17.1 Allegations Against People Who Work With, Care For, or Volunteer with Children

Working Together to Safeguard Children 2018 states:

County level and unitary local authorities should ensure that allegations against people who work with children are not dealt with in isolation. Any action necessary to address corresponding welfare concerns in relation to the child or children involved should be taken without delay and in a co-ordinated manner. Local authorities should, in addition, have designated a particular officer, or team of officers (either as part of local multiagency arrangements or otherwise), to be involved in the management and oversight of allegations against people who work with children. Any such officer, or team of officers, should be sufficiently qualified and experienced to be able to fulfil this role effectively, for example, qualified social workers. Any new appointments to such a role, other than current or former designated officers moving between local authorities, should be qualified social workers. Arrangements should be put in place to ensure that any allegations about those who work with children are passed to the designated officer, or team of officers, without delay.

Local authorities should put in place arrangements to provide advice and guidance to employers and voluntary organisations and agencies on how to deal with allegations against people who work with children. Local authorities should also ensure that there are appropriate arrangements in place to liaise effectively with the police and other organisations and agencies to monitor the progress of cases and ensure that they are dealt with as quickly as possible, consistent with a thorough and fair process.

Sefton Safeguarding Children Partnership (SSCP) has responsibility for ensuring there are effective inter agency procedures in place for dealing with allegations against those working with children and for monitoring and evaluating the effectiveness of those procedures.

Working Together to Safeguard Children identified three key roles essential to an effective process for managing allegations:  the Named Senior Officer (NSO), the Senior Manager (SM) and the Local Authority Designated Officer (LADO).

Named Senior Officer (NSO)

All SSCP member organisations should have a Named Senior Officer with responsibility for:

• Ensuring that their organisation operates procedures for dealing with allegations;
• Resolving any inter agency issues; and
• Liaising with the SSCP on the subject.

Senior Manager within the Organisation (SM):

The Senior Manager within the organisation is the senior person to whom all allegations or concerns are reported.  They have responsibility for:

• Ensuring procedures are properly applied and implemented; and
• Providing advice, information and guidance for staff within the organisation.

The Local Authority Designated Officer (LADO):

The LADO is responsible for:

• Providing advice and guidance to employers and voluntary organisations;
• The management and oversight of individual cases;
• Liaising with the police and other agencies;
• Monitoring the progress of cases to ensure that they are dealt with as quickly as possible and are consistent with a thorough and fair process;
• Reporting regularly to the SSCP including identification of themes and trends.

It is critical that the relationship between the LADO and the Senior Manager is clear to all organisations.  The LADO should act independently of any organisation involved in the allegation concerned.

Agencies covered by these multi-agency procedures must have in place their own policies, procedures and guidance relating to the conduct of their employees which are compliant with these procedures.

Historical allegations must be responded to in the same way as contemporary concerns if the person continues to be employed. It is important to establish if the person is still working with children and, if so, inform the current employer.

There are a number of sources from which an allegation may arise, such as a child, parent, carer, member of the public, work colleague, professional body.

The person to whom the allegation is reported initially must:

• Treat the matter seriously;
• If the allegations are so serious that there is an immediate risk to the child or young person then a referral must be made to MASH followed by a referral form to the LADO;
• Avoid asking leading questions and keep an open mind;
• Make a written record of the information (where possible in the person’s own words) including:
• What is alleged to have happened;
• When the alleged incident took place (time and date);
• Where the alleged incident took place;
• Who was present (including any witnesses);
• Sign and date the written record;
• Report the matter immediately to their line manager, who completes the allegations Referral Form for consideration by the organisation's named senior person for managing allegations.

The employer, or any organisation who identifies an allegation regarding someone in the children’s workforce, must inform the LADO within 24 hours of an allegation being made. 

Managers need to understand which behaviours to address directly through their complaints or disciplinary procedures and under what circumstances they should contact the LADO.

What constitutes appropriate or inappropriate behaviour will vary depending upon the context and nature of the work undertaken. All employers have a responsibility to set personal and professional boundaries for their staff and to be explicit about what behaviours are illegal, inappropriate or unacceptable.

