1.3.2 Allegations Against Staff

AMENDMENT

This chapter was slightly updated in March 2012, see Section 18, Referral to the Independent Safeguarding Authority (ISA) or Regulatory Body.

Introduction
Roles and Responsibilities
Recognising and Responding to an Allegation
Responding to an Allegation or Complaint made to an Employer by a Child or Young Person
Initial Action by the Designated Senior Manager
Responding to a Complaint/Allegation made to the Police
Responding to a complaint/Allegation made to Children's Social Care
Initial Consideration by the Designated Senior Manager and the Local Authority Designated Officer
Strategy Discussion and Initial Evaluation Discussion
Reviewing Process
Resignations and Compromise Agreements
Disciplinary Process or Assessment Regarding Suitability
Sharing Information for Disciplinary Purposes
Record Keeping
Monitoring Progress
Action in Respect of Unsubstantiated Allegations
Action in Respect of False Allegations
Referral to the Independent Safeguarding Authority (ISA) or Regulatory Body
Knowsley NSO & SM roles (Jan 2008)

1. Introduction

Experience shows that children can become victims of abuse and exploitation by those who work with them in any context. They have been found to be vulnerable in all organisational settings including social care, education, health care, the leisure industry and in faith communities. These procedures relate to any person who works with children, whether a professional, staff member, foster carer or volunteer.

Arrangements therefore for managing concerns or allegations of this nature should be robust and effective in keeping children safe. All allegations should be taken seriously, approached with an open mind, and not driven by preconceived opinions about whether a child has or has not been harmed.

These procedures should be used by all organisations where people work with Children and Young People. This guidance includes organisations that provide staff or volunteers to work with or care for children alongside those who come into contact with children through their work.

For convenience the term employer is used throughout this guidance to refer to organisations that have a working relationship with the individual against whom the allegation is made.

The term employer includes organisations that use the services of volunteers, or people who are self employed as well as service providers, voluntary organisations, employment agencies or business, contractors, fostering services, regulatory bodies such as OFSTED in the case of childminders, and others that may not have a direct employment relationship with the individual but will need to consider whether to continue use the persons services, or to provide the person for work with children in the future, or to de register the individual.

In some circumstances the term "employer" for these purposes will encompass more than one organisation. For example where staff providing services for children in an organisation are employed by a contractor, or where temporary staff are provided by an agency. In those circumstances both the contractor or agency, and the organisation in which the accused individual worked will need to be involved in dealing with the allegation.

These procedures are based on the framework for dealing with allegations made against a person who works with children, detailed in Working Together to Safeguard Children 2010, and should be applied when there is an allegation that a person who works with a child has:

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

This may be in connection with his/her employment or voluntary activity, or where:

Concerns arise about the person's behaviour with regard to his/her own children;
Concerns arise about the behaviour in the private or community life of the individual, a partner, member of the family or other household member.

There may be up to 3 strands in considering a concern or an allegation:

A police investigation of a criminal offence;
Enquiries and assessment by children's social care about whether a child or young person is in need of services;
Consideration by an employer of disciplinary action in respect of the individual.

If an allegation relating to a child is made about a person who undertakes paid or unpaid care of vulnerable adults, consideration should be given to the possible need to alert those who manage her/him in that role.

These procedures can also be applied if a complaint or an allegation is made against a person in relation to his/her work with adult service users, which causes concern about the welfare of an adult service user's children.

Compliance with these procedures should help ensure that allegations of abuse are dealt with expeditiously, consistent with a thorough and fair process.

2. Roles and Responsibilities

Knowsley Safeguarding Children Board (KSCB) has responsibility for ensuring that there are effective inter agency procedures in place for dealing with allegations against people who work with children and for monitoring and evaluating the effectiveness of those procedures.

In order to discharge the duties of the board each member organisation should identify a Named Senior Officer with overall responsibility for;

Ensuring that the organisation operates these procedures for dealing with allegations;
Resolving any inter agency issues that may arise;
Liaising with the Local Safeguarding Children Board;
Meet with the Local Authority Designated Officer (LADO) on a regular basis to discuss organisational response to allegations against professionals.

Employers should:

Identify a Designated Senior Manager to whom allegations or concerns should be reported, and a deputy in his/her absence or if he/she is the subject of the allegation.

