1.4.1 Access to Files |
SCOPE OF THIS CHAPTER
This Chapter is a reproduction of a previously known document Access to Files (Guidance in a Nutshell). This document is due for a review by January 2009.
See Knowsley Access to your Records Leaflet
This chapter also refers to The Data Protection Act and Social Work Records Procedure
Contents
1. Enquiries and Request to Access Files
1.1 How does a person access their file?
Requests for access to files can be made in the following ways –
- Sent in writing direct to the Social Worker/Team Manager involved; or
- Sent in writing direct to the Director of Social Services – where it will be recorded by the Customer Relations Manager.
1.2 Requests that come into the council direct or via the Corporate Data Protection Officer will be forwarded to the relevant department
Where the request comes direct to the Team involved (i.e. where a person is a current service user) the Team Manager should make the necessary arrangements for the person to have access to their file. The request can be made by the person themselves or someone acting legitimately on their behalf. The Team Manager must notify the Customer Relations Manager of the request, for recording purposes.
If the request is received at the Directorate, the Customer Relations Manager will take the necessary action to determine whether the person is, or has been, known to the Department; record the request and forward it to the relevant team for them to make the necessary arrangements for the person to view their file.
1.3 Open Cases
It is the Team Manager and current care manager of the client who is responsible for providing the access to open cases.
1.4 Closed Files
Where closed files it is the responsibility of the Head of Service / Service Manager to allocate an appropriate officer to process the request.
2. Processing the Request
A request for access to files should be made in writing. (Proof of Identity must be supplied, for example: Driving Licence, Passport etc) Staff should ensure that appropriate help is available to the service user to assist them to put their request in writing.
Once a request has been received a trace should be made to establish whether file is held on the person involved. If sufficient information is not available to establish whether a record is held on the individual concerned, a letter or contact should be actioned within 5 working days requesting further information. The department has only 40 days to comply with the request for access, the 40 days starts from receipt of appropriate information.
2.1 The Department
- Must satisfy itself as to the identity of the individual making the request. (Passport, Driving Licence, or some other form of identification)
- Must obtain the written consent of the service user if the request is from another source, for e.g. Solicitors. Written consent of the service user must be obtained before request can be processed
- Occasionally receives requests from guardian-ad-litem or other court officers (See Data Protection Act - Guidance for Staff Guidance and The Data Protection Act and Social Work Records Procedure)
There may be a charge for allowing a person access to their file under the Data Protection Act. However the local authority do not currently charge for this process to Service Users of the Social Services department.
Where we do not hold the personal information or file requested we should inform the applicant as soon as this has been ascertained.
Where the person is, or has been known to us, and the information (file) for disclosure has been located, the information should then be screened for exempt or third party information, in advance of disclosure. Under Data Protection Act certain information may be withheld (see Section 3 below). If in doubt, advice should be sought from Linda Tancred, Senior Solicitor on 443 3565 regarding the screening process and on which information may be withheld
3. Information which may be Withheld
In principle individuals have a right to be given a copy of all the information contained in their social work files. There are, however, times when the Act allows the social services department to withhold some information. The main exceptions are:
- If the information on a file identifies other people, then it will often be right to remove that information unless the third parties have agreed to the disclosure. Third parties include GP and other professionals. (This is less likely to apply to information identifying social workers or other social work professionals unless to disclose it would cause them serious harm.)
- If the disclosure of the information would prejudice the carrying out of social work by reason of the fact that Serious Harm to the physical or mental health of the data subject or any other person would be likely to be caused;
- If, in the case of requests made on behalf of the data subject by a person able to exercise their legal rights, the data subject has expressly asked that some or all of the information should not be disclosed or if they have provided the social services department with information on the assumption that it will not be disclosed;
- If in that particular case it would hinder the prevention and detection of crime or the prosecution or apprehension of offenders to provide it.
- Must consider any exemptions applicable to the information.
Once screening has taken place and the consent of third party information obtained, arrangements should be made for the applicant to attend the office for a disclosure / access appointment.
The information not subject to third party consent or exemption will then be made available to the applicant.
Please note third party information may only be disclosed with the consent of the author. See Data Protection Act and Social Work Records Procedure
Knowsley are required to communicate the information in an intelligible form, and the person should be provided with a permanent photo copy of the information from the file as requested. However, where this is not possible, or would involve disproportionate effort, or the person agrees otherwise, (e.g. where they only want an extract from a lengthy file), the department need not supply a copy, or full copy of the records held.
4. Disclosure/Access Method
The method of disclosure should be determined by the Service Manager and should depend on the nature and complexity of the information. However, it is best practice to provide access face, to face, and is the department’s preferred option. Arrangements should be made for the service user to access the files at the department’s offices, in a supported environment, where documentation can be photocopied as requested, explained or discussed and where details of other support services can be offered. The appointment should take place in a quiet location and supervised by an appropriate person. Water and photocopier facilities should be available and interruptions kept to a minimum. Every effort should be made to discharge the duties of the Data Protection Act which includes making the information available in the method requested by the applicant.
Where disclosure is given by ‘complete photocopy’ method the documents should be marked up stating “this document is for personal use by the applicant only, photocopying and distribution is prohibited”.
- The applicant will be expected to sign for the copy documents upon receipt and agree to the following:
- That the documents will be used for personal use only
- They will not be distributed, photocopied or circulated to other parties without the prior agreement of the local authority
- The applicant will endeavour to safeguard the documents and their content and will take appropriate steps to dispose of the documents after use
Should a service user require a specific piece of information, disclosure can be made in writing, by e-mail or orally, as appropriate, and determined by the Service Manager. Care is necessary when making oral disclosure that conversations cannot be overheard and that individuals to whom personal information is disclosed are aware of the confidentiality implications of such disclosure. The use of the telephone as a means of exchanging personal information, especially sensitive information, should be avoided where possible. A record of all oral, face-to-face and telephone, and any exchanges of information should be kept and confirmed in writing.
Once access has taken place, the Customer Relations Manager should be informed and the file returned to the system.
5. Monitoring
Under the Data Protection Act Guidance issued recently to Social Service Departments, we are now required to monitor requests for access to records, in order to ensure that we are complying with the requirements of the Data Protection Act.
All Team Managers should ensure that the request is processed in accordance with the Data Protection Act and in conjunction with the departmental guidance to Data Protection Act and Social Work Records Procedure. Details of requests for access received direct to the teams should be copied to the Customer Relations Manager for recording and monitoring purposes. The following information will be required:
- Name of applicant (e.g. this could be firm if solicitors)
- Name of person wanting access to records (i.e. service user)
- Date application received
- Identification checked
- CSI
- Details of access arrangements and date
End