The Senior Manager must not investigate the matter by interviewing the person subject of an allegation, any child(ren) or potential witnesses. The Senior Manager must:

• Obtain written details of the allegation, signed and dated, from the original recipient;
• Record any other information at their disposal i.e. what else is known about any of the individuals implicated – length of service, specific role within the organisation, previous/current level of contact with the child(ren) involved, details of any relevant plans pertaining to the child(ren) implicated, (e.g. behaviour management plan), whether there have been any previous relevant concerns/allegations/disciplinary issues;
• Whether the subject of the allegation has any children of their own or children who reside at their home address or for whom they have caring responsibilities;
• Check to see whether any contemporaneous records exist which might relate to the alleged incident. (For example, incident report, behaviour records);
• Countersign and date an updated record of discussions and decisions.

Discussions about suspension/change of duties may take place and while other professionals may wish to express a view, the decision to suspend/change duties rests ultimately with the employer and should be in accordance with each organisation's own policies.

If the allegation meets, any of the criteria above the Senior Manager must refer the matter to the LADO within 24 hours of being notified of the allegation.

This is done by forwarding the completed referral form electronically together with any reports, incident sheets, etc. A copy must also be retained as per the organisation's policies and procedures.

In the event that the decision about whether to refer to the LADO is not clear, then the Senior Manager must contact the LADO via telephone in order to discuss and agree whether the information is within or outside the scope of these procedures. 

Where a notification to LADO is made the employer should inform the subject of the allegation as soon as possible after consulting the LADO. However, where an allegations management strategy meeting is needed, or it is clear that police or children's social care may need to be involved, that should not be done until those agencies have been consulted and have agreed what information can be disclosed to the person. If the person is a member of a union or professional association they should be advised to seek support from that organisation.

If the parents/carers of the child(ren) concerned are not already aware of the allegation, the LADO will also discuss how and by whom they should be informed. In circumstances in which the police or children’s social care may need to be involved, the LADO should consult those colleagues about how best to inform parents. However, in some circumstances an employer may need to advise parents of an incident involving their child straight away, for example if the child has been injured while in the organisation's care and requires medical treatment.

The LADO will notify the employer/senior manager of any notifications made directly to the Police or Sefton's MASH of which the organisation may not otherwise be aware.

Police Officers who receive allegations in the course of their duties should ensure that this is reported to the police team based in North MASH. This should be done by completing and submitting the police form VPRF1. Operational police officers should always notify their line managers immediately when an allegation is made.

If the allegation is received by Sefton MASH, the Team Manager must ensure that the completed allegations referral form is sent to the LADO within 24 hours of being made aware of the allegation.

The Senior Manager and LADO must consider the nature, content, and context of the allegation and agree a course of action together. They must therefore:

• Establish that the complaint/allegation is within the scope of these procedures;
• Verify whether there is evidence or information that establishes that the allegation is false (education settings only) or unfounded;
• Consider whether further details are required (i.e. such as previous history, whether child/family have made similar allegations and current contact with children).

For all other cases, the discussion will then focus on agreeing a course of action including deciding whether the information meets agreed thresholds to hold a strategy meeting under Child Protection Procedures and/or an allegations management strategy meeting under LADO.

The advice of the LADO may also be sought where an employee's behaviour is a matter for concern because it compromises or may be seen to compromise the reputation and ability of the organisation to safeguard children. Some examples include:

• Contravened any safe practice guidance;
• Exploited or abused a position of power;
• Acted in an irresponsible manner, which any reasonable person would find alarming or questionable given the nature of work undertaken;
• Demonstrated a failure to understand or appreciate how their own actions or those of others could adversely impact upon the safety and wellbeing of a child;
• Demonstrated an inability to make sound professional judgements, which safeguard the welfare of children;
• Failed to follow adequately policy or procedures relating to safeguarding and promoting the welfare of children;
• Failed to understand or recognise the need for clear personal and professional boundaries in their work;
• Behaved in a way in their personal life, which could put children at risk of harm;
• Become the subject of criminal proceedings not relating to a child;
• Become subject to enquiries under local child protection procedures;
• Behaved in a way, which seriously undermines the trust and confidence placed in them by the employer.

With effect from 1 October 2012, the Education Act 2011 introduced reporting restrictions preventing the publication of any material that may lead to the identification of a teacher who has been accused by, or on behalf of, a pupil from the same school (where that identification would identify the teacher as the subject of the allegation). The reporting restrictions apply until the point that the accused person is charged with an offence, or until the Secretary of State or the General Teaching Council for Wales publishes information about an investigation or decision in a disciplinary case arising from the allegation. The reporting restrictions also cease to apply if the individual to whom the restrictions apply effectively waives their right to anonymity by going public themselves or by giving their written consent for another to do so or if a judge lifts restrictions in response to a request to do so. Breaching the reporting restrictions is a criminal offence.

