3.3 Underlying Policy, Principles and Values
AMENDMENTThis chapter was amended throughout in February 2014 and should be re-read. In particular Section 1, Safeguarding and Promoting Children’s Welfare has been significantly revised as a result of local review.
- Safeguarding and Promoting Children's Welfare
- Child Protection
- Principles Underpinning all Work to Safeguard and Promote the Welfare of Children
- Working in Partnership with Children and Families
- Time Scales
- Case Recording
Throughout this Manual, safeguarding and promoting the welfare of children is defined as:
- Protecting children from maltreatment;
- Preventing impairment of children’s health or development;
- Ensuring that children are growing up in circumstances consistent with the provision of safe and effective care.
and undertaking that role so as to enable those children to have optimum life chances and to enter adulthood successfully.
Effective safeguarding arrangements should be underpinned by two key principles:
- Safeguarding is everyone's responsibility: for services to be effective each professional and organisation should play their full part; and
- A child-centred approach: for services to be effective they should be based on a clear understanding of the needs and views of children.
This guidance aims to help professionals understand what they need to do, and what they can expect of one another, to safeguard children. It focuses on core legal requirements, making it clear what individuals and organisations should do to keep children safe. In doing so, it seeks to emphasise that effective safeguarding systems are those where:
- The child's needs are paramount, and the needs and wishes of each child - be they a baby, infant, or an older child - should be put first, so that every child receives the support they need before a problem escalates;
- All professionals who come into contact with children and families are alert to their needs and any risks of harm that individual abusers, or potential abusers, may pose to children;
- All professionals share appropriate information in a timely way and can discuss any concerns about an individual child with colleagues and local authority children's social care;
- High quality professionals are able to use their expert judgement to put the child's needs at the heart of the safeguarding system so that the right solution can be found for each individual child;
- All professionals contribute to whatever actions are needed to safeguard and promote a child's welfare and take part in regularly reviewing the outcomes for the child against specific plans and outcomes;
- LSCBs coordinate the work to safeguard children locally and monitor and challenge the effectiveness of local arrangements;
- When things go wrong Serious Case Reviews (SCRs) are published and transparent about any mistakes which were made so that lessons can be learnt; and
- Local areas innovate and changes are informed by evidence and examination of the data.
Ultimately, effective safeguarding of children can only be achieved by putting children at the centre of the system, and by every individual and agency playing their full part, working together to meet the needs of our most vulnerable children.
Children want to be respected, their views to be heard, to have stable relationships with professionals built on trust and for consistent support provided for their individual needs. This should guide the behaviour of professionals. Anyone working with children should see and speak to the child; listen to what they say; take their views seriously; and work with them collaboratively when deciding how to support their needs. A child-centred approach is supported by:
- The Children Act 1989 (as amended by section 53 of the Children Act 2004). This Act requires local authorities to give due regard to a child's wishes when determining what services to provide under section 17 of the Children Act 1989, and before making decisions about action to be taken to protect individual children under section 47 of the Children Act 1989. These duties complement requirements relating to the wishes and feelings of children who are, or may be, looked after (section 22 (4) Children Act 1989), including those who are provided with accommodation under section 20 of the Children Act 1989 and children taken into police protection (section 46(3) (d) of that Act);
- The Equality Act 2010 which puts a responsibility on public authorities to have due regard to the need to eliminate discrimination and promote equality of opportunity. This applies to the process of identification of need and risk faced by the individual child and the process of assessment. No child or group of children must be treated any less favourably than others in being able to access effective services which meet their particular needs; and
- The United Nations Convention on the Rights of the Child (UNCRC). This is an international agreement that protects the rights of children and provides a child-centred framework for the development of services to children. The UK Government ratified the UNCRC in 1991 and, by doing so, recognises children's rights to expression and receiving information.
