1.1.1 Children's Policy, Values and Underlying Principles of Recording, Confidentiality and Consultation

1.

Records must be kept of all Children

Each child must have his or her own case record from the point of Referral to closure and the record should be kept on the electronic recording system.

All information will generally be recorded on the Integrated Children's System within the electronic recording system and only in exceptional circumstances will paper files be kept.

2.

The design of records and forms must be approved

ICS exemplars should be used for recording as appropriate. Any other records and forms must be designed to fit their purpose and used consistently across the organisation.

The Management Team for Children’s Services must approve the design of all records and forms before they come into use.

3.

Children and their families must be informed about their records

Children and their families have a right to be informed about the types of records kept on them, the reasons why, and their rights to confidentiality and of access to their records.

See Section 3, Confidentiality Principles

Information must be provided in a form that children and their families will understand - in their preferred language or method of communication.  An interpreter will be provided if needed.

4.

The member of staff primarily involved should complete the record

The practitioner primarily involved, that is the person who directly observes or witnesses the event that is being recorded or who has participated in the meeting/conversation, must complete records.

Where this is not possible and records are completed or updated by other people, it must be clear from the record which person provided the information being recorded.  Preferably the person with first hand knowledge should read and sign the record. Within electronic records, this will be considered to be the log on identity used for inputting the information in question.

Records of decisions must show who has made the decision and the reasons for which it has been made.

5.

All relevant information about children and their families must be recorded

Every child's case record must include the child's full name, date of birth, risk assessment, properly maintained chronology and a transfer/closing summary (where appropriate).

All other relevant contacts with children, their families, colleagues, professionals or other significant people must be recorded in the same way, i.e. who was present or seen, the relevant discussions, actions or decisions taken and by whom, and the reasons for decisions.

6.

Children and their families should be involved in the recording process

Children and their families must be routinely involved in the process of gathering and recording information about them.  They should feel they are part of the recording process.

They should be asked to provide information, express their own views and wishes, and contribute to assessments, reports and to the formulation of plans.

Generally, they must be asked to give their agreement to the sharing of information about them with others - but there are exceptions, i.e. where a child’s safety is in serious danger.

7.

Information about children/their families should be shared with them

Information obtained about children and their families should be shared with them unless:

• Sharing the information would be likely to result in serious harm to the child or another person, or
• The information was given in the expectation that it would not be disclosed, or
• The information relates to a third party who expressly indicated the information should not be disclosed.

Where information is obtained and recorded which should not be shared with the child concerned for one of the above reasons, it should be placed in the "Restricted from User" section of the child's record and a note of the lodging of the information, together with reasons, should be recorded.

See also Access to Records Procedure.

8.

Managers must monitor information held in ’Confidential’ sections

Managers must monitor information held in the "Restricted from User" section of records, ensuring that the reason for holding it there is valid; if not, it should be shared with the child and/or moved to another section of the record.

However, before sharing any such information, the manager must take all reasonable steps to consult the originator and take account of their views and wishes.  See also Access to  Records Procedure.

9.

Records must be legible, signed and dated

All records must be signed and dated.  Those completing electronic records must show their name and the date when the recording was completed.  The log-on identity will be considered to be the person responsible for the entry.

10.

Records must be kept up to date

Records should be updated as information becomes available or as decisions or actions are taken as soon as practicable or, at the latest, within 24 hours.

Where records are made or updated late or after the event, the fact must be stated as a ‘Late Entry’ in the record, and the date and time of the entry should be included.

11.

Records must be written in plain English and prejudice must be avoided

Records must be written concisely, in plain English, and must not contain any expressions that might give offence to any individual or group of people on the basis of race, culture, religion, age, disability, or sexual orientation.

Use of technical or professional terms and abbreviations must be kept to a minimum; and if there is likely to be any doubt of their meaning, they must be defined or explained.

12.

Records must be accurate and adequate

Care must be taken to ensure that information contained in records is relevant and accurate and is sufficient to meet legislative responsibilities and the requirements of these procedures.

Every effort must be made to ensure records are factually correct.

Records must distinguish clearly between facts, opinions, assessments, judgements and decisions.  Records must also distinguish between first hand information and information obtained from third parties.

See Section 3, Confidentiality Principles

13.

Managers must oversee, monitor and review records

The overall responsibility for ensuring all records are maintained appropriately rests with managers with day-to-day responsibility, delegated to other staff as appropriate.

