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Contents

1.	Child Care Policy and Strategy
	1.1	Introduction
	1.2	Policy Statement
	1.3	Our Strategy
	1.4	Structure Chart
2.	Family and Friends Policy
3.	Recording Values and Principles
4.	Confidentiality Policy, Values and Principles
5.	Consultation Values and Principles

1. Child Care Policy and Strategy

1.1 Introduction

This policy sets out the framework within which Children's and Young People's Services work with children, young people and their families. It is underpinned by a range of legislation including, but not limited to:

• Children Acts 1989 and 2004
• Children (Leaving Care) Act 2000
• Care Standards Act 2000
• United Nations Convention on the Rights of The Child
• Human Rights Act 1998
• Adoption and Children Act 2002

The policy framework also has regard to and is consistent with a range of government guidance, particularly the Every Child Matters agenda and the principles set out in Working Together to Safeguard Children.

It is largely directed towards the work that Children's and Young People's Services undertakes with Children in Need; which is carried out in partnership with all sectors of the Council and with other statutory, independent and voluntary sector services.

1.2 Policy Statement

In Children's and Young People's Services, we will work to ensure that all children have the best chances in life to achieve their full potential.

Key Outcomes

This can be summarised under 5 key outcomes for children and young people:

• Being healthy

All children and young people have the right to have their physical and mental health safeguarded and promoted. They also have the right to live a healthy lifestyle.

• Being safe

All children and young people have the right to be safe and secure, protected from harm and neglect, and to live in an environment that enables them to develop to their full physical, mental, spiritual, moral and social potential.

• Enjoying and achieving

All children and young people have the right to the best possible education and training which meets their identified needs and equips them to live full adult lives. They also have the right to time and support to pursue appropriate leisure interests, especially children acting as young carers.

• Making a positive contribution

All children and young people have the right to family life wherever possible and to be supported to take part in community life. They have the right to a continuity of care wherever possible and to develop and preserve their own identities. They also have a right to information and to make choices about their lives, having regard to their age and understanding. Through this they will be enabled to make a positive contribution to the community and to society.

• Economic well-being

All children have the right to live above the poverty threshold and to be equipped with the skills and knowledge that will help them overcome socio-economic disadvantage where necessary.

Key Principles

Consideration of children's welfare and best interests will always be at the centre of our work.

Children's and Young People's Services will work to ensure the above outcomes by working to maintain children within their own families, and facilitating services to support this arrangements, wherever this is possible and consistent with the child's safety and well-being.  

Where a child cannot be cared for within his or her immediate family, we will make strenuous efforts to identify potential carers within the wider kinship network of the child who are able and willing to care for the child. 

If continuing care within his/her family is not possible we will make every effort to identify suitable alternative carers, reflecting the child's ethnic, religious, cultural and linguistic background wherever possible and appropriate. We will seek to identify suitable local placements to provide educational and social continuity

We will ensure that children who are looked after are placed in approved placements, suitable to meet their needs and that, wherever possible, siblings are placed together. For younger children, they will be placed in a family placement unless there are sound assessed reasons why residential care is the preferred option.

We will ensure that permanence plans are made for all looked after children within 4 months of their becoming looked after and enacted as quickly as possible. If a young person remains in care we will ensure that they are supported when they leave care at least until they are 21, to give them a positive start to independent living.

We will consult with children, their parents and other significant adults about plans for their care and these plans will be subject to independent review. We will also consult about the services we provide and ensure that children have access to advocacy services that will assist them in being heard.

1.3 Our Strategy

The strategy for Children's and Young People's Services is to harness government policy and funding streams to improve performance, so that we can work with other agencies to ensure better outcomes for every child and his or her family through cost effective systems, structures and partnerships - through targeting services to prevent most children from becoming children in need, whilst concentrating specialist services on children most in need to give them the best possible life chances.

1.4 Structure Chart

Click here to view the chart.

2. Family and Friends Policy

1. Introduction
2. Values and Principles
3. Legal Framework
4. Different situations whereby children may be living with family and friends carers
5. Provision of financial support - general principles
6. Accommodation
7. Supporting contact with parents
8. Family Group Conferences
9. Complaints procedure
   
   Appendix A: Caring For Somebody Else’s Child - Options
   
   Appendix B: Summary of Consultation Findings

1. Introduction

Children may be brought up by members of their extended families, friends or other people who are connected with them for a variety of reasons and in a variety of different arrangements. 

This policy sets out the local authority’s approach towards promoting and supporting the needs of such children and covers the assessments which will be carried out to determine the services required and how such services will then be provided.

In drawing up this policy, we have consulted children and young people, family and friends carers and parents. A summary of findings from these consultations, showing how their views have informed this policy, is at Appendix B: Summary of Consultation Findings.

The manager with overall responsibility for this policy is the Deputy Director (Social Care & SEN). The Deputy Director will be responsible for ensuring that the policy meets the statutory requirements and the identified needs of children, young people and their carers.

This policy will be regularly reviewed, at least annually, and made freely and widely available.

2. Values and Principles

Consideration of children's welfare and best interests will always be at the centre of the work we do.

It is an underlying principle that children should be enabled to live within their families unless this is not consistent with their welfare. We will therefore work to maintain children within their own families, and facilitate services to support any such arrangements, wherever this is consistent with the child's safety and well-being. This principle applies to all children in need, including those who are looked after by the local authority. Where a child cannot live within his or her immediate family and the local authority is considering the need to look after the child, we will make strenuous efforts to identify potential carers within the child’s network of family or friends who are able and willing to care for the child. 

We will provide support for any such arrangements based on the assessed needs of the child, not simply on his or her legal status, and will seek to ensure that family and friends carers are provided with support to ensure that children do not become looked after by the local authority, or do not have to remain looked after longer than is needed.

3. Legal Framework

All local authorities have a general duty to safeguard and promote the welfare of Children in Need* living within their area and to promote the upbringing of such children by their families. The way in which they fulfil this duty is by providing a range and level of services appropriate to those children’s assessed needs (Section 17, Children Act 1989). This can include financial, practical or other support.

It is important to note that local authorities do not have a general duty to assess all arrangements where children are living with their wider family or friends network rather than their parents but it does have a duty where it appears that services may be necessary to safeguard or promote the welfare of a Child in Need.

*A Child in Need is defined in Section 17(10) of the Children Act 1989 as a child who is disabled or who is unlikely to achieve or maintain a reasonable standard of health or development without the provision of services by the local authority.

To clarify the children who may come within the definition of Children in Need, the Local Safeguarding Children Board has drawn up a ‘Safeguarding Continuum of Need Matrix’, which is available elsewhere in this manual (3.4). The local authority is currently reviewing its ‘Thresholds to Children’s Social Care Services’ document which will be available at 1.3.1 of the procedures manual upon completion.

Children in Need may live with members of their family or friends in a variety of different legal arrangements, some formal and some informal. Different court orders are available to formalise these arrangements.

Looked After Children will always come within the definition of Children in Need, whether they are accommodated under Section 20 of the Children Act 1989 (with parental consent) or in care subject to a Court Order whereby the local authority shares parental responsibility for the child. The local authority has a responsibility wherever possible to make arrangements for a looked after child to live with a member of the family (Section 22 of the Children Act 1989).

For a detailed summary of the meaning and implications of different legal situations, the rights of carers and parents, and the nature of decisions which family and friends carers will be able to make in relation to the child,  please see Appendix A: Caring For Somebody Else’s Child - Options’. Section 4, Different situations whereby children may be living with family and friends carers below sets out the local authority powers and duties in relation to the various options.