Protecting children from maltreatment is important in preventing the impairment of health or development. Protecting children from maltreatment and preventing impairment of children's health or development are necessary, but not sufficient to ensure that children are growing up in circumstances consistent with the provision of safe and effective care. These aspects of safeguarding and promoting welfare are cumulative and all contribute to the five outcomes set out in the Children Act 2004, which are key to children and young people's wellbeing:
- Stay safe;
- Be healthy;
- Enjoy and achieve;
- Make a positive contribution;
- Achieve economic wellbeing.
Child protection is part of safeguarding and promoting welfare. This refers to the activity that is undertaken to protect specific children who are suffering or at risk of suffering Significant Harm.
Effective child protection is essential as part of wider work to safeguard and promote the welfare of children. However, all agencies and individuals should aim pro-actively to safeguard and promote the welfare of children so that the need for action to protect children from harm is reduced.
The Leicester, Leicestershire and Rutland Safeguarding Children Boards and all managers, employees, professionals, volunteers, carers, independent contractors and service providers must ensure that their practice reflects an approach which is:
|The child should be seen (alone when appropriate) by the Lead Social Worker in addition to all other professionals who have a responsibility for the child's welfare. His or her welfare should be kept sharply in focus in all work with the child and family. The significance of seeing and observing the child cannot be overstated. The child should be spoken and listened to, and their wishes and feelings ascertained, taken into account (having regard to their age and understanding) and recorded when making decisions about the provision of services. Some of the worst failures of the system have occurred when professionals have lost sight of the child and concentrated instead on their relationship with the adults.
Rooted in child development
|Those working with children should have a detailed understanding of child development and how the quality of the care they are receiving can have an impact on their health and development. They should recognise that as children grow, they continue to develop their skills and abilities. Each stage, from infancy through middle years to adolescence, lays the foundation for more complex development. Plans and interventions to safeguard and promote the child's welfare should be based on a clear assessment of the child's developmental progress and the difficulties the child may be experiencing. Planned action should also be timely and appropriate for the child's age and stage of development.|
|When working directly with a child, any plan developed for the child and their family or care giver should be based on an assessment of the child's developmental needs and the parents/caregivers' capacity to respond to these needs within their family and environmental context. This plan should set out the planned outcomes for each child, progress against these should be regularly reviewed and the actual outcomes should be recorded.|
Having a holistic approach means having an understanding of a child within the context of the child's family (parents or care givers and the wider family) and of the educational setting, community and culture in which he or she is growing up. The interaction between the developmental needs of children, the capacities of parents or care givers to respond appropriately to those needs and the impact of wider family and environmental factors on children and on parenting capacity requires careful exploration during an assessment.The ultimate aim is to understand the child's developmental needs and the capacity of the parents or caregivers to meet them and to provide appropriate services to the child and to the family which respond to those needs. The analysis of the child's situation will inform planning and action in order to secure the best outcomes for the child, and will inform the subsequent review of the effectiveness of actions taken and services provided. The child's context will be even more complex when they are living away from home and looked after by adults who do not have parental responsibility for them.
|Equality of opportunity means that all children have the opportunity to achieve the best possible developmental outcomes, regardless of their gender, ability, race, ethnicity, circumstances or age. Some vulnerable children may have been particularly disadvantaged in their access to important opportunities, and their health and educational needs will require particular attention in order to optimise their current welfare as well as their long-term outcomes into adulthood.|
|In the process of finding out what is happening to a child it is important to listen to the child, develop a therapeutic relationship with the child and through this gain an understanding of his or her wishes and feelings. The importance of developing a co-operative working relationship is emphasised, so that parents or care givers feel respected and informed, they believe agency staff are being open and honest with them, and in turn they are confident about providing vital information about their child, themselves and their circumstances. The consent of children, young people and their parents or care givers, where appropriate, should be obtained when sharing information unless to do so would place the child at risk of suffering Significant Harm. Similarly, decisions should also be made with their agreement, whenever possible, unless to do so would place the child at risk of suffering Significant Harm. See also Information Sharing and Confidentiality Procedure.|
Identifying both strengths (including resilience and protective factors) and difficulties (including vulnerabilities and risk factors) within the child, his or her family and the context in which they are living is important, as is considering how these factors are having an impact on the child's health and development. Too often it has been found that a deficit model of working with families predominates in practice, and ignores crucial areas of success and effectiveness within the family on which to base interventions.Working with a child or family's strengths is an important part of a plan to resolve difficulties.