The KSCB and Local Authority will appoint a Local Authority Designated officer (LADO) who will:

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;
Report regularly to the KSCB on the number, nature and progress of cases.

3. Recognising and Responding to an Allegation

There are a number of sources from which an allegation or complaint might arise:

A child or an adult;
A parent/carer;
A member of the public;
A worker;
Professional body.

Agencies covered by these procedures should have in place their own policies, procedures and guidance relating to the conduct of their employees and they should be used to ensure compliance with these procedures.

4. Responding to an Allegation or Complaint made to an Employer by a Child or Young Person

The person to whom the allegation/complaint is reported should:

Treat the matter seriously;
Avoid asking leading questions and keep an open mind;
Make a written record of the information (where possible in the Child's own words) including:
- When the alleged incident took place (time and date);
- Who was present;
- What happened.
Sign and date the written record;
Report the matter immediately to the Designated Senior Manager, or deputy in his/her absence or where the Designated Senior Manager is the subject of the allegation.

5. Initial Action by the Designated Senior Manager

The Designated Senior Manager should not investigate the matter by interviewing the accused person, the child (unless received the allegation/complaint) or potential witness, and should:

Obtain the written details of the allegation, signed and dated by the person receiving the allegation/complaint;
Countersign and date the written details;
Record any other information and names of any potential witnesses;
Record discussions about the child and/or member of staff, any decisions made, and the reason for these decisions.

If the allegation meets any of the criteria in Section 1, Introduction the Designated Senior Manger should report it to the LADO within 1 working day.

Referral should not be delayed in order to gather information.

If a complaint or an allegation requiring immediate attention is received outside of normal office hours the senior manger should consult immediately with the Out of Hours Emergency Standby Service or local police, they must ensure that they inform the LADO the next working day.

6. Responding to a Complaint/Allegation made to the Police

If a police officer receives a complaint/allegation s/he should report it without delay to the Detective Inspector of the Vulnerable Persons Unit who should inform the LADO immediately (or ensure that the LADO is informed the next working day.)

7. Responding to a complaint/Allegation made to Children's Social Care

If the complaint/ allegation is received by children's social care the person receiving the complaint/allegation should report it immediately to the LADO (or ensure that the LADO is informed the next working day.)

8. Initial Consideration by the Designated Senior Manager and the Local Authority Designated Officer

The Designated Senior Manager and LADO should;

Establish that the complaint/allegation is within the scope of these procedures;
Verify whether there is evidence or information that establishes;
that the allegation is false or unfounded;
Consider whether further details are required.

The LADO will notify the employer/Designated Senior Manager of reports made via the Police and Children's Social Care.

The LADO will advise Designated Senior Manager on when and how to inform employee of complaint/allegation.

9. Strategy Discussion and Initial Evaluation Discussion

If there is cause to suspect that a child is suffering or is likely to suffer significant harm the LADO should immediately refer to children's social care and ask them to initiate a strategy discussion. See Section 4.4, Immediate Protection in the SCB Procedures Manual

The police should be informed of any case in which a criminal offence may have been committed.

If the significant harm threshold is not reached but a police investigation might be needed, the LADO should inform the police immediately and initiate an initial evaluation discussion with the police, employer and other agencies involved with the child to evaluate the complaint/allegation and decide how the case should proceed.

A strategy discussion or initial evaluation can be conducted by a way of a series of telephone discussions but it should take the form of a face to face meeting with a dedicated minute taker wherever practicable.

An Principle Officer Children's Services (POCS) will normally chair the strategy meeting, the participants should be sufficiently senior to contribute all relevant available information regarding the complaint/allegation, child, accused person and make decisions on behalf of their agencies.

When calling a strategy meeting consideration should be given to inviting:

LADO;
Relevant child care social worker and his/her manager;
Supervising social worker and his/her manager when an allegation is made against a foster carer;
Police;
Designated Senior Manager for the employer/establishment concerned;
Senior representative of the employment agency or voluntary organisation if the member of staff or volunteer has been placed by them, unless it is alleged that they have colluded or failed to respond to previous complaints;
Those responsible for regulation and inspection e.g. Ofsted;
Human Resource representatives as appropriate;
A medical practitioner with specialist knowledge;
Where a child is placed by or resident in the area of another Local Authority, a representative of that Authority;
Complaints officer if the concern has arisen from a complaint investigation is in progress;
A representative of the legal department of the Local Authority;
In circumstances where the allegation is made against someone providing a commissioned service, a manager with responsibility for commissioning that service;
Consideration should be given at the beginning of enquires to gaining consent from those involved to use the statements obtained and information gathered in disciplinary proceedings this will enable information sharing to take place at the earliest opportunity.