In relation to financial support, local authorities may provide carers of children in need with such support on a regular or one-off basis, under Section 17 of the Children Act 1989. This may include discretionary funding based upon a financial means test. However, the status of the placement will determine the nature and amount of the financial support and who can authorise its payment. The legal status of the child may have a bearing on the levels of financial support which may be available to carers, however. There are different legislative provisions which apply to financial support for children living with family or friends in looked after/adoption/special guardianship/residence order arrangements. The following sections of this policy set out the financial support that we may provide to family and friends who are caring for children in these different contexts.

4. Different situations whereby children may be living with family and friends carers

4.1 Informal family and friends care arrangements

Where a child cannot be cared for within his or her immediate family, the family may make their own arrangements to care for the child within the family and friends network.

The local authority does not have a duty to assess any such informal family and friends care arrangements, unless it appears to the authority that services may be necessary to safeguard or promote the welfare of a Child in Need . In such cases, the local authority has a responsibility under Section 17 of the Children Act 1989 to assess the child’s needs and provide services to meet any assessed needs of the child.  Following assessment, a Child in Need Plan will be drawn up and a package of support will be identified. This can comprise a variety of different types of services and support, including financial support.  

London Borough of Bexley’s Section 17 Policy (see Child in Need Policy, Plans and Review) sets out what support may be available to relatives caring for Children in Need.

Information on the services available to family and friends carers is accessible via the Family Information Service, which provides a central point of contact for information on all aspects of child care and support for children aged 0-19.

4.2 Private fostering arrangements

A privately fostered child is a child under 16 (or 18 if disabled) who is cared for by an adult who is not a parent or close relative, where the child is to be cared for in that home for 28 days or more. Close relative is defined as ‘a grandparent, brother, sister, uncle or aunt (whether of the full blood or half blood or by marriage or civil partnership) or step-parent.’ It does not include a child who is Looked After by a local authority. In a private fostering arrangement, the parent still holds parental responsibility and agrees the arrangement with the private foster carer.

The local authority has a duty to assess and monitor the welfare of all privately fostered children and the way in which they carry out these duties is set out in the Children (Private Arrangements for Fostering) Regulations 2005. However, the local authority may also become involved with a child in a private fostering arrangement where the child comes within the definition of a Child in Need. In such cases, the local authority has a responsibility to provide services to meet the assessed needs of the child under Section 17 of the Children Act 1989. Following assessment, a Child in Need Plan will be drawn up and a package of support will be identified. As in 4.1 above, this can comprise a variety of different types of services and support, including financial support.  More information about the support which may be offered to private foster carers can be found in the local authority’s policy on private foster care (see Private Fostering Procedure).

4.3 Family and friends foster carers - “Connected Persons”

Where a child is looked after by the local authority, we have a responsibility wherever possible to make arrangements for the child to live with a member of the family who is approved as a foster carer (Section 22 of the Children Act 1989). The child can be placed with the family members prior to such approval for up to 16 weeks, subject to  a full  assessment of the placement being carried out within that time. A looked after child cannot be placed with unapproved carers  until a viability assessment has been agreed by the Deputy Director. This temporary approval can only be extended in exceptional circumstances. In this context the carer is referred to as a Connected Person and the process of obtaining approval for the placement is set out in the Placement with Connected Persons Procedure. Where temporary approval is given to such a placement under the procedure, the carers will receive financial support on a regular basis.

Connected persons receive the same core allowance as other foster carers, based on the age of the child. Connected persons are approved to care for a specific child and are therefore eligible to receive the core fostering allowance which provides support towards the maintenance of that specific child. Current core allowance rates can be found in Annex C.

In addition the child will have a placement plan which sets out the specific arrangements surrounding the child and the carers including the expectations of the foster carers and the support they can expect to receive to enable to fulfil their responsibilities for the child.

The assessment and approval process for family and friends who apply to be foster carers for a specific Looked After child will be similar to that for any other foster carer except that the timescales for the assessment are different where a child is already in the placement as indicated above. In other respects the process is the same as for any other potential foster carers and is set out in the Assessment and Approval of Foster Carers Procedure. An information pack will be available to potential foster carers about the process and they will be given the name and contact details of the social worker from the Fostering Service allocated to carry out the assessment. The assessment process should, generally, be completed within 16 weeks. However, in exceptional circumstances the Head of Service may approve a temporary placement for an additional 8 weeks whilst the assessment is ongoing. In so far as it relates to family and friends carers, the local authority fostering service’s statement of purpose states that:

“Research indicates that children and young people tend to fare better when cared for within their extended family and wherever possible, potential carers are sought from within the family or the family’s social network. Family and Friends carers are assessed by a qualified social worker from the Children’s Placements Service to care for a ‘specific child’.

“The family and friends carer is allocated a supervising social worker. Family and friends carers receive the same core allowance as other foster carers according to the age of the child".

Once approved as foster carers, they will be allocated a supervising social worker from the fostering service to provide them with support and supervision; and they will receive fostering allowances for as long as they care for the child as a foster carer.

While the child remains a looked after child, as a foster carer, they will be expected to cooperate with all the processes that are in place to ensure that the child receives appropriate care and support, for example, contributing to reviews of the child’s Care Plan, cooperating with the child’s social worker and promoting the child’s education and health needs.

4.4 Residence Order

A Residence Order is a Court Order which gives parental responsibility to the person in whose favour it is made, usually lasting until the child is 18. Parental responsibility is shared with the parents.

Relatives may apply for a Residence Order after caring for the child for one year.

Residence Orders may be made in private family proceedings in which the local authority is not a party nor involved in any way in the arrangements. However, a Residence Order in favour of a relative or foster carer (who was a ‘Connected Person’) with whom a child is placed may be an appropriate outcome as part of a permanence plan for a Child in Need or a ‘Looked After’ child.

he local authority may pay Residence Order Allowances to relatives or friends, unless they are a spouse or civil partner of a parent, with whom a child is living under a Residence Order. This is set out in paragraph 15 of Schedule 1 of the Children Act 1989 however this is discretionary and will be subject to a financial assessment.

4.5 Special Guardianship Order

Special Guardianship offers a further option for children needing permanent care outside their birth family. It can offer greater security without absolute severance from the birth family as in adoption.

Relatives may apply for a Special Guardianship Order after caring for the child for one year. As Special Guardians, they will have parental responsibility for the child which, while it is still shared with the parents, can be exercised with greater autonomy on day-to-day matters than where there is a Residence Order.

Special Guardianship Orders may be made in private family proceedings and the local authority may not be a party to any such arrangements. However, a Special Guardianship Order in favour of a relative or foster carer (who was a ‘Connected Person’) with whom a child is living may be an appropriate outcome as part of a permanence plan for a Child in Need or a ‘Looked After’ child.

Where the child was Looked After immediately prior to the making of the Special Guardianship Order, the local authority has a responsibility to assess the support needs of the child, parents and Special Guardians, including the need for financial support.

Details of the support available to the holders of special guardianship orders can be found in the Applications for Special Guardianship Policy in this manual (5.2.1). Sections 9-14 of this policy relate to support and financial support that may be available to the carer.

4.6 Adoption Order

Adoption is the process by which all parental rights and responsibilities for a child are permanently transferred to an adoptive parent by a court. As a result the child legally becomes part of the adoptive family.

An Adoption Order in favour of a relative or foster carer (who was a ‘Connected Person’) with whom a child is living may be an appropriate outcome as part of a permanence plan for a Child in Need or a ‘Looked After’ child.

Local authorities must make arrangements, as part of their adoption service, for the provision of a range of adoption support services. They then have to undertake assessments of the need for adoption support services at the request of the adopted child, adoptive parents and their families, as well as birth relatives. The support required is then set out in an Adoption Support Plan and this may include financial support.

Details of the Adoption Support Services available to carers can be found elsewhere in this manual (see Adoption Support Services Procedure). Section 8 of this chapter relates specifically to financial support.