From birth, there will be a variety of different agencies and services in the community involved with children and their development, particularly in relation to their health and education. Multi and inter-agency work to safeguard and promote children’s welfare starts as soon as it has been identified that the child or the family members have additional needs requiring support/services beyond universal services, not just when there are questions about possible harm.
|Understanding what is happening to a vulnerable child within the context of his or her family and the local community, and taking appropriate action are continuing and interactive processes and not single events. Assessment should continue throughout a period of intervention, and intervention may start at the beginning of an assessment.|
|Action and services should be provided according to the identified needs of the child and family in parallel with assessment where necessary. It is not necessary to await completion of the assessment process. Immediate and practical needs should be addressed alongside more complex and longer term ones. The impact of service provision on a child's developmental progress should be reviewed at regular intervals.|
|Effective practice with children and families requires sound professional judgements which are underpinned by a rigorous evidence base, and draw on the practitioners knowledge and experience. Decisions based on these judgements should be kept under review, and take full account of any new information obtained during the course of work with the child and family.|
The above principles are taken from Working Together to Safeguard Children 2010, 5.5 (now archived).
Work in partnership with families must be based on the following principles:
- Treat all family members with dignity and respect and offer a caring and courteous service;
- Where appropriate enable all family members to participate in the assessment process, regardless of race, culture, religion, gender, sexual orientation or ability;
- Ensure family members know the child’s safety and welfare has priority;
- Minimise infringement of privacy consistent with protecting the child;
- Be clear about powers and purpose of any intervention;
- Be aware of the impact on the family of professional actions;
- Respect confidentiality and pass on information and/or observations about the family only with permission or to protect the child;
- Listen to and try to understand the concerns, wishes and feelings of the child and family before formulating explanations and plans;
- Learn about the child’s religious, cultural, community and familial context;
- Consider strengths, potential and limitations of family members;
- Ensure all family members know their responsibilities and rights with respect to receipt or refusal of services and its consequences;
- Use simple jargon-free language appropriate to age and culture of each individual;
- Be open and honest about concerns and professionals’ responsibilities, plans and limitations;
- Allow individuals time to absorb professional concerns and processes;
- Distinguish between personal feelings, values, prejudices and beliefs, and professional roles and responsibilities and seek and use supervision to check achievement of this;
- Always acknowledge errors, failures or oversights and the distress caused to families;
- Give explicit consideration to the potential conflict between family members and the possible need for children or adults to speak without other family members present;
- Children and young people should be consulted and kept informed about what is to happen to them;
- Children’s welfare must be safeguarded by prompt, positive and pro-active attention.
For more information, see Culturally Appropriate Practice, Meeting the Needs of Black and Minority Ethnic Children
Any timescales referred to in the procedures are the minimum standards required by the Leicester City, Leicestershire and Rutland Safeguarding Children Boards.
Where the welfare of the child requires it, shorter time-scales must be achieved.Any extension to the time-scales must be authorised by the relevant manager following consultation with relevant managers from the other agencies.
The following is intended to ensure the security of children’s case records and the integrity of the information that they contain.
Good quality case recording is essential in ensuring:
- Continuity of service to children and families when staff are unavailable or change, or when a service resumes after a period of time;
- Effective risk management practices to safeguard the well-being of children, especially in emergency situations;
- Effective partnerships between staff, children, their families, their carers, other agencies and service providers;
- Clarity of information for everyone involved in the planning and delivery of services, and in the event of investigations, inquiries, or audits;
- Adequate information for staff and managers to ensure the best possible utilisation of available resources;
- As a means by which to ensure accountability and adherence to procedures and statutory responsibilities.
6.1 Records Must Be Kept On All Individual Children and Family Members
Records may be in the form of paper files and/or computer records; audio or video recordings may also be kept. Separate case/file records must be made for each child.
