Allegations Against Staff and Volunteers

This guidance should be followed in relation to any allegation that a person who works in the Home 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 they may pose a risk of harm to children; or
• Behaved or may have behaved in a way that indicates they may not be suitable to work with children.

Allegations or concerns could be received from the child / young person concerned, their parent / carer or friend, a member of staff working in the Home or another professional. Allegations in relation to a person's home or private life should also be dealt with under these procedures.

Children must be listened to and enabled to report any allegations at the earliest opportunity. Staff should report any allegation of abuse immediately to a senior manager within the Home.

Any concerns relating to inappropriate relationships between members of staff and children or young people in our care, together with other offences or behaviour which call into question their capacity as a role model / carer for children - e.g. domestic abuse or other offending behaviour, should also be considered under these procedures.

Allegations of non-recent/historical abuse should be responded to in the same way as contemporary concerns. In such cases, it is important to find out whether the person against whom the allegation is made is still working with children and if so, refer to the LADO. Decisions regarding informing the person's current employer or voluntary organisation should be made in consultation with the LADO. Non-recent or historical allegations of abuse should also be referred to the police.

Investigations into allegations or suspicion of harm will be shared with the appropriate agencies and handled fairly, quickly and in accordance with statutory guidance. Children will be supported and protected. Support will be given both to the person making the allegation and the person who is the subject of the allegation.

See also Safeguarding Children and Young People and Referring Safeguarding Concerns Procedure

It might not be clear whether an incident constitutes an 'allegation'. It is important to remember that to be an allegation the alleged incident has to be sufficiently serious as to suggest that harm has or may have been caused to a child/ren, or that the alleged behaviour indicates that the individual may pose a risk of harm to children (or otherwise meet the criteria above).

Concerns that do not meet this threshold may constitute a conduct or disciplinary issue and should be addressed using the appropriate organisational procedures.

Incidents which fall short of the threshold could include an accusation that is made second or third hand and the facts are not clear, or the member of staff alleged to have done this was not there at the time; or there is confusion about the account.

If it is difficult to determine the level of risk associated with an incident the following should be considered:

• Was the incident a disproportionate or inappropriate response in the context of a challenging situation?
• Where the incident involved an inappropriate response to challenging behaviour, had the member of staff had training in managing this?
• Does the member of staff understand that their behaviour was inappropriate and express a wish to behave differently in the future? For example, are they willing to undergo training?
• Does the child or family want to report the incident to the police or would they prefer the matter to be dealt with by the employer?
• Have similar allegations previously been made against the employee – is there a pattern developing?

Whether an incident constitutes an allegation and hence needs to be dealt with through these procedures, may need to be discussed with the LADO by the manager or Responsible Individual.

Keeping Children Safe in Education (KCSIE), Part 4, Section 2 provides guidance for schools and colleges, which may be of wider interest when considering low-level concerns. Legal advice should be sought as necessary.

KCSIE provides that if there is any doubt as to whether the information which has been shared about a member of staff as a low-level concern in fact meets the harm threshold and thus should be treated as an allegation, the LADO should be consulted.

If it falls short of this threshold there may still be a role for the LADO to provide advice and support to the Home. Such a consultation process may allow for concerns to be evaluated objectively and to ascertain whether or not similar concerns may have been raised by a previous employer but not met the threshold for investigation. Whilst the LADO will only record the details of those allegations which appear to meet the threshold for consideration set out above, the employer should record the details of any low level concern that arises in respect of a member of their staff. Low-level concerns which are shared about supply staff and contractors should be notified to their employers, so that any potential patterns of inappropriate behaviour can be identified.

KCSIE provides that records should be reviewed so that potential patterns of concerning, inappropriate, problematic or concerning behaviour can be identified. Where a pattern of such behaviour is identified, a course of action should be decided upon, either through disciplinary procedures or where a pattern of behaviour moves from a low-level concern to meeting the harm threshold, it should be referred to the LADO. Records must be held securely and comply with the Data Protection Act 2018 and the UK General Data Protection Regulation (UK GDPR). It is recommended that records are retained at least until the individual leaves their employment.

More detailed guidance and case studies on low-level concerns can be found in Developing and Implementing a Low-level Concerns Policy (Farrer & Co.).

Where the matter constitutes a conduct or performance issue, the manager should follow the appropriate disciplinary procedures and let the LADO know of the outcome.