5. Provision of financial support - general principles

There are three categories of payment, which may be considered.  One or more of these may be applicable, depending on the particular circumstances of the case:

1. Subsistence crisis (one-off) payments
   
   These should be used to overcome a crisis, following the best assessment that can be achieved in the circumstances. These payments will be subject to a means test which could be the parents or the carers;

2. Setting-up
   
   These are for such items as clothing, furniture, or bedding. The social worker must be satisfied that the carers’ financial position justifies the payment through a financial assessment. Assistance may be given subject to conditions, including repayment in certain situations. These payment will be subject to a means test which could be the parents and/or the carers;
3. Weekly living contribution
   
   It is possible for the local authority to make regular payments where family members or friends care for a child whether or not the child is not Looked After. Where regular payments are to be made, relative carers should be assisted to maximise their Income/Benefit as regular payments may adversely affect an individual’s claim to income support.
   
   In all cases where regular financial support is agreed, a written agreement will be drawn up detailing the level and duration of the financial support that is to be provided, and the mechanism for review.  

The following criteria will be applied to all such payments:

• The purpose of the payments must be to safeguard and promote the welfare of the child, and usually will only be made where the child is or would otherwise be looked after and in order to achieve better long term outcomes for that individual child;
• As part of the assessment, a view should be taken as to whether the carers need financial support based on their reasonable requirements in taking on the care of the child;
• There are no other legitimate sources of finance and all relevant documents/evidence is viewed and declared;
• Payments will be paid to the carer, not the parents;
• The payment would not place any person in a fraudulent position;
• The payment will only be made as required on the Local authority as a statutory duty to ensure equity and will ensure efficient use of public funds. 

6. Accommodation

The authority works with landlords to ensure that, whenever possible, family and friends carers living in social housing are given appropriate priority to move to more suitable accommodation if this will prevent the need for a child to become looked after.

7. Supporting contact with parents

The authority is under a duty to promote contact for all Children in Need, although this differs depending on whether or not the child is Looked After.

Where the child is not Looked After, we are required to promote contact between the child and his/her family ‘where it is necessary to do so in order to safeguard and promote his or her welfare’. As part of the support arrangements, it may be identified that specific assistance is required to ensure that any such contact can be managed safely. If necessary, information will be made available to family and friends carers about local contact centres and family mediation services, and how to make use of their services. The family information service also provides information on the facilities available to family and friends carers for the purposes of maintaining contact between the child and his/her family.

Where a child is Looked After, we are required to endeavour to promote contact between the child and his or her family ‘unless it is not practicable or consistent with the child’s welfare’. The overall objective of the contact arrangements will be included in the child’s Care Plan and the specific arrangements will be set out in the child’s Placement Plan - see Contact with Parents and Siblings Procedure. 

8. Family Group Conferences

Family Group Conferences are meetings held between professionals and family members, which aim to achieve the best outcomes for children. They promote the involvement of the wider family to achieve a resolution of difficulties for Children in Need, and may help to identify short-term and/or permanent solutions for children within the family network.

A Family Group Conference may be offered at any point following the initial assessment. In each case the need for a Family Group Conference will be considered by social workers. The social worker shall in each case use his/her discretion as to whether a Family Group Conference is appropriate and when it should fit in to the decision making process. Upon referral from the social worker, a Family Group Conference will be arranged as required. In most cases a Family group conference is desirable and good practice  before a child becomes  looked after, or if there is an emergency accommodation the Family Group Conference or family meeting should be held as soon as possible after the admission.

9. Complaints procedure

Where a family or friends carer is not satisfied with the level of support provided to enable them to care for the child,  they should in the first instant make representations to the social workers manager then, if still dissatisfied, they have access to the local authority’s complaints process. Our aim would be to resolve any such dissatisfaction without the need for a formal investigation but where an informal resolution is not possible, then a formal investigation will be arranged.

The timescales and process are set out in the Complaints Procedure. The complaints procedure can also be found on the Local Authority website.

Appendix A: Caring For Somebody Else’s Child - Options

Click here to view Appendix A: Caring For Somebody Else’s Child - Options.

Appendix B: Summary of Consultation Findings

In drawing up this policy London Borough of Bexley has consulted with children and young people, family and friends carers, and parents. Their views have helped shape and inform this policy and practices relating to family and friends care.

The majority of carers and parents stated that they would inform the child’s school of the change in living arrangements, some would also inform children’s social services whilst others would notify the child’s GP (general practitioner). Some parents and carers however stated that they viewed the arrangements as a private family matter and would not notify any authority of the change. As a result, London Borough of Bexley is seeking to strengthen the ties and communication links between these groups so that London Borough of Bexley becomes aware of changes in a child’s living arrangements at the earliest possible opportunity so that support can be provided where appropriate.

The services that carers would most like information about are parenting advice, activities for children and young people, local schools, support groups, and any financial support that may be available. In the event that the carers did seek support or other information about services they were most likely to contact the local authority, children’s social services or the child’s school. Therefore, this policy seeks to ensure that information regarding caring for someone else’s child is easily available to carers.

Consultation with children and young people revealed that many of the needs of children with family and friends carers were not significantly different to those that remain with their birth parents. London Borough of Bexley is currently revising its Integrated Youth Strategy which aims to ensure that the needs of children and young people are met by the local authority and partners. This strategy includes improved communication with young people regarding the services and activities that are available to them. London Borough of Bexley will continue to ensure that children and young people in family and friends care receive the services that they require through children’s services and their partners.

3. Recording Values and Principles

Each of the following values is summarised.

1. Records must be kept on all Children   
2. The design of records and forms must be approved
3. Children and their families must be informed about their records  
4. The practitioner primarily involved should complete the record   
5. All relevant information about children and their families must be recorded  
6. Children and their families should be involved in the recording process    
7. Information about children/their families should normally be shared with them   
8. Managers must ensure that confidential information is identified
9. Records must be legible, signed and dated
10. Records must be kept up to date    
11. Records must be written in plain English and prejudice must be avoided   
12. Records must be accurate and adequate  
13. Managers must oversee, monitor and review all records   
14. Records should be kept securely  
15. Removal of records must be an exceptional occurrence   
16. Records moved to a new location must be monitored  
17. Records must usually be retained after closure  
18. Use of computers at home    
19. Bexley Social Services: Data Protection

1. Records must be kept on all children

Each child must have his or her own electronic case record from the point of referral to case closure; audio, video and digital recordings may also be kept.

Where paper files are also kept , 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.

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.

A manager must approve the design of all records and forms before coming into use.

For further information in relation to the Integrated Children's System (ICS), see also Integrated Children's System Guidance

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 3, Confidentiality Values and Principles

See also Access to Records Procedure.

Where children have been adopted, see also Access to Birth Records/Adoption Case Records Procedure.

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 sign/endorse 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 about children and their families must be recorded

Every child's case record must hold details of the child's full name, date of birth and any identification number.

It must also include a risk assessment, transfer/closing summary (where appropriate) and 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, or
• The information relates to a third party who expressly indicated the information should not be disclosed.

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

See also Access to Records Procedure

Where children have been adopted, see also Access to Birth Records/Adoption Case Records Procedure.

8. Managers must ensure that confidential information is identified

Managers must monitor confidential information held on the 'Restricted from user' section of case records, ensuring that the reason for it being considered confidential is valid; if not, it should be available to be shared with the child.

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

9. Records must be legible, signed and dated

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

If possible, paper records should be typed or handwritten in black ink and all such records must be signed and dated. 

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.

10. Records must be kept up to date

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

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

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

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

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

12. Records must be accurate and adequate

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

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

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

See Section 3, Confidentiality Policy, Values and Principles

13. Managers must oversee, monitor and review all records

The overall responsibility for ensuring all records are maintained appropriately rests with line managers, although the responsibility can be delegated to other staff as appropriate.