All case records must be organised in order to safeguard the contents, protect the confidentiality of the individuals concerned, and make them as easy as possible to use.
Information held in electronic records must accurately reflect the corresponding information recorded within paper files.
Records held on paper may extend to more than one volume. Where more than one volume exists, the dates covered by each volume must be clearly recorded on the front cover.
Where information is held on a paper file, the electronic record must be used to identify the source and location of the paper record.
6.2 Forms must be completed in accordance with instructions
Forms must be completed in all fields as indicated by the agencies instructions and signed and dated.
6.3 Individuals have a right to be informed about their records
Individuals have a right to be informed about their records, the reasons why they are kept, their rights to confidentiality and how to access their records.
Information should be provided in a form that individuals will understand. An interpreter should be provided if needed.
6.4 The practitioner primarily involved should complete the record
The practitioner primarily involved, i.e. the person who directly observes or witnesses the event that is being recorded or who has participated in the meeting/conversation, should complete the record.
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 as well as stating their post title. There must be clear differentiation between opinion and fact.
Records of decisions must show who has made the decision and the reasons for which it has been made.
6.5 All relevant information must be recorded
Every case file or electronic record must be completed with information about the individuals full name, address, date of birth, ethnicity, religion, any reference or identification number, any risk assessment, a transfer/closing summary (where appropriate) and, in the case of paper files, volume number.
6.6 Children and families should be involved in the recording process
Children (depending on their age and understanding) 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 in respect of services they may receive.
Generally, they must also be asked to give their agreement to the sharing of their information with others, except where there are concerns about Significant Harm. For further guidance about when information can be shared without consent being sought, see Information Sharing and Confidentiality Procedure. Where there is uncertainty about information sharing where there are concerns about Significant Harm, staff should consult with supervisors / managers.
6.7 Records must be legible, signed and dated
Those completing computerised records must show their name, post title and the time and date when the recording was completed. The sequence of the recording must also be noted.
Paper records should be typed or handwritten and all records must be signed, dated and the persons post title stated.
Any handwritten records must be legible.
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.
6.8 Time scales for recording
Records should be completed contemporaneously or as soon as practicable after the event occurs and should be updated as information becomes available or as decisions or actions are taken.
Where records are made or updated late or after the event, the fact must be stated in the record, and the date and time of the entry should be included.
All agencies must adhere to their own agency recording policy and procedures.
6.9 Records must be written in plain English and prejudice must be avoided
Records must be written concisely, in plain English, avoiding statements that are judgmental or speculative, and focusing instead on facts about the needs, strengths, and objectives of individuals.
Entries to case records should be written in a way which is sensitive to differences of diverse ethnic and religious backgrounds and lifestyles.
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.
6.10 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, judgments and decisions.
Records must also distinguish between first-hand information and information obtained from third parties.
6.11 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.
The manager should routinely audit records to ensure they are up to date and maintained as required and, if not, that deficiencies are rectified as soon as practicable.
All management recommendations, decisions and actions must also be recorded and regularly reviewed.
6.12 Records should be kept securely
All records must be kept securely, including electronic records and transfer of information across agencies.
Paper records will be kept in folders with all documents firmly affixed to prevent their loss.
Files in paper form should be stored in a locked cabinet, or a similar manner, usually in an office which only staff/carers have access to. Records should not be left unattended when not in their normal location.
6.13 Removal of records
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.
Care must be taken so that records on laptops, discs, memory sticks or other information storage devices are removed only in accordance with each agency's procedures.
The authorisation for any record to be removed must be recorded and those who may need to see the records should be informed of their removal. The manager must then ensure the record is returned as required/agreed.
6.14 Record retention after closure
Files should be retained for the period set out in each agencies own record retention policy.
In all agencies the relevant policies relating to retention and destruction apply and any member of staff responsible for a child’s records when services end and the case is closed, is responsible for ensuring that the records to be retained are in good order and that unnecessary items have been removed, for example, compliment slips, duplicate copies etc.