The strategy discussion should:

Review the three criteria set out in Paragraph 1.7 above;
Review any previous concerns or allegations regarding the conduct of the accused person;
Consider whether there should be a section 47 inquiry (Children Act 1989) and/or police investigation and consider the implications;
Consider whether any parallel disciplinary process should take place;
Consider whether a complex abuse investigation is applicable;
Scope and plan enquires;
Allocate tasks;
Determine what information can be shared, with whom and when;
Ensure that arrangements are in place to protect the child/ren involved and any other children affected, including taking emergency action where needed;
Consider what support should be provided to all children who may have been affected directly and indirectly;
Consider what support should be provided to the person against whom the complaint/allegation has been made and others who might have been affected;
Ensure that investigations are sufficiently independent;
Make arrangements to inform the Child's parents, and consider how to provide them with support and information during enquires;
Make recommendations where appropriate regarding suspension, or alternatives to suspension;
Agree protocols for reviewing;
Take note of agreed timescales as set out in Working Together to Safeguard Children 2006;
Plan further meetings as appropriate and agree date of review meeting;
Consider the need to share the statements and evidence with the employer.

10. Reviewing Process

The LADO should regularly monitor the progress of cases either by:

Review strategy discussions;

Or
By liaising with the police and/or children's social care.

A final strategy or evaluation discussion should be held at the end of the enquires to ensure that all tasks have been completed and where appropriate agree an action plan for learning lessons in order to inform future practice.

The LADO will report on a quarterly basis to the KSCB in line with the agreed data set.

11. Resignations and Compromise Agreements

The fact that a person tenders his or hers resignation or ceases to provide their services must not prevent an allegation from being followed up in accordance with these procedures and a conclusion reached.

A so called compromise agreement by which a person agrees to resign, the employer agrees not to pursue disciplinary action and both agree a form of words to be used in any future reference must not be used in situations which are relevant to these procedures.

In any event, such an agreement will not prevent a thorough police investigation where appropriate.

Wherever possible the person should be given a full opportunity to answer the allegation and make representations. The investigations should continue to a conclusion even if the person refuses to cooperate.

12. Disciplinary Process or Assessment Regarding Suitability

The LADO and the Designated Senior Manager should discuss and agree what action is appropriate in all cases where:

It is clear at the outset or decided by a strategy discussion that the investigations by the police or enquires by children's social care are not necessary;
The employer and LADO is informed by the police or the Crown Prosecution Service (CPS) that a criminal investigation and any subsequent trial is complete or that an investigation is to be closed without charge or a prosecution discontinued.

The discussion should consider any potential misconduct or gross misconduct on the part of the staff member and take into account:

Information provided by the police and or children's social care;
The result of any investigation or trial and the different standard of proof in disciplinary and criminal proceedings.

The options will range from no further action to summary dismissal or not using the person's services in the future.

Where the initial evaluation decides that the allegation does not involve a possible criminal offence it will be dealt with by the employer who should institute appropriate action within 3 working days.

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

Where further investigation is needed, the employer and the LADO should discuss who should undertake that.

In some circumstances it may be appropriate for the disciplinary investigation to be conducted by a person who is independent of the employer to ensure objectivity.

In all cases the investigating officer should aim to provide a report within 10 working days.

On receipt of the report, the employer should decide within 2 working days whether a disciplinary hearing is needed, if so the hearing should be held within 15 working days.

13. Sharing Information for Disciplinary Purposes

If the police or CPS decide not to charge or decide to administer a caution, or the person is acquitted, the police should pass all relevant information to the employer without delay.

If the person is convicted, the police should inform the employer immediately to enable the employer to take the appropriate action.

Consideration should be given at the beginning of enquires to gaining consent from those involved to use the statements obtained and information gathered in disciplinary proceedings this will enable information sharing to take place at the earliest opportunity.

14. Record Keeping

Employers should keep a clear and comprehensive summary of the case record on a person's confidential personnel file and give a copy to the individual.

