of all allegations that come to the employer’s attention and appear to meet the criteria in Section 1, Scope, so that s/he can consult or refer to police and Children’s Social Care as appropriate.

If, for any reason, there are difficulties with following the above procedure, the whistle blowing procedure (see Whistle Blowing Procedure) should be considered or a referral made directly to Children's Social Care and/ or the Police.

Initial Consideration of Allegation

There are up to three 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.

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

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 8, Strategy Discussion).  

Criminal offence suspected, but Significant Harm threshold not reached

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

If clear from the outset, following initial consideration, 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.

Managing Issues Relating to the Subject of the Allegations

Information and support

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.

Human Resources should be informed of any potential disciplinary investigation.

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

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.

If Children's Social Care or Police are to make enquiries or investigate, the Local Authority Designated Officer should canvas their views on suspension and inform the employer.

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

For details relating to disciplinary procedures see 5.14 below.

Resignations and compromise agreements

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.

Response by Children's Social Care and Police CAIU

General

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.

In cases where the local authority designated officer has not been involved in the referral, s/he must be informed immediately of the concerns.

Arrangements for strategy discussions should be in accordance with 7.8, though:

• Should be chaired by the Local Authority Designated Officer;
• Will require meetings to plan and monitor the enquiry;
• Should be held within two working days of receipt of the allegation.

If the complex abuse procedures are applicable (see Organised and Complex Abuse) they take priority over those detailed below.

Allegations against Children's Social Care staff

If an allegation is made about any staff member employed by Children's Social Care the manager of the service must inform the safeguarding manager (Assistant Director Quality and Safeguarding,) and Assistant Director Children's Social Care, who must ensure that an appropriately senior manager directs the enquiry and consults with the Local Authority Designated Officer.

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

• Securing paper records as well as electronic referral details;
• 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 co-ordinators and manager;
• A reciprocal arrangement with another local authority.

Allegations against agency staff     

Allegations against agency staff should also be dealt with by following the procedures in this Section. 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 Students on Placement

Allegations against students should also be dealt with by following the procedures in this Section. A representative from the relevant college should be contacted and involved in any strategy discussion.

Allegations against volunteers

Allegations against volunteers should be dealt with in a manner that is as consistent with the principles and procedures contained in this Section as is possible.

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

First Strategy Meeting

A strategy meeting should be arranged within two working days of the receipt of the allegation or concern with core membership consisting of:

• Local Authority Designated Officer to chair the meeting;
• Relevant social worker and her/his manager;
• Police CAIU;
• Nominated Senior Manager of the organisation of the worker concerned.

The following should be invited as appropriate:

• Those responsible for regulation and inspection of the unit e.g. OFSTED, if applicable;
• 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;
• A representative from the employing agency.

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.

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

• Review any previous allegations made against the worker and the establishment;
• Decide whether there should be a s.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 s.47 enquiry is appropriate, whether a complex abuse investigation is applicable;
• Scope and plan the s.47 enquiry;
• Allocate tasks;
• Set time-scales;
• Decide who to inform.

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.

Conduct of Enquiry

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 and Complex Abuse Procedure).

Second and Subsequent Strategy Meetings

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.

Action Following S.47 Enquiry and/or Criminal Investigation

In respect of timescales, individual agency policies should be consulted, the following are timescales all agencies should aspire to, although it is acknowledged that there will be times when the timescales stated below cannot be met.

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.

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.

The discussion should take into account the different standard of proof in disciplinary and criminal proceedings.

If formal disciplinary action is not required, appropriate action should be instituted within three working days.

If a disciplinary hearing is required and can be held without further investigation, the hearing ideally should be held within 15 working days.

Substantiated Allegations: Referral to the Independent Safeguarding Authority or Regulatory Body

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 Adults' Barred List is required, or advisable, and the form and content of such a referral.

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.

Unsubstantiated Allegations

Where, following initial enquiries, it is concluded there is insufficient evidence to determine whether the allegation is substantiated, the chair of the strategy meeting (Local Authority Designated Officer) 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.

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.

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.

Action in Respect of Unfounded Allegations

If an allegation is determined to be unfounded, the employer should, in consultation with the Local Authority Designated Officer:

• 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

Any disciplinary process must be clearly separated from child protection enquiries. Child protection enquiries take priority over any disciplinary investigations, and will determine whether the investigations can be carried out concurrently.

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.

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.

Following notification that the child protection 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. 

Recording

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.

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.

This record will:

• Enable accurate information to be provided in response to future requests for references;
• Provide clarification in cases where a future 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.

Learning Lessons  

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

Further guidance is available from:

Contact Details

The LADO can be contacted on the following number 01908 254300.

Terminology

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

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. 

Fostering/adoption staff should be informed and involved in strategy discussions to provide information and consider the implications for past, current and future placements, and the requirements of panel procedures. 

Making a Referral

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.  

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.   

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.  

Initial Response to a Referral

The social worker receiving the referral must inform her/his team/group manager.

If the fostering 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.

The fostering/adoption/ team manager must consult with The Local Authority Designated Officer for advice. 

If the concern does not satisfy the criteria in Section 1, Scope 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 will discuss how this is best accomplished with the service provider.

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 (Assistant Director Quality and Safeguarding). Where there is any doubt child protection procedures should be initiated in the first instance.

The decision and the reasons for it must be clearly recorded on both the child and the carer's files.

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.

OFSTED must be notified of any allegation which is processed in line with child protection procedures.

Other local authorities may need to be alerted e.g. if they have a child placed with the carer.

Informing parents and those with parental responsibility

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

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).

The manager of the fostering/adoption/ service should determine the nature of carer/s' payments during the enquiry.

Support for carers during the enquiry

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

When the carer's are informed of the allegation the fostering 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 one or more of the following:

• The Fostering Network;
• A friend;
• Local Foster Care Association. or

All MKC approved foster carers are members of the Fostering Network and have access to legal advice (see the Foster Carers Handbook for details).

Carers must be informed that, if the allegations culminate in court proceedings, witnesses including social workers or friends may be required to give evidence.

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

Details concerning the nature of allegations (timing will be dependent 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 timescale for the investigation;
• Details of independent support and how this may be acquired;
• Receive details in writing of all decisions made and actions taken.

Informing the fostering/adoption panel

The fostering/adoption 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 fostering/adoption social worker;
• Any implications for the safer caring  policy;
• Training issues;
• Any other issues relevant to an annual review;
• Other information relevant to the child in placement.

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.

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

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

• The review report and recommendation by the fostering social worker;
• Any written submission by the carer/s;
• Decisions from the concluding strategy discussion.

Both the fostering social worker and her/his manager must attend the panel meeting.

The panel chair should without delay, forward the panel's recommendations to the 'agency decision maker'. The decision maker, informed by the panel's recommendations, must make her/his decision and communicate it in writing to the carer/s. A copy of the letter must be included on the carer's file.

Independent Review Mechanism (IRM)

Following the review being presented to fostering panel and the foster carer receiving a qualifying determination they do not agree with they have two options:

• They can apply to the IRM for a review; or
• Make representations to the fostering panel.
  
  

Support for child after the enquiry/investigation

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 s.47 enquiry.

Support for carer after the enquiry/investigation

The fostering/adoption team manager must consider whether any additional/individual support should be offered to the carer and her/his family at the end of the s.47 enquiry.

Following conclusion and feedback of the results of the enquiry and any investigation the fostering 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.

Whatever the final outcome, carers should be offered continued advice, support and help from the fostering/adoption team, using a written agreement to define the period of time, level and quality of support.

Role of the fostering social worker

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.