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

SCOPE OF THIS CHAPTER

This chapter provides the context for all procedures. It contains the overall policy for the provision of services to children and the objectives of Specialist Children's Services and Safeguarding. It also sets out underlying values and principles for recording, confidentiality and consultation.

It should be read in conjunction with the Council's Equal Opportunities Policy and the Family and Friends Policy.

AMENDMENTS

Section 3, Recording Values and Principles was updated in December 2011 to reflect current recording practices being wholly electronic and remove references to paper files.

Children's Policy Statement
Specialist Children's Services and Safeguarding: Objectives
Recording Values and Principles
Confidentiality Values and Principles
Consultation Values and Principles

1. Children's Policy Statement

The best interests of the child: All decisions made in relation to children must have, as the first and paramount consideration, the best interests of the child;
Outcomes for children: We will strive to achieve the key outcomes for all children as set out in the Children Act 2004, namely that children should be healthy, stay safe, enjoy and achieve, make a positive contribution to society and achieve social and economic well being;
Assessment, planning and review: Services will be provided to children on the basis of continual assessment, planning, monitoring and review;
Avoiding delay: All decisions in relation to the provision of services to children will be made promptly and within agreed time-scales, having regard to the needs of the child; agreements and plans will contain clear time-scales for action and the achievement of these timescales will be monitored and reviewed;
Anti-discriminatory: Every-one will be treated equally whatever their race, religious beliefs, gender, sexuality, age or disability. Children and their parents will be considered as individuals with particular needs and potential, and will receive services taking proper account of their race, culture, religion, language, gender, sexual orientation and disability;
Valuing the family: Children have the right, whenever possible, to be brought up within their own family, either with their parents or relatives;
Partnership: In promoting this right, services will be provided in partnership with parents, other significant people in the child's life and with other agencies, to assist and support parents in meeting their children's needs within the family;
Listening and taking action: We will promote an 'open door' culture for all children, which encourages them to express their views, wishes and feelings; and say what they think about anything which affects them. We will then do all we can to ensure their views are taken into account when decisions are made about them;
Quality services for children: Where services are provided for children, they will be provided by skilled people, committed to meeting children's needs; in a manner which promotes their physical, emotional, social and psychological needs and in an environment where they feel safe, positive and encouraged;
Keeping children informed: Children will be provided with a wide range of accessible information about our services and any other provision they may require to improve their life chances;
Promoting independence: We will help children to be as independent, to take as full and active a part in everyday life as possible and to develop their own awareness of the consequences of their actions;
Protecting children: We understand that, on occasions, it will be necessary for limits to be placed on the actions of some children for the sake of their welfare or to protect them or others from injury or harm. Interventions used in these circumstances will be the least restrictive and disruptive;
Resolving dissatisfaction: Where children, or others on their behalf, are dissatisfied, we will take steps to resolve their dissatisfaction and provide opportunities for them to complain if they wish, including through access to an independent investigation;
The appropriate Looked After placement: Where children are unable to live with their birth family, they will be looked after in family based care or, where appropriate, residential care;
Respecting privacy: Looked After Children will be treated with respect and afforded privacy, where they can express their individuality through their possessions which they can enjoy and, when they move on, take with them;
Permanence: We will ensure a plan exists for all looked after children to achieve a permanent solution for their future upbringing. Wherever possible, permanence will be secured through a return to their parents' care or a placement within their wider family but where this cannot be achieved within a time-scale appropriate to the child's needs, plans will be made for a permanent alternative family placement, which may include adoption, or, for older children, a stable placement which prepares the child for adulthood;
Maintaining community links: Where children are looked after away from the family, they will be placed as near to their family home or community as possible unless their needs otherwise dictate;
Promoting contact: We will promote meaningful contact between looked after children and their families and community of origin unless particular circumstances indicate that such contact would not be in their best interests or where they are placed for adoption;
Monitoring: We will ensure that all looked after children receive regular and frequent visits from their social workers for the purposes of monitoring and reviewing the suitability of their placement arrangements. We will also ensure that all services to children reflect value for money and that the best use of resources is subject to ongoing monitoring and evaluation;
Young Offenders: We will promote the non-custodial treatment of young offenders by developing community-based alternatives and by working with other agencies and the community to reduce the need to bring Court proceedings.

2. Specialist Children's Services and Safeguarding: Objectives

To provide efficient effective and high quality services in order to deliver the national priorities;
To ensure that resources are efficiently deployed and effectively targeted at those in need;
To ensure that there is fair access to all services;
To promote social inclusion;
To improve the protection of vulnerable children;
To improve the quality of care for Children Looked After;
To improve the life chances of Children In Need;
To meet the social care needs of adults in a way that promotes independence;
To ensure that the services we provide are of a high quality and are user centred.

