1.1.2 Policy Framework, Values and 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 families. It also sets out underlying values and principles for recording, confidentiality and consultation.

Policy Statement
Equal Opportunities Statement
Recording Values and Principles
Confidentiality Values and Principles
Consultation Values and Principles

1. Policy Statement

In all dealings with the child and her/his family, the Department’s commitment to anti-discriminatory practice and culturally sensitive services must be evident - see also Section 2, Equal Opportunities Statement
The best outcomes for children will be promoted by working in partnership with them, their parents and relatives wherever possible.
If a child cannot live with his/her birth parents, care by friends and family carers is the placement of first consideration in assessing how best to meet the needs of the child - see also Kinship Care Policy
Children and their parents should be provided with good quality information to enable them to exercise choice and understand what they can reasonably expect to happen. Interpreters and non-verbal communication methods will be used as appropriate.
The child will be at the centre of all planning, review and decision-making. Her/his feelings and views will always be sought, given serious consideration and recorded. Any complaint made by her/him will be responded to seriously and promptly.
Good outcomes depend on thorough, evidence-based assessment of need and planned interventions to meet assessed needs. Consistent use of the Assessment Framework will support such assessment and planning.
Decision-making for a child should be within the child’s timescale and informed by the need to safeguard and promote the child’s welfare throughout her/his childhood.
The child’s confidentiality, and that of her/his parent, will be respected so far as this is consistent with safeguarding her/his welfare. See also Section 4, Confidentiality Values and Principles.
Where a child is Looked After, this will be disclosed only to those who need to have this information. Where age appropriate, the child’s wishes about disclosure will be sought and considered.
The authority’s overarching objective for any child it looks after will be to ensure a permanent arrangement for that child throughout his or her childhood.
Wherever possible and appropriate, a child will be placed close to his or her family home, preferably with a relative or friend.
The capacity of a placement to meet any specific needs arising from the child’s religion, race, culture, language or impairment will be among the criteria used in selecting placements.
Wherever possible and appropriate, siblings will be placed together.
The role of foster carers in offering a family placement to a child who cannot live with his or her birth family will be valued and respected.
Where permanence away from the birth family is the plan for the child this will be progressed in a timely manner, to meet the identified needs of the child. Any unnecessary and/or inappropriate delay will be avoided, as it is recognised that delays in achieving permanence can have a severe impact on the health and development of children.
The role of adoptive parents, special guardians and those applying for Residence Orders in offering a permanent family to a child who cannot live with his or her birth family will be valued and respected.
Children should be offered appropriate counselling about all areas of their care, including their placement.

2. Equal Opportunities Statement

This statement shows the commitment of the Education and Children's Services Department to Equal Opportunities and will be made available in other languages if requested.

The Education and Children's Services Department is committed to ensuring that services are equally available to all people.
The Department is opposed to all forms of racism and other forms of discrimination based on age, beliefs, class, disability, health, ethnic origin, gender or sexual orientation.
We will not tolerate offensive or abusive remarks or behaviour nor offensive jokes or imitations.
We will resist and challenge acts of discrimination and support our clients and staff when confronted with racial or sexual harassment. This support means that we will offer advice, counselling and help if clients or staff wish to pursue action via the police, complaints system or harassment procedures.
If any person feels they have been discriminated against here or anywhere else, please tell us and we will try to help - see also the Whistle Blowing Procedure.
Hillingdon Council's Services are open to all and should be accessible to everybody.

3. Recording Values and Principles

Case records must be kept on all children
The design of records and forms must be approved
Children and their families must be informed about their records
All relevant information about children and their families must be recorded, including a Chronology
Children and their families should be involved in the recording process
Information about children/their families should be shared with them
Managers must monitor information held in ’Restricted Access’ section of the child's case record
Records must be legible, signed and 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
Records must be relevant and not excessive
Managers must oversee and monitor all records
Records should be kept securely
Removal of records must be an exceptional occurrence
Records moved to a new location must be monitored
Records must usually be retained after closure

1. Case records must be kept on all children

Each child must have his or her own individual case record on ICS from the point of referral: primary case records are held electronically but records may be in paper form, e.g. letters, plans and diary sheets; audio or video recordings may also be kept.

Information held in electronic records must accurately reflect any corresponding information held within paper files.

2. The design of records and forms must be approved

Records and forms must be designed to fit their purpose and have the approval of the relevant Service Manager.

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.

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.

For children, the Department’s records are one of the most detailed accounts of large parts of their lives. It is important, therefore that this information is gathered and kept in such a way that they are able to gain the maximum understanding and benefit from it.