If concerns do not meet the criteria set out above the senior manager in the Home should speak to the child/young person and staff member concerned with a view to resolving the issue and establishing if there are any underlying issues which need to be addressed. It is important in such cases to provide the child with information on the Home’s Complaints Procedure, and remind them of their right to access an independent Advocate, as well as being able to speak to their allocated social worker or Independent Reviewing Officer about any concerns they have.

Such matters should be fully reported on the child’s file, including the actions of the Home.

Any allegation of abuse must be dealt with quickly and in a fair and consistent way which provides effective protection for the child / children concerned, while at the same time supporting the person who is the subject of the allegation.

The Home's registered, or through delegation a senior manager, is responsible for coordinating the response to any concerns or allegations against staff. (Note that this procedure will use the term ‘senior manager’ to reference the manager in the Home who is responsible for responding to concerns or allegations).

Where there is a lack of clarity or the senior manager is uncertain, they should seek an independent view from the child’s social worker or team manager or the LADO.

Initial action by person receiving or identifying an allegation or concern

The initial response to a child / person reporting an allegation or concern is important. Children are most likely to make a disclosure to someone they trust, so it is important that everyone working in the Home is clear about what they should do in the event of a disclosure.

The person to whom an allegation or concern is first reported should reassure the child / person that they have done the right thing in making a report and explain what they will do next, including who the information will be shared with.

It is important to:

• Listen carefully to the child / person making the report; do not ask leading questions, only prompt where necessary with open questions (where, when, what etc.);
• Be non-judgemental;
• Do not promise confidentiality. Explain what will happen next, including that the concern will have to be shared further, but only with the senior manager at this stage (who will decide whether the matter should be referred to the LADO);
• Write a record containing the facts as the child / person reporting the concern presented them; where possible use their own words;
• Sign and date the written record;
• Immediately report the matter to the Home’s senior manager, or in their absence, the deputy. If the senior manager is the subject of the allegation, it should be reported to the deputy or another senior manager) (Note: If a member of staff has concerns about how the allegation will be dealt with by the Home, they should consider reporting the concern to Ofsted. See Ofsted, Reporting Concerns and Whistleblowing about Children’s Social Care Services).

Do not:

• Investigate or ask leading questions if seeking clarification;
• Discuss the allegation with the alleged perpetrator;
• Make assumptions or offer alternative explanations;
• Promise confidentiality, but give assurance that the information will only be shared on a 'need to know' basis.

Initial action by the Senior Manager

When informed of a concern or allegation, the senior manager should not, at this stage, investigate the matter or interview the member of staff, the child concerned or seek potential witnesses.

They should:

• Obtain written details of the concern / allegation, signed and dated by the person receiving (not the child / adult making the allegation);
• Approve and date the written details;
• Record any information about times, dates and location of incident/s and names of any potential witnesses;
• Record discussions about the child and/or member of staff, any initial decisions made, and the reasons for those decisions.

The senior manager should report the allegation to the designated officer in the local authority/LADO within 1 working day (Note the designated officer in the local authority will be further referenced as LADO). If it is outside normal working hours and there is an immediate risk to a child the Emergency Duty Team should be contacted, along with the senior manager on-call.

Referrals to the LADO should not be delayed in order to gather additional information. A failure to report an allegation or concern in accordance with this procedure is a potential disciplinary matter.

If the senior manager is concerned that there is an immediate risk to children, the police should be contacted without delay.

Where a Strategy Discussion / Meeting is needed to consider the allegation in a multi-agency setting, the LADO, the police and the child’s social worker/ or Children's Social Care will agree what information should be disclosed to the alleged perpetrator. Otherwise, the Home’s senior manager should inform the person concerned about the allegation as soon as possible after consulting with the LADO and inform them about the likely course of action.

Additionally, when there is going to be a Strategy Discussion/Meeting, the LADO, the police and the child’s social worker will advise on the information which can be shared with parents or carers.

The parents / carers and the child, should be helped to understand the processes involved and be kept informed about the progress of the investigation and of the outcome where there is no criminal prosecution. This will include the outcome of any disciplinary process, but not the deliberations of, or the information used in a hearing.

Each local authority should have clear arrangements in place for the management and oversight of allegations against people that work with children. This includes a relevant officer or team of officers within the local authority (known as the Local Authority Designated Officer (LADO)) who should be informed promptly of allegations. For further information, including about the role of a local authority designated officer see Working Together to Safeguard Children.