The line 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 records held on children must be kept securely.

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

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

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

15. Removal of records must be an exceptional occurrence

Records should not normally be taken from the location where they are usually 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 Records Procedure. Also see London Borough of Bexley Retention Schedule.

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

18. Use of computers at home

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

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

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

4. Confidentiality Policy, Values and Principles

Each of the following values is summarised.

1.	Children's and Young People's Services Confidentiality Policy
2.	Confidentiality Values and Principles
	2.1	Personal information is subject to a legal duty of confidence
	2.2	Disclosure of confidential information is permitted in exceptional circumstances
	2.3	Situations where disclosure is permitted should be shared with children involved
	2.4	Information should be disclosed to colleagues and other professionals/agencies on need to know basis
3.	Freedom of Information Act 2000
4.	Bexley Social Services: Data Protection

1. Children's and Young People's Services Confidentiality Policy

1.1 Introduction

Children's and Young People's Services recognises its common law duties to safeguard the confidentiality of all personal information.  Wherever disclosure of confidential information to another person or organisation is being considered, a check will always be made to ensure that such disclosure is lawful.

All Council staff must be made aware that the DPA applies to the processing of all personal data, both in paper and electronic records.  Where disclosure is proposed, and there is any doubt as to whether the DPA applies or whether only the common law of confidentiality applies, advice will always be sought, from the Council's Data Protection Officer and/or Legal Services.

The Council will always record its reasons for deciding not to observe any duty of confidence it owes to a person who is the subject of information disclosed.

E-mail messages sent via the Internet can be intercepted, read and changed relatively easily.  Consequently, Council staff will not use the Internet to pass on personal identifiable information about service users unless a secure or encrypted connection is in place..

1.2 Staff Obligations

The Council's conditions of employment, issued as part of every employee's contract, detail the obligations placed upon the Council staff.

Staff employed with the Council will come into contact with confidential information/data relating to the work of the Council, its service users and other staff.  Staff are bound by their conditions of service to respect the confidentiality of any information that they may come into contact with and under no circumstances should such information be divulged or passed to any persons or organisation in any form unless such disclosure is authorised under this policy.

Any unauthorised disclosure of confidential information by Council staff may result in disciplinary action. Staff may also face prosecution under the Data Protection Act 1998.

Where Council staff misuse confidential information, e.g. disclose their password to someone else or use someone else's password to gain access to systems, they could face disciplinary action that could lead to dismissal.  They may also be prosecuted under the Computer Misuse Act 1990.

Managers must ensure that confidentiality is discussed with all new employees, as part of their induction.  It is recommended that staff acknowledge that they have taken note of the contents of this policy.

Volunteers and work experience students must also have their role in maintaining confidentiality made clear by the member of staff responsible for them and must be aware of and adhere to this policy.

1.3 Commercial Confidentiality

Some Council staff may have access to commercial information, agreements or contracts.  This information must be treated as confidential, and only discussed/disclosed where this forms part of the employee's remit within the organisation.  Staff should consult their manager if they are in any doubt.

1.4 Research, Audit and Monitoring

Access to confidential information or anonymous data may be sought for research, audit or monitoring purposes, either by other Council areas or by outside organisations or public bodies.

Internal requests related to research projects must be approved and a formal submission will be required.

All external requests or enquiries may need to be directed to the Data Protection Officer for clarification or Legal Services for their approval.

1.5 Press Interest, Police and Legal Enquiries

All media enquiries should be referred to the Chief Executive via the press office.

The Police do not have automatic rights to personal information held by the Council about service users.  The matter should always be referred to a manager and/or the Data Protection Officer/Legal Services.

Any requests for access to confidential information held by the Council for the purpose of any legal proceedings must be referred to the Council's Legal Services. A Court Order is required in order to release such information for legal proceedings.  Verbal or written requests from lawyers are not sufficient. Staff should also seek advice from their manager and, where advised, the Data Protection Officer to ensure that correct action is taken.

2. Confidentiality Values and Principles

The following is a summary of the Practitioners Guide to Information Sharing which has been published by the DfE, the full text of which can be accessed on the DfE website.

There is additional guidance in ‘Information Sharing: Further Guidance on Legal Issues’ (which can be found at the Department for Education website.) and ‘Information Sharing: Case Examples’.

2.1 Personal information is subject to a 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 2.2, Disclosure of confidential information is permitted in exceptional circumstances 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.

2.2 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 or if a Court Order requires it.

2.3 Situations 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.  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.

2.4 Information should be disclosed to colleagues and other professionals/agencies on a need to know basis

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 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.

3. 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 in writing or via e-mail from a public authority (which includes all local authorities) and must receive a response within 20 working days.  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.  This is set out in the 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 2.1 to 2.4 above.

5. Consultation Values and Principles

5.1	General Principles of Consultation
5.2	Management Consultation
5.3	Legal Consultation
5.4	Case Recording Policy and Procedures
	Appendix A - Social Services Inspection Standards For Social Services Case Recording
	Appendix B - Structure of Case Files

5.1 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 a child is placed for adoption and 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. 

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 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.

5.2 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.

Guidelines for East & West Childcare Teams on the circumstances in which a case should be drawn to the attention of a Senior Manager

1. General

In the event of certain circumstances Child Care Team Leaders should consider notifying their line manager in order to enable that individual to:

• plan ahead
• brief
  • members of Leadership Team
  • the Director of CYPS
  • the Lead Member for CYPS
  • other Councillors
  • Children & Young People Trust partners
• set formal processes (e.g. Child Death Review) in motion

2. Such circumstances would include but not be limited to:

• The death of a child who has been referred to or is no the caseload of the Team
• Cases where there are significant financial implications
• Cases where care proceedings are likely to be taken
• Cases where press interest is likely to be generated
• Cases in which a Council Member or MP is known to have an interest or concern
• Unusual or highly complex cases especially where likely to lead to any of the above
• Possibility of gross misconduct of a member of staff
• Allegations against professionals employed by Bexley Council or its Children & Young People Trust partners
• Any other cases where a senior management response is deemed to be required