The manager should routinely check samples of records to ensure they are up to date and maintained as required and, if not, that deficiencies are rectified as soon as practicable.

Management decisions to amend, change or remove records must be recorded.

14.

Records should be kept securely

All records held on children must be kept securely.  With electronic records, workers must not allow use of their log-on by any other party and must ensure that they close down their log-on whenever away from their desk to prevent unauthorised access.

Children’s files in paper form should normally be stored in a locked cabinet, or a similar manner, usually in an office which only staff/carers have access to.

Other day-to-day records, such as Contact or Daily Records, should also be kept securely in a manner authorised by the manager.

These records should not be left unattended when not in their normal location.

15.

Removal of records must be an exceptional occurrence

Paper records should not normally be taken from the location where they are normally kept.

If it is necessary to remove a record from its normal location, a manager should approve this and should stipulate or agree how long it is necessary to remove the record.  The manager must also be satisfied that adequate measures are in place to ensure the security of the record(s) whilst they are removed.  For example, records must never be left in unattended vehicles.

The authorisation for a record to be removed must be recorded and those who may have need to see the records should be informed of their removal.  The manager must then ensure the record is returned as required/agreed.

16.

Records moved to a new location must be monitored

Where records are moved to a new location, the date of transfer should be clearly recorded on the electronic recording system.

The sender should check that the records have arrived at their intended destination.

17.

Records must usually be retained after closure

Files should be retained for the period set out in Destruction of Files Procedure.

The member of staff responsible for the case when the case is closed is responsible for ensuring that the file to be retained is in good order and that unnecessary items have been removed, for example, compliment slips, duplicate copies etc.

18.

Use of computers at home

Staff using computers at home for council purposes must transfer any material to an office PC on the next working day.  All material must then be deleted from their personal PC hard drive and/or floppy disc or CD.

Staff are prohibited from using memory sticks or CD's to transfer information to home computers.

This procedure also applies to staff using laptop computers, unless authorised by their manager to retain material for longer. 

Such authorisation must only be given on a case-by-case basis and specific timescales must be recorded.  Where authorisation is given, no information should be retained that can identify any service user.

1.

Legal duty of confidence

Personal information held about children is subject to a legal duty of confidence and should not normally be disclosed without the consent of the subject.

The exceptions to this are set out in paragraph 2 below.

The legal framework for confidentiality is contained in the common law duty of confidence, the Children Act 1989, the Human Rights Act 1998 and the Data Protection Act 1998.

2.

Disclosure of confidential information in exceptional circumstances  

Whilst the general principle is that information obtained about children must be shared with them and not with others, there are exceptions.  The public interest in child protection overrides the public interest in maintaining confidentiality and the law permits the disclosure of confidential information necessary to safeguard a child or children. 

Disclosure should be justifiable in each case, for example to provide information to professionals from other agencies working with the child, and where possible and appropriate, the agreement of the person concerned should be obtained.

Those working with children must make it clear that confidentiality may not be maintained if the disclosure of information is necessary in the interests of the child.  Even in these circumstances, disclosure will be appropriate for the purpose and only to the extent necessary to achieve that purpose. 

There may also be situations where third parties have a statutory right of access to the information or where a Court Order requires that access be given.

The circumstances in which information held in records on children and families can and should be disclosed and shared with others with or without consent are set out in the following sections.

In all other cases, where third parties such as advocates, solicitors or external researchers request access to information, this should only be given if written consent is given by the person concerned.

3.

Informing children about disclosure

Children should be informed of the circumstances in which information about them will be shared with others.  It should be made clear that in each case the information passed on will only be what is relevant and on a ‘need to know’ basis.

4.

Disclosures and sharing information with colleagues and agencies

Sharing information promptly with others working with the same child, or who may need to know, is invariably the key to safeguarding the child’s interests.

Therefore, relevant information about children must be shared with colleagues, other professionals or agencies that may have a role to play in their care.

However, the general principle is that information may only be shared on a ‘need to know’ basis.

For example:

• Where professionals are undertaking a Child Protection Enquiry in relation to a child.
• Where the Police are investigating a criminal offence or require information to help them find an absent, missing or absconded child.
• Where information is requested in the furtherance of an inquiry or tribunal, or for the purposes of a Serious Case Review.