The record should include details of how the allegation was followed up and resolved, the decisions reached and the action taken. It should be kept at least until the person reaches normal retirement age or for ten years if longer.

The record will provide accurate information for any future reference and provide clarification if a future CRB disclosure reveals an allegation that did result in a prosecution or conviction. This record will prevent unnecessary re-investigation if the allegation should resurface.

15. Monitoring Progress

POCS will be responsible for forwarding records of all Strategy Meetings to the LADO and Senior Managers.

The LADO will keep comprehensive records in order to ensure that each case is being dealt with expeditiously and that there are no undue delays.

The record will assist the LSCB to monitor and evaluate the effectiveness of the procedures and provide statistical information to the Department for Education as required.

The police can consult the Crown Prosecution Service (CPS) at any stage regarding the evidence needed to charge a person, but they should also set target dates for reviewing the progress of the investigation and consulting the CPS about charging, continuing or closing the investigation.

16. Action in Respect of Unsubstantiated Allegations

Where following a core assessment and/ or a Police investigation there is insufficient evidence to substantiate an allegation the employer should consider what further action, if any, should be taken.

17. Action in Respect of False Allegations

False allegations are rare and may be a strong indicator of abuse elsewhere requiring further exploration. If an allegation is false, the employer, in consultation with the LADO, should refer the matter to children's social care to determine whether the child is in need of services, or might have been abused by someone else. This may require, with the consent of the family, the completion of a Core assessment.

If an allegation has been deliberately invented or malicious, the police should be asked to consider whether any action might be appropriate against the person responsible.

18. Referral to the Independent Safeguarding Authority and the Regulatory Body

If the allegation is substantiated and the person is dismissed or the employer ceases to use the persons services, or the person resigns or otherwise ceases to provide his/her services, the LADO should discuss with the employer whether a referral should be made for consideration as to the individual being barred from, or have conditions imposed in respect of, working with children and should be included on the Independent Safeguarding Authority’s Children Barred List.

If it is agreed that a referral is required or desirable, the LADO should advise on the form and content of such a referral and whether it should be made to the Independent Safeguarding Authority which is the body responsible for making barring decisions as from 12 October 2009 (Safeguarding Vulnerable Groups Act 2006. The core purpose of ISA is to prevent unsuitable people from working or volunteering with children and vulnerable adults. (NB It is the responsibility of the agency responsible for the employee/volunteer about whom the allegation has been made to notify ISA at the end of the investigative process. ISA will then respond to the agency informing them of the barring decision.

The LADO should also advise whether it is appropriate to make a referral to a professional body or regulator.

If a referral is appropriate the report should be made within one month.

19. Knowsley NSO and SM Roles

Agency	Name	Role
Local Area Designated Officer	Bill Dawson	T: 443 4079
Aintree Hospitals Trust	Hazel Gregory	NSO & SM
Alder Hey Hospital	Derek Greenslade	NSO
Alder Hey Hospital	Julie Knowles	SM
CAFCASS	Jane Booth	NSO
CAFCASS	Colin Derby	SM
KMBC, (DND, CED, DNR, DCR)	Jason Woodruff	NSO
KMBC, (DND, CED, DNR, DCR)	Graham Ennis	SM
Connexions	Kieran Gordon	NSO
Connexions	Tony McLoughlin	SM
Directorate of Children's Services	Elaine Ayre	NSO
Directorate of Children's Services	Allison Cain	SM
Fire & Rescue	Bill Evans	NSO
Fire & Rescue	John McDonagh	SM
Five Boroughs Partnership	Hilary Fenton	NSO
Five Boroughs Partnership	Patricia Hamilton	SM
Knowsley Housing Trust	Ian Parker	NSO
Knowsley Housing Trust	Steve Gow	SM
Knowsley PCT	Jane Raven	NSO
Knowsley PCT	Trish Drew	SM
Knowsley Health and Social Care	Kitty Ferris	NSO
Knowsley Social Care Children and Families	Paul Marshall	SM
Knowsley Social Care Adults	Linda Crawley	SM
Merseyside Police	Alan Barr	NSO
Merseyside Police	John Roberts	SM
Probation	Dave Metherall	NSO & SM
Whiston Acute Trust	Suzanen Hinchcliffe	NSO
Whiston Acute Trust	Rose Douglas	SM

End