5.3 Legal Consultation

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

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

5.4 Case Recording Policy and Procedures

1.	Introduction
	1.1	This Case Recording Policy and Procedure sets out the Council's standards for good case recording and incorporates the former Social Service Inspectorate case recording standards (see Appendix A). It applies to all Social Care Services staff in Adults and Children's Teams, including Bexley Care Trust       social care teams. It also sets out the core requirements for good case recording practice within integrated teams e.g. the Learning Disability Team and Community Mental Health Team for Older People
	1.2	Oxleas NHS Foundation trust has it's own Case Recording Policy which complies with this Council policy and which applies to the Oxleas Mental Health Service.
	1.3	This Policy applies to all case records regardless of the media in which they are held i.e.: paper or electronic records, e-mails, audio and visual tapes, photo  slides  and other images.
	1.4	Electronic records are being developed across all social care services with a       view to all case records being held electronically in the future. Currently in       practice case records are a mixture of paper and electronic records on CF21.
	1.5	Good case recording is important because it : helps to focus the work of staff, supports effective partnerships with service users and carers. reduces the need for people to repeat the same information to different workers ensures that there is a documented account of the Social Care Department's involvement with service users, families and carers. ensures continuity when workers are unavailable or change, provides an essential tool for managers to monitor work of their staff.
	1.6	Case records also become a major source of evidence for investigations and enquiries into complaints or cases with tragic outcomes.
	1.7	In addition to the legislation outlined above, Government Directions and Guidance relevant to case recording practice include the National Service  Frameworks for Mental Health and for Older People;  the White Paper Valuing People;  Working Together and Every Child Matters Outcomes Frameworks.
	1.8	The General Social Care Council Codes of Practice (2002) state that social care staff are accountable for the quality of their work and  must "Maintain clear and accurate records as required by procedures established for your  work" (GSCC  Code 6.2 )
2.	Aim of the Case Recording Policy and Procedures
	2.1	To establish and clarify the fundamental principles for the recording of service user information and professional interventions.
	2.2	To provide a comprehensive and co-ordinated framework for recording across all Social Care Teams and integrated services.
	2.3	To set out the standards required of staff so that case recording meets legislative requirements, Government guidance, and good professional practice.
	2.4	To provide a framework for consistent and effective case recording.
3.	The Purpose of Case Recording
	3.1	To provide a written account of the work undertaken with an individual or family, enabling professionals and  service users and carers to identify and record relevant, factual information about the service user.
	3.2	To maintain a chronological and factual record of the goals and strategies for intervention with individual service users and their families or carers.  All contacts with the service user, and relevant events and significant developments in their lives should be recorded in the case file or electronic record.  The case record should detail the assessment of the service user's needs; eligibility for social care services, care plans, including the work to be done and its objectives; the methods of intervention and desired outcomes to be achieved; and the timing and outcome of reviews.
	3.3	To provide evidence that agreed standards of competence and professional practice are being met in work with service users.
	3.4	To record all significant decisions, the reasons for those decisions and who was involved in making the decisions.
	3.5	To confirm that legislative requirements have been met.
4.	General Principles of Good Practice in Case Recording
	4.1	Recording involves writing about someone else's life, their actions and feelings. It must be factual and objective, and should always be undertaken with respect and sensitivity. For some users, especially children, their case-file will be a record of an important part of their life. When they look at their file they should be able to read about themselves in a meaningful way.
	4.2	Case recording should empower service users, families and carers. People who use social and health services have the right to understand what is happening to them and why, and to be able to influence the course of events where possible.  This principle should be clearly explained to them.
	4.3	All service users should be given copies of the relevant agency's leaflets on Complaints, Comments and Suggestions and Data Protection, which explains how they can access their personal file. In Bexley Council there are different leaflets for Adults and Children's Services. Staff working within Bexley Care Trust and Oxleas NHS Foundation Trust should refer to their own agency's leaflets.
	4.4	Records should present a clear picture of professional intervention, and the thinking and decision-making behind it. This will assist the worker in developing a coherent plan of intervention, and will be of crucial importance to anyone else who needs to undertake work with the service user in the worker's absence, or in the future.
	4.5	Facts about service users and their families or carers, the plans agreed with them and the outcomes of intervention are recorded in order to help to understand the service user's needs, and to inform the planning process. This means that workers must involve service users and their carers in information gathering, and should check that they have understood correctly what service users/carers have told them.
	4.6	All service users should be encouraged to write their own views on their problems where possible, and helped to do this where they have specific communication needs, for example by the use of advocates, interpreters or audio and video tapes. This will help the assessment process, and is recommended by Department of Health and  CQC/Ofsted guidelines.
	4.7	All information kept must comply with legislation and government guidance on Data Protection  and Information Sharing Protocols.
	4.8	Except in emergencies, or where there is significant risk to others, staff must obtain the service user's written consent before sharing information with other professionals or agencies, who might provide relevant assessment information or deliver services as part of the care plan. Government guidance on confidentiality and information sharing requires written consent to be obtained before information is shared.  (see Section 10 for further details)
	4.9	Copies of assessment summaries, statements of needs (adult services only)  and action plans or care plans should be in a format accessible both to users and carers, should be signed by service users and copies provided for them.  This is an Adult Social Services Performance Indicator.  The offer to provide a copy of the assessment should be recorded on file or electronic record, and if the service user declines the offer, this should also be recorded.
	4.10	Following reviews the care plan must be updated or, if there are no changes to be made, confirmed .
	4.11	The main content of significant or difficult discussions should be summarised in a letter and given to the service user for their own use and reference.  A copy should be retained on the case record.
	4.12	E-mails containing service user information must be filed in the correspondence module of the case file and then deleted from the Council's e-mail system. Staff should avoid sending personally sensitive information by e-mail if possible unless it is Password protected (See Adult Procedure GEN 38 for more information on the Use of E-mails to Share Confidential and Personally Sensitive Information)
	4.13	Records should be written in plain, simple language to make access quick and easy both for workers and service users. Jargon and abbreviations should not be used.
	4.14	Records should always be written up as soon as practicable to ensure the most accurate account of events and discussions. Critical incidents should be recorded immediately.
	4.15	Records should be brief, unambiguous and include factual, relevant detail.  Regular summaries or review reports should be included as these enable work to be focused on the identified goals and intervention strategies.
	4.16	Records should show the decision-making process, not just the decision. Details of discussions with managers/supervisors, including decisions made during supervision, must be recorded in the case record.
	4.17	Equalities/diversity issues must be considered throughout the recording process. Staff must ensure that communication with users is as full as possible, where necessary using advocates, interpreters for people for whom English is not their first/preferred language, or alternative means of communication for those who have other communication needs. Family members must not be used to translate/ interpret, except in an emergency.
	4.18	Records should specify the nature of any concerns and the perceived risk factors. These should be identified in a standard Risk Assessment and Management form. This form should record the nature and level of risk, and how it should be managed. (see section 7, Risk of the Service User and Others for more details)
5.	General Practice Points
	5.1	All case records should be legible and accurate. Paper case file records  must be clearly written in ink or typed. Any mistake should be crossed out   with a single line. Correcting fluid must not be used
	5.2	Where electronic records are kept details of what they are and how to access them should be clearly recorded on the paper case file
	5.3	All records must be filed in chronological order in each section of the case file, with the most recent record uppermost.
	5.4	Workers must sign and date all entries. Initials are not acceptable as this may not identify the author.  In multi-disciplinary teams, the signatory's professional role should be recorded.