The role of the LADO is to manage and oversee allegations against people who work with children. This includes providing advice and guidance, liaising with the police and other agencies, resolving any inter agency issues, monitoring the progress of cases to ensure they are dealt with as quickly as possible consistent with a fair process. The LADO will also provide advice and guidance to employers in relation to making referrals to the Disclosure and Barring Service (DBS) and Ofsted (the Regulatory Authority) (see Section 12, Referrals to the Disclosure and Barring Service), and liaise with the safeguarding partners.

The initial discussion between the Senior Manager from the Home and the LADO will consider the nature, content and context of the allegation and agree a course of action. The senior manager may be asked to provide additional information, such as previous history of the child or member of staff concerned.

The initial sharing of information and evaluation may lead to a decision that no further action is to be taken. In this instance, the decision and its reasons should be recorded by the senior manager in the Home and the LADO. Agreement should be reached about what the next steps should be, together with the information that will be provided - in writing - to the individuals concerned. Follow up support may need to be considered for both the subject of the allegation and the child / young person.

The LADO will consult with the senior manager from the Home and other relevant agencies (e.g. the placing authority and the area authority (if different), the police, relevant social workers and Ofsted), in order to manage and coordinate decisions which will need to be taken in relation to the member of staff against who the allegation has been made. This will include:

• Whether it is necessary to move or suspend staff, or can they be moved to other duties which do not involve direct contact with children or vulnerable adults;
• In relation to the child, whether they should move from the placement.

All other options should be considered before a decision is made to suspend a member of staff (see Section 10, Suspension).

Whether the concern is progressed further by the LADO or alternative routes are sought, the senior manager from the Home should promptly advise the child’s social worker of the concerns and the actions that have been taken.

Ofsted (the regulatory authority) must be notified of any allegation of abuse against the Home or any person working there. See: Notification of Serious Events Procedure.

If, during an inspection, Ofsted become aware of an allegation which was made but not notified to them, the Inspector may place a requirement on the Home.

If there is cause to suspect a child is suffering or likely to suffer significant harm, a Strategy Discussion / Meeting will be convened.

The Initial Strategy Meeting

When it has been agreed by the social work team manager, senior manager, police, and other relevant agencies to pursue enquiries under Section 47, a Strategy Meeting will be held and chaired by the relevant children’s social care team manager.

The Strategy Meeting should be held at the earliest opportunity, (within 5 working days). However, strategy meetings are convened within 24 hours, where immediate safeguarding concerns are identified to agree a plan to investigate the matter. If immediate safeguarding action is required a strategy discussion will take place with relevant agencies possibly prior to a Strategy Meeting. Delay in holding Strategy Meetings is at the discretion of children’s social work team manager, in consultation with the LADO and police, the reason for this delay must be recorded in the child’s record within AzeusCare.

Actions and decisions from the initial discussion should be recorded within 24 hours on AzeusCare by the responsible children’s social work team / duty team.

Those with parental responsibility, unless there is a clear justification for not doing so, which should be recorded, should be informed about the concern, or allegation and the outcome. This is the responsibility of the child’s social worker.

The investigating social worker should not be the allocated social worker for the child. There may be circumstances where it would be appropriate to utilise a social worker known to the child, but the rationale for this decision will be clearly recorded.

Strategy Meeting: The following people should be invited to the Strategy Meeting:

• Any nominated social worker to investigate the concern/allegation (consider independence), and team manager;
• The child’s social worker and team manager;
• The senior manager and child link worker as appropriate
• Police representative as appropriate;
• The Designated Officer in the local authority (LADO).
• Any practitioner with knowledge of the child such as:
  • Education;
  • Health;
  • Independent Reviewing Officer (CISRO);
  • Youth Services;
  • Guardian;
  • Consider inviting Legal;
• There should be minutes of the meeting taken by an administrative person.

The initial Strategy Meeting as well as any further meeting will need to consider whether any action is required with respect to:

• Child protection / social care involvement;
• Criminal investigation;
• Make considerations in regards to suspension or alternatives to suspension,
• Disciplinary procedures.
• Complaints procedures.

If further Strategy Meetings are required to progress the matter, the LADO should be informed. The status of each of these processes will need to be reviewed and continued or discontinued as information becomes available.