In such circumstances the person to whom the information relates should be informed that records have been requested unless to do so would prejudice the purpose of the request. 

Any objections they have should be considered before responding to the person making the request.

Where information or records are passed to others it should be noted and confirmed in writing. 

Information may also be disclosed to persons who have a statutory right of access to the information, for example:

• Where the Court directs that records be produced or a Children’s Guardian is appointed.
• Where information is requested by inspectors of the Regulatory Authority (who have specific statutory powers that permit access to records)

Where information is requested by telephone or electronically, great care must be taken to ensure that the recipient is entitled to receive the information requested.  Where there is any doubt the information may not be provided without the approval of a Manager.

5.

Freedom of Information Act 2000

The Freedom of Information Act 2000 came into force on 1 January 2005. 

Under the Act anybody may request information from a public authority (which includes all local authorities).  The Act confers two statutory rights on applicants:

• To be informed in writing whether or not the public authority holds the information requested; and if so
• To have that information communicated to him/her.

The Act applies to all information whether recent or old.

The Act sets out 23 exemptions from rights of access to information.  If the information is exempt, there is no right of access under the Act.

One exemption relates to personal information.  This means that an application for personal information under the Act is exempt and will not therefore be dealt with under the Act.  A person’s right of access to such information must still be dealt with in accordance with the Data Protection Act 1998.  The procedure is set out in Access to  Records Procedure.

Another category relates to information provided in confidence where disclosure would involve an actionable breach of confidence.  This would include information provided by a member of the public about a child protection issue where the provider has provided the information on the basis that anonymity will be maintained. 

The Act therefore does not change the legal position into the principles of confidentiality set out in paragraphs 1 to 4 above in this section.

1.

General Principles of Consultation

Everyone involved in the receipt and delivery of services should be consulted about decisions, which may affect them.  This includes children, their advocates, their parents, other significant family members and those charged with providing the service; including managers, staff, carers and professionals or colleagues from other agencies. 

This means that people’s views should be sought and taken into account in relation to all decisions, which are likely to affect their daily life and their future.

Children’s views should be proactively sought in an age appropriate manner.  Children’s level of understanding should be taken into account, but workers should not give more weight to views and feelings of older children than younger children.

Unless there are exceptional circumstances, reasonable steps must be taken in all cases to consult the parents.  Exceptions will include where older children with an appropriate level of maturity specifically request that their parents are not consulted and a decision is made to respect their wishes.  For further detail, see Consents Guidance.

Consultation should take place on a regular and frequent basis with those who need to be consulted and assumptions should not be made about the inability or lack of interest of those who should be consulted.

Where people have communication difficulties of any sort, suitable means must be provided to enable them to be consulted, including arranging access to advocates or representatives who may speak on their behalf. 

Consultation should be undertaken in a creative manner.

If consultation is not possible or is restricted for whatever reason, steps should be taken to ensure those affected are informed of decisions as soon as practicable after they are made, and an explanation for the decision given, together with the opportunity to make a comment and express their views. 

If it is then felt that a different decision may have been appropriate, steps should be taken to reconsider the decision.

If decisions are made against people’s wishes, they should be informed of the decision and the reasons should be explained.  In these circumstances, the person should be informed of any rights they have to formally challenge the decision, and of the availability of the Complaints or Grievance Procedure.

Children should also be informed of their right to appoint an advocate, and if an advocate is appointed, he or she must be consulted in accordance with the principles set out in this section.

Any outcomes from children, young people and their families involvement in consultation should be fed back to them in an appropriate format.

2.

Management Consultation

Unless otherwise stated in specific procedures in this manual, it is assumed that people working in this organisation will take reasonable steps to keep their managers informed of their actions; and will consult and seek their approval where they do not have decision making responsibility delegated to them.

In order to facilitate this, managers must ensure that effective lines of communication are established and maintained.

If procedures in this manual require that managers are informed within specified timescales or their approval is sought before actions are taken, this must be complied with. 

3.

Legal Consultation

It is assumed that, in following these procedures, social workers and/or their managers will seek legal advice as appropriate before taking any action and/or making decisions, which will, or may, change the legal status of a child, or decisions which do not have parental consent.  This is particularly so in cases where emergency action is being considered.

In order to facilitate this, managers must ensure that effective lines of communication are established and maintained between Children’s Services and Legal Services, and that workers are aware of who may authorise contact, who may have contact and how contact should be made.