	5.5	Service user information on the file front sheet should be kept up to date, in particular addresses, telephone numbers and key contacts.
	5.6	Core data such as name, date of birth, age, disability, ethnicity, religion, language or communication needs should be verified with the service user and/or the carer.
	5.7	In all cases details of school age children in the household must be recorded. This should include their names, ages, primary carer, GP and schools attended. This is a requirement for both children's and adults' teams.
	5.8	Case records of service users who remain known to a service for several years should be updated following regular reviews and reassessments. This includes the CF21 database and paper records.
	5.9	Where there is disagreement between the worker and the service user or the worker and the family/carer, both views should be recorded.  Disagreements between professionals should also be recorded.
	5.10	All records must be filed in the correct file section as agreed for each client group (see appendix B). An index or list of the sections should be included at the front of each file.
	5.11	When a case file becomes full, the current details should be transferred to the new file, and a summary must be written and attached to the new file.  All files should be numbered in chronological order, and each new file should contain a chronology of significant events in the service user's life.
6.	Equalities and Valuing Diversity
	6.1	Equalities monitoring data must be recorded in the file. This will be used both to inform the service plans for the individual service user, and to enable managers to analyse data on access and take-up of services, which will inform strategic planning and service development.
	6.2	Case records must:
		6.2.1	Record the service user's gender, age. ethnicity, language, religion and any disability on the client information sheet and CF21 database;
		6.2.2	Show evidence that any identified needs have been noted and followed through in the assessment and care planning process, for example by providing an interpreter, or delivering culturally appropriate services;
		6.2.3	Demonstrate sensitivity to and awareness of the needs of different minority groups
		6.2.4	Use non-discriminatory language;
		6.2.5	Demonstrate professionals' understanding of the requirements of relevant legislation on their practice, including: The Sex Discrimination Act 1975. The Race Relations Act 1976 The Disability Discrimination Act 1995 The Carers (Recognition and Services) Act 1995 The Carers and Disabled Children Act 2000 The Human Rights Act 1998 The Race Relations Amendments Act 2002 Equality Act 2006
	6.3	Service users and carers with specific communication needs should be helped to access their records and provided with key information in the most suitable format for their needs.
7.	Risk to the Service User and Others
	7.1	All risk factors must be recorded on designated Risk Assessment and Management formats which will identify the risks, the actions to be taken to minimise risk and identify roles and responsibilities. In Children's services this forms part of the core assessment. In Adults Services, the Risk Assessment and Management forms must be located in the specific Risk section at the beginning of the file or electronic record, so that they can be quickly identified. In all cases there must be a signed record of discussion about risk factors with the manager/supervisor.
	7.2	Comments on risk factors should never be recorded solely in the continuing file entries, as they will become lost from view and hard to detect in the future.  If a worker is unclear as to what constitutes risk in any particular instance, this must be discussed with the manager/supervisor, and the discussion recorded, signed and dated in the file.
	7.3	In all cases where significant risk is identified, the worker's manager/supervisor must be involved in the decision-making, which must be recorded on the file, and signed and dated by both the worker and the manager/supervisor.
	7.4	If there are children in a household where risk of harm has been identified, whether to the service user or to others, the case must be discussed with the manager/supervisor.  The discussion must be recorded on the file and where adult services are involved, a referral must be made to the appropriate Children's Team using the Common Assessment Framework (CAF) form.
	7.5	If a worker identifies that a vulnerable adult is at risk of abuse they must discuss this with their manager/supervisor and follow the procedures outlined in the Bexley's Safeguarding Adults Multi Agency Procedures.
	7.6	People who are referred following self-harm, or who appear to be at risk of self- harm must always be followed up proactively, even if they do not have a mental health diagnosis.  A record should be made of contacts and information, and the case should be discussed with the manager/supervisor. The manager/supervisor must decide who will take responsibility for the case, and the discussion should be recorded, signed and dated by both the worker and the manager/supervisor
8.	Responsibility of Staff
	8.1	Role of Social Care Staff and Health Care Staff
		8.1.1	All frontline staff should ensure that records are written up as soon as practicable, to ensure the most accurate account of details and events. Workers must sign legibly and, in the case of multi-disciplinary teams, the signatory's professional role should be recorded. All entries must be dated.
		8.1.2	Details of the relevant agency's Access to Personal Records policy must be explained to all users and carers. They should be given copies of Bexley Council leaflets on Data Protection and Comments, Compliments and Complaints, and this should be recorded on the file. Staff in Bexley Care Trust and Oxleas NHS Foundation Trust must provide copies of their own agency's leaflets.
		8.1.3	Staff must make it clear that records are being kept and the reasons for keeping them. Written consent to share personal information must be obtained from all service users (See Adult Procedure GEN 8 and Children and Families Procedure C20 for details of exceptions).
		8.1.4	Staff must also ensure that service users and, where appropriate, carers are given written details of relevant information about significant events, including copies of their assessments, statements of need, care plans and review reports. Workers must ensure that these are agreed and signed by the service user unless there are exceptional reasons which prevent them from doing so.
		8.1.5	Case recording must form part of all workers' appraisals and Personal Development Reviews or Plans.
		8.1.6	The GSCC Codes of Practice state that social care workers are             accountable for the quality of their work and must "Maintain clear and         accurate records as required by procedures established for your          work" (GSCC Code 6.2)
	8.2	Role of Managers/Supervisors
		8.2.1	Managers/supervisors must read paper and electronic records and ensure that their staff develop good case recording skills.
		8.2.2	Managers/supervisors should check during supervision that case records are up-to-date, and that recording is undertaken in accordance with this policy and procedure. This includes information kept on the CF21 database
		8.2.3	Managers/supervisors must sign, date and enter their job title in the case file or electronic records to show that they endorse decisions made. This will also include recording supervision decisions on the file. For staff who use electronic records as observations on Care First, the supervisor can record their supervision notes and decisions on Care First too.
		8.2.4	Managers/supervisors should authorise assessment forms electronically, or where this is not possible on the hard copy
		8.2.5	Adult services care plans should be printed and signed by both the worker and the supervisor/ manager
		8.2.6	Managers/supervisors must sign and endorse all case closure or  transfer summaries.
		8.2.7	Senior managers should ensure that case recording is monitored, and that regular audits of case files are undertaken.  In Children's services there is a specific audit group to do this.(See Children and Families Procedure A6.)
		8.2.8	All team managers' and supervisors' are accountable for the case recording standards of their team and staff.
	8.3	Role of Specialist Professional/ Clinical Consultants
		8.3.1	In some multi- professional and multi- agency teams the supervision will be  of a different professional background to the member of staff. In these cases the member of staff should also receive professional supervision from a suitably qualified senior worker. (See Supervision Policy GEN31 (Adults) and A8 (Children)
		8.3.2	Advice about case direction and management must be recorded on the case file/electronic record by the recipient and comply with this Case Recording Policy.
		8.3.3	The aspects of consultation relating to workers' personal development should be recorded in their staff supervision file and not the case file.
9.	Organisation of case records
This section applies to all paper and electronic records:
	9.1	Style of recording
	All case records must:
		9.1.1	Be professional in style and language, with entries which are relevant, succinct and objective;
		9.1.2	Show clear distinction between fact, observation, opinion and hearsay;
		9.1.3	Be organised according to the agreed structure, with information stored in the correct sections and in chronological date order;
		9.1.4	Show evidence of how information has been obtained, and how its relevance and accuracy has been evaluated;
		9.1.5	Paper records should be  typed or, where this is not possible, legibly written in ink, so that other workers and the service user can access the information.  Workers are responsible for ensuring that all file entries are legible, and if they cannot make their handwriting clear, they must print.  The manager is responsible for deciding whether handwriting is legible;
		9.1.6	Be complete. All forms should be completed in full and where a part is not relevant "Not applicable" should be written. All corrections to written records must be made by scoring through with a single line.   Correcting fluid must not be used;
		9.1.7	Be signed legibly at the end of each entry and, in the case of multi-disciplinary or integrated teams, the author's professional role stated.   Workers whose signature is illegible must print their name.  Initials are not acceptable;
