Allegations Against Staff

This guidance should be followed in relation to any allegation that a person who works in the Service has:

• Behaved in a way that has harmed a child or young person, or may have harmed a child/ young person;
• Possibly committed a criminal offence against, or related to, a child, young person or vulnerable adult;
• Behaved towards a young person in a way that indicates they may pose a risk of harm to children and young people; or
• Behaved or may have behaved in a way that indicates they may not be suitable to work with children and young people.

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

Young people 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 Service.

Any concerns relating to inappropriate relationships between members of staff and young people who are supported by the Service, together with other offences or behaviour which call into question their capacity as a role model for the young person 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 or young people 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. Young people 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 Young People and Referring Safeguarding Concerns.

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/ young people, or that the alleged behaviour indicates that the individual may pose a risk of harm to young people (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 young person 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 registered person. 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 Service. 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 registered person 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 registered person 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 young person with information on the Service’s Complaints and Representations 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 young person’s file, including the actions of the Service.

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

The registered person 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 Service 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 young person’s social worker or team manager or the LADO.

Each local authority should have clear arrangements in place for the management and oversight of allegations against people that work with children and young people. 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 and young people under the age of 18. 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) (see Section 11, Referrals to the Disclosure and Barring Service), and liaise with the 3 safeguarding partners.

The initial discussion between the Senior Manager from the Service 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 young person 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 Service 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 young person.

The LADO will consult with the Senior Manager from the Service and other relevant agencies e.g. the accommodating authority and the area authority (if different), the police, relevant social workers in order to manage and coordinate decisions which will need to be taken in relation to the member of staff against whom 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 the young person or vulnerable adults;
• In relation to the young person, 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 9, Suspension).

Whether the concern is progressed further by the LADO or alternative routes are sought, the Senior Manager from the Service or other Senior Manager should promptly advise the young person’s social worker of the concerns and the actions that have been taken.

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

The Initial Strategy Meeting

The strategy meeting/discussion should:

• Decide whether there should be a Section 47 Enquiry and/or Police investigation and consider the implications;
• Consider whether any parallel disciplinary process can take place and agree protocols for sharing information;
• Consider the current allegation in the context of any previous allegations or concerns;
• Where appropriate, take account of any entitlement by staff to use reasonable force to control or restrain children;
• Consider whether a complex abuse investigation is applicable;
• Plan enquiries if needed, allocate tasks and set timescales;
• Decide what information can be shared, with whom and when.

The Strategy Meeting/Discussion should also:

• Ensure that arrangements are made to protect the young people involved and any other child/ren and young people affected, including taking emergency action where needed;
• Consider what support should be provided to all young people who may be affected;
• Consider what support should be provided to the member of staff and others who may be affected and how they will be kept up to date with the progress of the investigation;
• Discuss informing the young person's parents of the allegation and devising a 'communication strategy' to ensure they are kept up to-date (unless this is inappropriate);
• Make recommendations where appropriate regarding suspension, or alternatives to suspension;
• Identify a lead manager within each agency;
• Agree protocols for reviewing investigations and monitoring progress by the LADO, having regard to the target timescales;
• Consider issues for the attention of senior management (e.g. resource implications, media interest (see also Section 7, Confidentiality);
• Consider reports for consideration of barring;
• Consider risk assessments to inform the employer's safeguarding arrangements;
• Agree dates for future strategy meetings / discussions.

Final Strategy Meeting

A final strategy meeting / discussion should be held to ensure that all tasks have been completed, including any referrals to the DBS if appropriate (see Section 11, Referrals to the Disclosure and Barring Service) and, where relevant, agree an action plan for future practice based on lessons learnt.

The following definitions will be used by the LADO when determining the outcome of allegation investigations:

1. Substantiated: there is sufficient evidence to prove the allegation;
2. Malicious: there is sufficient evidence to disprove the allegation and there has been a deliberate act to deceive;
3. False: there is sufficient evidence to disprove the allegation; however there is no evidence to suggest that there was a deliberate intention to deceive;
4. Unsubstantiated: there is insufficient evidence to either prove or disprove the allegation; the term therefore does not imply guilt or innocence;
5. Unfounded: to reflect cases where there is no evidence or proper basis which supports the allegation being made.

The Service must maintain confidentiality and guard against publicity while an allegation is being investigated or considered. Apart from keeping the young person, their parents if appropriate and accused person (where this would not place the young person 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 and young people, facilitate enquiries, and manage related disciplinary or suitability processes.

For the Young Person

The Service, the young person’s social worker and/or police, where they are involved, should consider the impact on the young person concerned and any other young person in the Service and provide support as appropriate. Liaison between the agencies should take place in order to ensure that the young person’s needs are addressed. Note: it is important to ensure that providing the young person with the relevant support they need does not prejudice the outcome of any other related court proceedings, e.g. criminal charges. A careful balance should be maintained and further legal advice sought if required).

Keeping parents/carers informed

The Service would usually inform the parents of the young person involved of the allegation and the process that is being followed unless this will be detrimental to the welfare of the young person and the young person has made the decision they do not want their parents to know. The LADO can advise the employer whether or not the parents should be informed. However, in some circumstances, the parent/s may need to be told straight away (e.g. if a young person is injured and requires medical treatment).

The young person should be helped to understand the processes involved and be kept informed about the progress of the case 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.

For the employee

Following consultation with the LADO, the accused member of staff should be provided with information about the allegation and the initial actions agreed. Employers have a duty of care, and should provide effective support for anyone facing an allegation and act to manage and minimise the stress inherent in the allegations process. Any staff member who is suspended should be provided with a named contact person.

The person against whom the allegation is made should be advised to contact their union or professional association. Human Resources should be consulted at the earliest opportunity in order that appropriate support can be provided via the organisation's Occupational Health or Employee Welfare arrangements. They should be given access to welfare counselling or medical advice where this is provided by the employer.

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 young person or other young person are at risk of harm; or
• The allegation is so serious that it might be grounds for dismissal.

The possible risk of harm to the young person should be evaluated and managed in respect of the child/young person involved and any other young person 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 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 young person concerned, if they are still in the Service.

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.

Note: The Independent Inquiry into Child Sexual Abuse has said that:

It is now very unlikely that the Chair and Panel will request access to documents relevant to the Inquiry’s Terms of Reference.

Consequently, organisations can plan for destruction or deletion of records that have been retained for the purposes of the Inquiry, which can resume at the end of the Inquiry’s Judicial Review period, currently set for 20th January 2023. However, please consider the following when drawing up disposal plans:

1. Whether any of the records you have retained are likely to be of significant interest to victims and survivors and that your retention schedules meet their needs;
2. The obligation to retain records for other inquiries remains.

Further information about the Inquiry’s moratorium on the destruction of records can be found on the Inquiry’s website. 

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 young people (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 Service’s Whistleblowing or Raising a Concern at Work Procedure 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 Service may still wish to consider disciplinary proceedings against staff.

Where the concerns have not warranted further investigation under these procedures, other routes may be identified as more appropriate at this stage, for example, the complaints process (see Complaints and Representations Procedure).

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 young person 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 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 young person 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 young person to talk, but don't press for information;
• Tell the young person throughout that they are not to blame for anything that has happened;
• Reassure the young person that they were right to tell;
• Let the young person know that other people will have to be informed;
• Try to explain in a way that the young person can understand.

DON'T

• Promise to keep secrets;
• Make any promises you can't keep;
• Interrogate the young person or ask leading questions;
• Cast doubt on what they have said;
• Make the young person 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 young person's file except where a colleague is implicated or where there is any risk to the young person as a result, in which case notes/records should be given to the manager dealing with the matter.