The Strategy Meeting will need to consider the following information:

• Details of the allegation;
• Whether or not there is a social care - child in need or child protection assessment / investigation;
• Whether or not there is a police investigation;
• Consider whether a complex abuse investigation is applicable;
• The views of the child if known in relation to the allegation or the care arrangement;
• Decide what information can be shared and with who;
• Whether or not the child’s parents or those with parental responsibility are aware of the situation, and their views and how this should be facilitated with consideration to the investigation and the rights of those affected;
• Significant information about the child(ren) including legal status, individual needs, and length of time in the care arrangement where relevant;
• Information and views from the child’s social worker, and their manager;
• Information and views from professionals involved, for example, school, health, Independent Reviewing Officer (CISRO), child’s guardian etc;
• The significance of any other previous concerns, complaints or allegations made against the subject of the allegation;
• Any other relevant information about the subject of the allegation;
• A Chronology should be available, provided by the child’s social worker;
• Other children living in the care arrangement and any information and actions in relation to them;
• Any information relating to any other children the subject of the allegation may have contact with, including in any other role/employment;
• Whether or not the subject of the allegation is aware of the situation and if not, how this should be managed, and within the timescale set at the Strategy Meeting;
• Information and views from the subject of the allegation, when known, about the complaint / allegation;
• Consider where the subject of the allegation will get support from and if they have been encouraged to seek support;
• How and when to respond to the complainant and who should undertake this;
• Whether or not there are any further safeguarding measures that need to be put in place;
• Allocation of tasks and timescales;
• Does this matter continue to meet the threshold for consideration by a Strategy Meeting? If so, set further strategy date (preferably within 28 days but this may be longer for example if bail conditions are set but there may be other tasks which need a more imminent review).

Allegations which meet threshold for LADO are managed in line with the Managing Allegations against persons who work with children policy and procedure.

An Initial Multi-Agency LADO Allegation Management Meeting will usually only be convened where there is an allegation of a possible criminal offence, and the police are attending and /or where it is agreed by relevant parties that the case is complex. There is a need to hold a meeting to share information and plan next steps.

In all cases once an investigation and assessment has been completed and the information gathered, the investigating social worker will provide a report to share with LADO to conclude the investigation. As far as possible the same individuals should attend all Multi-Agency LADO Allegation Management Meetings, to ensure that all information has been shared and that there is a consistent approach.

The Multi-Agency LADO Allegation Management Meeting is chaired by the East Riding LADO and should be clear about this issue, and all minutes must reflect the position.

Where the employee has refused to cooperate, have withdrawn from the process or tendered their resignation, it is important that this process is completed, and conclusions reached on the information available. Resignations will not prevent an allegation from being followed up and concluded.

All cases will need to reach a clear outcome and judgement, about whether or not the matter is:

• Substantiated - there is sufficient identifiable evidence to prove the allegation;
• False - there is sufficient evidence to disprove the allegation;
• Malicious - there is sufficient evidence to disprove the allegation and there has been a deliberate act to deceive;
• Unfounded - there is no evidence or proper basis which supports the allegation being made. It might also indicate that the person making the allegation misinterpreted the incident or was mistaken about what they saw. Alternatively, they may not have been aware of all the circumstances;
• Unsubstantiated - this is not the same as a false allegation. It means that there is insufficient evidence to prove or disprove the allegation; the term, therefore, does not imply guilt or innocence.

Once there is sufficient information, the Chair should consider all the potential outcomes and provide a clear rationale for their decision, this should be recorded clearly in the minutes.

Where a concern is substantiated, the Chair should clearly note which of the criteria set out above is met and why, this should be recorded clearly in the minutes.

The LADO will seek to gain consensus from the attendees regarding their analyses of the concerns in relation to the threshold criteria, and their view of the outcome. The final outcome of the meeting will be decided by all professionals within the LADO process, objections should be recorded in the minutes.

At the conclusion of the investigation the senior manager should write to the subject of the allegation, outlining the judgement and any actions reached with the complaint’s guidance included. A copy should be placed on the child’s record.

It should be clear on the employees record if they were:

• Convicted of any offence;
• Had their employment terminated;
• Referred to the Disclosure and Barring Service.

At a suitable point in the process consider whether or not a notification to Disclosure and Barring Service referral is appropriate.

The Home must maintain confidentiality and guard against publicity while an allegation is being investigated or considered. Apart from keeping the child, their parents / carers and accused person (where this would not place the child at further risk) up to date with progress of the matter, information should be restricted to those who have a need to know in order to protect children, facilitate enquiries, and manage related disciplinary or suitability processes.

Suspension is a neutral act and it should not be an automatic response when an allegation is reported. All options to avoid suspension should be considered first.