		9.1.8	Contain information that is up-to-date, so that others can intervene appropriately in an emergency;
		9.1.9	Evidence clear decisions, which must be signed and dated where appropriate by a manager /supervisor;
		9.1.10	Contain a separate and removable section for third party, restricted or other confidential papers, which service users can see only with permission of the third parties concerned;
		9.1.11	Contain copies of letters which clearly set out information shared with the service user, and/or significant information, such as arrangements for interviews, important decisions, what has been agreed or disputed.  These letters should accurately reflect what has been said as a written record for the service user, so that misunderstandings are minimised.
		9.1.12	Organise day-to-day recording under headings or using contact sheets, which aid quick retrieval of information.  Some examples of headings are: Plan; Decision; For Next Time.  Indicators that draw attention to important information should also be used, for example: Important or Reminder.
		9.1.13	Divide day-to-day recording into short paragraphs, which are easier to read than unbroken blocks of handwriting.
	9.2	Essential Documents for Case Files
	All case records should include:
		9.2.1	A completed referral form, indicating clearly details of who is the referrer, the reason for referral and the date of referral;
		9.2.2	An up-to-date client information front sheet;
		9.2.3	A Chronology for all children's cases and, for adults for longer-term service users .  This should be inserted at the front of the file, after the Client Information Sheet.  It should record succinct information about important events, for example: hospital admissions, court hearings, family events, crises, and anything else judged to be significant. The Chronology provides a quick overview of the service user's history, and can show patterns and areas of difficulty;
		9.2.4	An index inside the front cover to assist location of key documentation in files;
		9.2.5	The initial assessment, completed within the agreed service-wide format, which is easy to identify and find;
		9.2.6	Consent to share information form completed by the service user, unless there are exceptional circumstances whereby they are unable to consent (see Adult Procedure GEN 8 for details);
		9.2.7	A Critical Incident form has been developed by some adult services.  Where this is used, it should be inserted visibly underneath the front   sheet  and completed when appropriate;
		9.2.8	A completed Assessment form for all service users who require a planned intervention. Details of risk must be specified, and should include the nature of the risk, the level of risk, who is at risk, and measures to be taken to minimise the identified risk. The risk assessment form should be inserted in the Risk Assessment and Management section of the adults file;
		9.2.9	Care Plans, Placement Plans and Review forms, clearly marked and fully completed.  These should be signed and dated, together with evidence that they have been agreed by the service user and a copy provided for him or her;
		9.2.10	A Carer's Assessment form, where relevant.  Records should indicate if there is no eligible carer, or if a carer's assessment has been offered and refused;
		9.2.11	Reports and Case Conference Minutes;
		9.2.12	Periodic summaries for cases that are open for longer than six         months, to be completed every six months;
		9.2.13	A Transfer Summary where a case is being transferred from one team to another, for example from a Children's Team to an Adults Team or between Adults teams. The transfer summary must be signed by both the worker and the manager/supervisor;
		9.2.14	A Closing Summary, signed by both the worker and the manager/ supervisor when the file is closed.  The standard Transfer/Closing Summary form should be used;
		9.2.15	Key documents, such as assessment reports, should be cross-referenced so that important information can be easily identified and accessed.
	9.3	Structure of Case Files
		9.3.1	Paper case records should be organised using the standard set of sections as outlined in Appendix B. Additional sections may be required for teams to meet the needs of their service users.  Additional sections may also be needed for individual long-term service users, whose files have accrued numerous documents or where there are specific circumstances which warrant a separate section.  For example, it may be useful to have a separate Mental Health Act Assessment section for a service user who has been subject to frequent assessments.  Similarly, for adult service users' files where child care issues are involved, Child or Adult Protection Conference minutes should be kept in a section separately from other reports.  Where extra sections are used, they should be clearly marked and indexed for example Direct Work with Child
		9.3.2	When deciding whether to create extra sections, workers should remember that the aim is to make the file accessible and comprehensible to workers and to the service user.
10.	Maintaining Confidentiality
	10.1	All case records must comply with the Data Protection Act and with the Caldicott standards. Information must not be disclosed without the service user's written permission, unless there are immediate high risk or community safety factors involved  (see also Procedures GEN 8 & GEN 10 in Adult Division Procedures Manual and Children and Families Procedure).
11.	Service Users' Access to their Personal Records
	11.1	Service users should be informed of their right to read their file and they should be given written information explaining how to go about this
	11.2	As case records belong to Bexley Council or Oxleas NHS Trust, service users cannot take them out of the office. Therefore service users should be provided with supervised access.
	11.3	Any request for access to records must be facilitated by following the relevant agency's procedure (see Adult Procedure GEN 36, Children's Procedure C20).  Special arrangements must be made for users who have language or other communication needs
	11.4	Carers have the right to access information held about themselves, but not about the person they are caring for, except in the case of children. (See Children and Families procedure C.20.)
	11.5	In the case of any person over the age of 16years assessed as lacking  mental capacity and unable to manage their own affairs, a person acting under a Court of Protection Order or registered Lasting  Power of Attorney can request access to information on her or his behalf.   Instructed Independent Mental Capacity Advocates (IMCAs) can also access relevant information (See Adult procedure GEN 43 for more information on IMCA's)
	11.6	Service users do not have the right to access information provided by the carer without the carer's permission, which must be recorded in writing.
	11.7	Information relating to a service user which has been supplied by a third party should not be released without the third party's permission. The case file should indicate what information has been shared, when and with whom.
12.	Incorporating Records from Other Sources
	12.1	Arrangements should be made for other relevant workers to contribute to plans and records in service users' case records.
	12.2	Where work is undertaken with a service user in another setting, relevant information recorded in that setting should be added to the main case record; for example, Residential and Day Care reviews, Critical Incident forms relating to another setting.
13.	Security of Case records
	13.1	Security of information
		13.1.1	Files may leave the office only with the authority of a Team Manager or senior manager, unless taken by the Social Worker to a case conference, court, or other meeting during the working day.
		13.1.2	Where files are taken from the office in other circumstances, the Team Manager must authorise this on the file, and the worker must inform administrative staff, who will keep a record of the file movement.
		13.1.3	The staff member is responsible for ensuring the security of any confidential records s/he has taken out of the office;
		13.1.4	Staff must ensure that case files are not left unattended on desks for long periods.
		13.1.5	All elements of case files must be kept together.
		13.1.6	All service users records must be stored securely and any filing cabinets locked at night.  Keys must be kept in a secure place (arrangements vary depending on workplace).
		13.1.7	All computers must be located so that they cannot be viewed from outside the room.
		13.1.8	Staff must not leave work relating to service users unattended on a computer screen.
		13.1.9	Staff must password protect all computerised information relating to service users.
	13.2	Confidentiality of files and other written or verbal information
		13.2.1	Staff should destroy handwritten drafts after typing, unless they are notes contemporaneous to an incident, in which case they should be placed on the case record.
		13.2.2	Files sent via the messenger service must be sent under "confidential" cover.  For other sensitive and confidential information the envelope should be marked "Personal and Confidential".
		13.2.3	For information on third party access to files (for example Members of the Council, Guardians ad litem) see Children and Families Procedure H3; Adults Services Procedures GEN 8.
	13.3	Marking Case Records of Violent or Potentially Violent Service Users
		13.3.1	Case Records relating to violent or potentially violent service users must be identified on CF21 with a warning (a red exclamation mark (!) ) and text .  This will provide an alert to other staff who may have contact with the person.
		13.3.2	The risk should be reviewed regularly as part of Risk Assessment & Risk Management Plan.  When CareFirst Version 6 is implemented there will be a new functionality to regularly update the warning and have it authorised by a manager.
14.	Retention and Destruction of files and other relevant records
	14.1	There are different rules for retention and destruction of children's and adults' case records . The Council Corporate Record Retention Policy can be found on BexWeb Staff working within Bexley Care Trust and Oxleas HS Foundation trust should follow their own agency's record retention policy.