It is the responsibility of workers to ensure that children know about their lives and are given access to this information when they are sufficiently mature to cope with it.

4. All relevant information about children and their families must be recorded, including a Chronology

Every child’s electronic record must include basic information, a risk assessment, a properly maintained and updated Chronology and a transfer/closing summary (where appropriate).

The Chronology must be started on ICS at the conclusion of an Initial Assessment where it is identified that the further involvement of Children and Families is required.

All relevant contacts with children, their families, colleagues, professionals or other significant people must be recorded electronically, i.e. who was present or seen, the relevant discussions, actions or decisions taken.

Records of decisions must show who has made the decision, the reasons why it has been made and the evidence upon which it is based.

5. 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 - see Section 6 below.

6. 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, or
The information relates to a third party who expressly indicated the information should not be disclosed
The information is relevant to the prevention or detection of a crime and to release it would prejudice the investigation.

In relation to adoption, see Access to Birth Records and Adoption Case Records Procedure.

Where information, which should not be shared with the child concerned for one of the above reasons, is obtained and recorded, it should be placed in the ‘Restricted Access’ section of the child’s record and the reasons should be recorded.

7. Managers must monitor information in the ‘Restricted Access’ section of the child’s case record

Managers must monitor information held in the 'Restricted Access' section of a child's record, 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.

8. Records must be legible, signed and dated

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

All paper records should be typed or handwritten in black ink and all records must be signed and dated. Wherever appropriate and possible, hand written notes should be transferred to the electronic record as soon as practicable or filed in the correct section of the paper record.

Any handwritten records must be produced so that readers not familiar with the handwriting of the writer can read the records quickly and easily. It must be possible to distinguish the name and post title or status of the person completing the record. If there is any doubt of the identity of the writer from a signature, the name should be printed.

9. Records must be kept up to date

Records should be kept up to date with any new information as it becomes available or as decisions or actions are taken. Any change of address, change of school, change of responsible social worker and/or the start/end of particular services should be updated as soon as practicable or, at the latest, within 24 hours.

The sooner the record is updated, the more accurate it is and the better evidence it provides.

10. 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.

It should always be remembered that clients have a right of access to their records and records should be written with this in mind. It is anticipated that as much information as possible will be shared with clients as part of working with them.

11. Records must be accurate and adequate

Records must be accurate and distinguish clearly between facts, opinions, assessments and decisions.

Opinions should have a clear indication as to their foundation.

Records must also distinguish between first hand information and information obtained from third parties.

Unsubstantiated comments have no place in records unless the source and truth of comment are also recorded as far as they can be determined.

If a member of staff receives information from an anonymous source, this fact must be recorded together with a record of the worker’s attempt to verify the information and the extent to which it was successful or unsuccessful.

See Section 4, Confidentiality Values and Principles

12. Records must be relevant and not excessive.

Only the information needed to do the job should be collected – don’t ask for things because you think it would be ‘nice to know’.

13. Managers must oversee and monitor all 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.

Files must contain evidence of management oversight/endorsement of decisions, which should support work and ensure accountability. Decisions made in supervision should be clearly recorded and held on the child's record.

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 should be kept securely

All members of staff have a responsibility to ensure that the information contained in records is kept securely.

This involves preventing unauthorised access by keeping passwords secret and protecting electronic records from corruption caused by hardware faults or a virus.

Children’s paper records 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 relevant 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.

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 the Retention and Destruction of Children's Records Procedure.

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

4. Confidentiality Values and Principles

Legal duty of confidence
Disclosure of confidential information in exceptional circumstances
Informing children about disclosure
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 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.

The law requires that data must be:

Fairly and lawfully processed
‘Processing’ includes obtaining, recording, changing, using and disposing. Personal data cannot be processed unless the conditions of the Data Protection Act 1998 are met, usually by obtaining the person’s consent to the processing.
Processed for limited purposes
We must be open about how information is to be used and not use it for any other purpose.
Processed in line with the rights of the individual
We must inform them that processing is taking place, allow them to inspect any personal data we hold about them and correct or erase information that we are told is wrong.

2. Disclosure of confidential information is permitted 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 Section 47 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 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. In any event, a member of staff must not hand over information to anyone unless satisfied that:

The person/agency is entitled to that information.
The identity of the person/agency can be established without any doubt.
The person/agency will maintain an appropriate ethical approach to the confidentiality of the information provided.

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.

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 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.

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. Whether consents have been given should be recorded.

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 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.

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 with Legal Services, and that workers are aware of who may authorise contact, who may have contact and how contact should be made.

End