3. Recording Values and Principles

Records must be kept of all children
The design of records and forms must be approved
Children and their families must be informed about their records
The practitioner primarily involved should complete the record
All relevant information must be recorded and a chronology maintained
Children and their families should be involved in the recording process
Information about children and their families should normally be shared with them
Practice Supervisors must monitor information in the 'confidential' section of the child's record
Records must be dated
Records must be kept up to date
Records must be written in plain English and prejudice must be avoided
Records must be accurate and adequate
Managers must oversee, monitor and review records
Records must usually be retained after closure

1. Records must be kept of all children

Each child must have his or her own electronic case record from the point of referral.

2. The design of records and forms must be approved

Records and forms must be designed to fit their purpose and used consistently across the organisation.

The Designated Manager must approve the design of all records and forms before coming 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 records kept on them, the reasons why and their rights to confidentiality and of access to their records.

See Section 4, Confidentiality Values and 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 practitioner 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 originator should read and confirm the content of the record.

Records of decisions must show who has made the decision and the basis on which it has been made.

5. All relevant information must be recorded and a chronology maintained

EVERY CHILD'S CASE RECORD MUST INCLUDE A PROPERLY MAINTAINED CHRONOLOGY.

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.

7. Information about children and their families should normally 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 by Social Services; or
It is written information from 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 'confidential' section of the child's record and a note of the reasons, should be recorded.

8. Practice Supervisors must monitor information in the 'confidential' section of the child's record

Practice Supervisors must monitor information held in the 'confidential' section of electronic 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, (see Access to Records Procedure).

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.

9. Records must be dated

Those completing records must show their name and the date when the recording was completed.

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 and the date and time of the entry must 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 4, Confidentiality Values and Principles below

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.

14. Records must usually be retained after closure

Records must be retained for the following time scales:

MISCELLANEOUS PAPERS	5 years from date closed
CHILDREN IN NEED	10 years.
CHILDREN SIBJECT TO A CHILD PROTECTION PLAN	Until youngest child (during Child Protection Plan) in household reaches 21 or 10 years after closure (whichever is longer).
LOOKED AFTER CHILDREN a) Accommodation lasting more than 72 hours	75 years from date last episode ceased
b) Less than 72 hours.	Retain until the young person reaches 21 or 10 years after closure (whichever is earlier)
ADOPTION	100 years after date of Adoption Order
YOUTH JUSTICE	Misc: 5 years Files: 10 years. Looked After Children: return to central file store 3 years after contact ceases.
LEAVING CARE	Return to central file store 3 years after contact ceases.
FOSTER CARERS	30 years from end of last placement (retain in the Fostering service)
SUPERVISION ORDERS (Criminal and Family Proceedings)	Retain for 10 years after closure.
CHILDREN WITH DISABILITIES	Keep until 21 years of age or transfer to Adults Division at 18 years
FINANCE RECORDS	Retain for 7 years.
CHILDREN'S GUARDIAN RECORDS	Retained by Guardian.
ASYLUM SEEKERS AND FAMILY COURT ASSESSMENT SERVICE	Return to central file store 3 years after contact ceases

Each office and team should maintain a list of records which have been destroyed, the date when they were destroyed and by whom.

4. Confidentiality Values and Principles

Please also see Confidentiality and Loss of Sensitive Data Procedure.

N.B. Readers should be aware of and be read this section in conjunction with Purpose Specific Information Sharing Arrangements between the Metropolitan Police, Southwark Council, and Southwark Primary Care Trust.

Legal duty of confidence
Disclosure of confidential information in exceptional circumstances
Situation where disclosure is permitted should be shared with children involved
Disclosures and sharing information with colleagues and agencies
Freedom of Information Act 2000

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. Situation where disclosure is permitted should be shared with children involved

Children should be informed of the circumstances in which information about them will be shared with others. This may be provided in a User/Children's Guide or in other ways, and it will 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 or Complaints investigation 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 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.

The older and more mature the child is, the more weight can and should be given to their wishes and feelings.

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. Detailed guidance on this is set out in 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 for the decision should be explained. In these circumstances, the person should be informed of any rights they have to formally challenge the

2. Management consultation

Unless otherwise stated in specific procedures in this Handbook, 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 Handbook require that managers are informed within specified timescales or their approval is sought before actions are taken, this must be complied with unless there are exceptional circumstances that prevent it; for example, where it is necessary to act immediately to protect a child from injury.

In which case, the most senior person should take what action seems appropriate in the circumstances and the manager must then be informed as soon as practicable thereafter, and at the latest within 24 hours.

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 that do not have parental consent. This is particularly so in cases where emergency action is being considered.

Before a social worker seeks legal advice, the agreement of the Designated Manager (Legal Advice) is required.

End