Appendix A - Social Services Inspection Standards For Social Services Case Recording

Standard 1: Case recording as part of service to users and carers

SSD case recording policies and procedures, the resulting case records and access to them, are part of services to users and carers.

CRITERIA

1.1	Where appropriate each service user has a separate case record.
1.2	Service users and carers are informed of SSD policies on case recording.
1.3	Service users and carers are helped to understand the purpose and content of their case record and are invited to contribute towards it.
1.4	Service users are informed of their right of access to their case record and of the procedures for doing so.
1.5	The views of service users and carers are evident on case files and can be related to the sequence of decisions taken and arrangements made.
1.6	Case records contain details of when service users and carers have seen and been offered and/or given copies of papers.
1.7	Service users and carers are informed about decisions and outcomes of requests for service.
1.8	Service users and carers receive written copies of their assessments and care plans, and are kept informed at all stages.
1.9	Service users and carers are encouraged and supported in reading their records, correcting errors and omissions, and recording personal statements, including any dissent.
1.10	The SSDs policy on open access is publicised, third parties are informed of it when giving information, and their agreement to sharing the information with service users is sought.

Standard 2: Recording practice

The quality and content of case recording reflects both good professional practice and SSD policy and guidance.

CRITERIA

2.1	The content of case records is sufficient to give an account of all significant aspects of the work undertaken
2.2	The record demonstrates the interaction between social care practice and what is written down. (See also 6.4).
2.3	Quality of recording (i.e. how items are recorded and stored) meets good professional practice and follows SSD policies and guidance.
2.4	Content of case records reflects good professional practice and accords with SSD policy and guidance.
2.5	Case records contain detailed assessments and care plans at an appropriate level.
2.6	All contributions to assessments and care plans, including disagreements and their resolution, are recorded (i.e. from service users, carers, other professionals etc).
2.7	All decisions are recorded, including who made those decisions, when and  for what reasons.
2.8	Papers for which open access cannot be achieved are easily identifiable within the case record.

Standard 3: Principles and purposes of case recording

The purposes of case recording, together with underpinning principles and legal requirements, are set out in the policies of the SSD.

CRITERIA

3.1	The SSD has clearly stated a belief that good case recording is central to good social care practice.
3.2	The SSD has a written policy which covers all issues relevant to service user records and the principles underpinning them.
3.3	The SSD has an IT strategy and policy which complements the general policy on case recording.
3.4	SSD policy includes statements on access and confidentiality, and complies with the Client Access to Personal Files Act 1987, LAC(87)10* and LAC(89)2*.
3.5	SSD policy complies with the Data Protection Act 1984, LAC(88)16 and LAC(88)17*.
3.6	The SSD has agreed protocols for relevant information exchange with other public and independent agencies.
3.7	SSD policy states expectations of the accuracy and quality of records, including style, content and use of language.
3.8	The SSD has a policy on the videotaping of interviews, including their safe storage and access, and the requirement that their existence is noted on written case records.
3.9	The SSD publicises its policies on case records including access by service users and exchange of information with other agencies.
3.10	There is a policy on the destruction of records that takes account of the specific legal requirements for each service users group. LAC(87)10 - DATA PROTECTION (SUBJECT ACCESS MODIFICATION) (SOCIAL WORKER) ORDER 1987 *LAC(88)16 - DATA PROTECTION ACT 1984 SOCIAL WORK ETC ORDERS: INDIVIDUAL'S RIGHT OF ACCESS TO INFORMATION *LAC(88)17 - PERSONAL SOCIAL SERVICES: CONFIDENTIALITY OF PERSONAL INFORMATION *LAC(89)2 - (i) ACCESS TO PERSONAL FILES ACT 1987: ACCESS TO PERSONAL FILES (SOCIAL SERVICES) REGULATIONS (ii) LOCAL AUTHORITY SOCIAL SERVICES DESIGNATION OF FUNCTIONS ORDER 1989.

Standard 4: Contributions to case records and sharing information from them

The SSD has guidance on, and systems for, receiving contributions to case records from external sources, and the appropriate sharing of information from them.

CRITERIA

4.1	SSD arrangements provide for relevant people/agencies to contribute to case records and SSD guidance covers the use to be made of such contributions.
4.2	In all settings a record is made of work done with a service user, and arrangements exist for recorded information to reach that service user's main case record.
4.3	There is evidence to show that information received is evaluated, and its relevance assessed, whenever possible in agreement with the person giving the information.
4.4	Arrangements for information gathering are made in partnership with persons requiring a service, and (where appropriate) their carers.
4.5	The circumstances and ways in which information will be shared with other people and agencies, who can demonstrate a need to know, are clearly stated in written guidance.
4.6	Written guidance states that case records show when information has been shared.
4.7	Service users, and their carers where appropriate, are always asked, and in specific circumstances told, when information about them is to be shared, and the reasons why.
4.8	Relevant information about service users is made available to providers prior to the delivery of service or support.
4.9	Relevant records are transferred to another area or local authority at appropriate times when a service user or family moves.

Standard 5: Equal opportunities in recording practices

The SSD requires and ensures that good practice in equal opportunities is reflected in the case record.

CRITERIA

5.1	The SSD issues guidance regarding the need for case records to reflect good practice in equal opportunities, and how this should be done.
5.2	Case records reflect anti-discriminatory practice and demonstrate sensitivity to the needs of all people in the community.
5.3	Case recording identifies special needs arising from ethnicity, race, culture, gender, age, religion, language, communication, sensory impairment, disability and sexual orientation.
5.4	The SSD promotes access to records for service users with language and communication needs.
5.5	Case records contain information which is routinely gathered for monitoring and planning purposes, and to promote good equal opportunities practice.

Standard 6: Management Arrangements

Management arrangements ensure the practice of case recording meets accepted good professional standards, and the policy and procedural requirements of the SSD.

CRITERIA

6.1	The SSD provides guidance for staff on good professional standards of case recording, and on implementing SSD policies on case records.
6.2	Responsibility for ensuring the quality of case recording has been clearly identified to specific types or levels of manager.
6.3	Managers are aware of all SSD policies and guidance on case recording, they ensure that staff have direct access to them and written copies are kept in an easily accessible place.
6.4	Case records are used effectively by managers and practitioners to plan work with service users, to aid the assessment and decision making processes, to monitor practitioners' involvement with service users, and to monitor progress of care plans.
6.5	Managers ensure that staff have appropriate development and training opportunities to learn about good professional recording standards, SSD policies and guidance and how to put them into practice.
6.6	Managers ensure that practitioners achieve good professional standards and adhere to SSD policies and guidance, by routinely monitoring the quality of case records and efficiency of case recording practice.
6.7	Aggregated needs identified in case records are systematically monitored and used to inform the planning of services.
6.8	Managers ensure the secure storage of case records and other confidential information, and their destruction in accordance with guidance and legal requirements.

Appendix B - Structure of Case Files

1.	Introduction Bexley Adult & Children's Social Services have generic case files which should be used across all the services. These files are divided into the sections, and all files will include the core sections outlined below. Each service consider whether to include additional sections to meet the specific requirements of their service users, or to facilitate recording of specialist ways of working. In some teams e.g. the Learning Disability Team & Community Mental Health Team for Older People there are integrated files which follow the Oxleas Case Records models. In these teams the social care managers must ensure that these integrated files comply with the core requirements of this Council Policy.
2.	File Sections
All files will comprise the following core sections:
	2.1	Basic Information section, to include the service user/client information/front sheet key contacts information, with names and telephone numbers of carers, family members and other agencies names, ages, carer details, GP and schools  of all children in the household the most recent referral the most recent consent to share information form
	2.2	Risk Assessment and Management section, to include all risk assessments and risk management forms Critical Incident forms the most recent Child Protection conference minutes/ Safeguarding Adults minutes Notification of Violence to Staff forms or other such information Manual Handling risk assessments any other health and safety risk information
	2.3	Contact Information/Ongoing recording, to include contact sheets multi-professional service user/client contact recording
	2.4	Correspondence, to include copies of all letters copies of all e-mails
	2.5	Assessments to include service user/client's own assessment of his/her problems initial assessments core and comprehensive assessments reports of assessments by other agencies safeguarding child protection investigations and minutes of strategy meetings safeguarding adult  investigations and minutes of strategy meetings SAP and CPA assessments For all adults: a record of assessment against eligibility criteria for Fair Access to Care Services on the Statement of Need (SON)
	2.6	Planning and Review, to include previous Safeguarding Children / Safeguarding Adults Conference (the most recent minutes to be filed in the Risk Assessment and Management section) CPA forms FACS compliant reviews (adults only) Care Plans Looked After Children review forms IP and Core Group meeting minutes Chronologies Summaries (Periodic, Transfer and Closing Summaries) application forms referrals to other services supervision notes
	2.7	Administrative, to include financial information transport protection of property
	2.8	Complaints, to include copies of all correspondence and notes relating to any complaints, their investigation and resolution
	2.9	Legal as required
	2.10	Health as required
	2.11	Education as required
	2.12	Safeguarding Adults as required
	2.13	Restricted Information, to include information from third parties
	2.14	Additional Sections as required by teams, to include for example direct work with children or other family members group work work with carers

End