Suspension should only be considered in those cases where:

• There is cause to suspect a child or other children are at risk of harm; or
• The allegation is so serious that it might be grounds for dismissal.

The possible risk of harm to children should be evaluated and managed in respect of the child/children involved and any other children in the accused person’s home, work or community life.

If an Allegations Strategy Meeting / Discussion is held, attendees should discuss whether suspension is appropriate and make a recommendation. However, only the employer, however, has the power to suspend an accused employee.

If a suspended person is to return to work, the employer should consider what help and support might be appropriate (e.g. a phased return to work and/or provision of a mentor), and also how best to manage the member of staff's contact with the child concerned, if they are still in the Home.

Details of allegations that are found to be malicious should be removed from HR records.

Employers should keep a clear and comprehensive summary of the allegation, how it was followed up and resolved. A note of any action taken and decisions made should be kept in the person’s confidential HR record. The record should be kept at least until the person reaches normal retirement age or for 10 years if longer.

The purpose of the record is to enable accurate information to be given in response to any future request for a reference. It will provide clarification where a future DBS request reveals information from the police about an allegation which did not result in conviction, and will help to prevent unnecessary reinvestigation if an allegation re-surfaces after a period of time.

A separate record is held by the LADO.

Please note - while the Independent Inquiry into Child Sexual Abuse (IICSA) is on-going, organisations have been asked to retain any and all documents; correspondence; notes; emails and all other information – however held – which contain or may contain content pertaining directly or indirectly to the sexual abuse of children or to child protection and care.

If an allegation is substantiated and the senior manager removes the individual from work because they consider that they pose a risk of harm to children (or would have done had the person not left first) they must ensure a referral is made to the Disclosure and Barring Service (DBS).

It is an offence to fail to make a referral without good reason. If a referral is to be made; it should be submitted within 1 month of the allegation being substantiated.

For the latest guidance on making referrals to the Disclosure and Barring Service, please see the GOV.UK website.

Where individual staff continue to have concerns about a colleague or in relation to conduct of an investigation made in response to an allegation, they should consider the Home’s Whistleblowing or Raising Concerns at Work Procedure, Ofsted, Reporting Concerns and Whistleblowing about Children’s Social Care Services or contact the child’s social worker should be followed.

In cases where it is identified that no significant harm or offence has been committed, the Home may still wish to consider disciplinary proceedings against staff.

Additional Training for the staff member should also be considered as appropriate.

The following are principles of good practice when receiving/reporting concerns.

However, this guidance is not exhaustive, all staff should have training on receiving and reporting safeguarding and child protection concerns - if in doubt, staff must consult the Designated Senior Manager or another manager who is not implicated immediately.

When an allegation is made against a staff member / colleague:

Staff may ask questions or seek clarification regarding any allegation made against them, but they may not take any actions to investigate or in any way make judgements about what is reported to them. Investigations or enquiries, if necessary, will be led by the LADO.

Staff must not inform or discuss concerns/allegations with any person who is alleged or reported to be the perpetrator, including any colleague/manager. If a manager is implicated, staff must ensure that any reports are passed to their line manager or another manager.

When a child / young person makes a disclosure:

Staff must not give absolute guarantees of confidentiality to those who report possible Significant Harm to them, but they should explain that the information will only be passed to the minimum number of people who need to know to ensure proper action is taken in response to the concern.

DO

• Give the child your full attention and demonstrate that you are both listening and hearing them, e.g. put a sign on the door; stop telephone calls etc.
• Ask them if you can take some brief notes (key phrases, short specific detail only) whilst they are talking – but don’t allow this to interfere with the ‘listening process’;
• Maintain eye contact;
• Allow the child to talk, but don't press for information;
• Tell the child throughout that they are not to blame for anything that has happened;
• Reassure the child that they were right to tell;
• Let the child know that other people will have to be informed;
• Try to explain in a way that the child can understand.

DON'T

• Promise to keep secrets;
• Make any promises you can't keep;
• Interrogate the child or ask leading questions;
• Cast doubt on what they have said;
• Make the child feel responsible for what's happened;
• Show anger;
• Panic and act hastily (it's unlikely to be a life threatening situation);
• Gossip about what you have been told;
• Talk to the alleged abuser.

Staff must make a written record as soon as possible of what they have been told, detailing the questions they asked and the replies. They must then give the report to the Senior Manager (unless they are implicated).

The record should be placed on the child's file except where a colleague is implicated or where there is any risk to the child as a result, in which case notes/records should be given to the manager dealing with the matter.