The case manager should take advice from the LADO, police and children's social care to agree the following:

• Who needs to know and, importantly, exactly what information can be shared;
• How to manage speculation, leaks and gossip;
• What, if any information can be reasonably given to the wider community to reduce speculation; and
• How to manage press interest if and when it should arise.

(Note that this provision applies only to teachers, not to other staff in education settings).

Where there is reasonable cause to suspect that a child has suffered, is suffering, or is likely to suffer significant harm, then a strategy meeting should be convened in accordance with the SSCP safeguarding procedures.  In these cases the strategy meeting should include a representative of the employer unless there are good reasons not to do that, and take account of any information the employer can provide about the circumstances or context of the allegation. The LADO will be consulted as part of this process and may also attend.

In cases where a strategy meeting (Section 47) is not considered appropriate because the threshold of harm is not reached, but a police investigation might be needed, the LADO should conduct an allegation management strategy meeting with the police, the employer, and any other agencies involved with the child to evaluate the allegation and decide how it should be dealt with. (N.B. The police must be consulted about any case in which a criminal offence may have been committed). It should share available information about the allegation, the child, and the person against whom the allegation has been made, consider whether a police investigation is needed and if so, agree the timing and conduct of that. In cases where a police investigation is necessary the meeting should also consider whether there are matters which can be taken forward in a disciplinary process in parallel with the criminal process, or whether any disciplinary action will need to await completion of the police enquiries and/or prosecution.

If the complaint or allegation is such that it is clear that investigation by police and/or enquiries by social care are not necessary, or the strategy meeting/discussion decides that is the case, the LADO should discuss next steps with the employer.

Where an allegation management strategy meeting is convened in response to an allegation, this will occur within 5 working days of referral to LADO. The meeting will be coordinated and chaired by the LADO. Attendees must have already provided any information they hold including: any previous concerns, training, DBS number and date check undertaken, employment history, incident reports, etc.

All those invited to the allegation management strategy meeting will receive minutes, which will carry a reference to confidentially.

The Allegation Management Strategy Meeting must:

• Share all relevant information;
• Consider the current allegation or concern and review any previous allegations or concerns made against the member of staff and/or the establishment;
• Decide whether there must be a S.47 enquiry / criminal investigation (if not already commenced);
• Scope and plan any s.47 enquiry / criminal investigation (if not already commenced);
• Allocate tasks agreeing any further action with timescales required and who is responsible;
• Identify who may need to be interviewed e.g. witnesses, staff, children – and who will do this: decide who to inform and when (subject of allegations, child, parents);
• Make recommendations regarding immediate suspension without prejudice or other restrictions of duties, disciplinary, competency, regulatory or complaints procedures;
• Agree criteria for a re-referral where new evidence comes to light suggesting that a further allegations management strategy meeting should be convened;
• Agree arrangements for the outcome of any internal process to be reported to the LADO;

Set a date for a review allegations management strategy meeting that must occur, wherever possible, within 28 days of an initial allegations management strategy meeting.

Working Together states that suspension must be considered in every case where:

• There is cause to suspect a child is at risk of significant harm.
• The allegation warrants investigation by the police; or
• The allegation is so serious that it might be grounds for dismissal.

Suspension is a neutral act and must not be seen as an automatic response or a default option to an allegation. A decision to suspend without careful thought could impede a police investigation.

If suspension is deemed appropriate, the reasons and justification must be recorded and the individual notified of the reasons in writing.

The time taken to investigate and resolve individual cases depends on a variety of factors, including the nature, seriousness, and complexity of the allegations. However, it is in everyone's interest to resolve cases as quickly as possible, consistent with a fair and thorough investigation. Every effort must be made to manage cases in order to avoid unnecessary delay. Individual agencies must ensure that they have in place the appropriate monitoring and review mechanisms to do this. The LADO will monitor and record timescales in respect of all cases and liaise with Senior Managers and appropriate bodies in the event of delay.

The review allegation management strategy meeting will draw together all relevant information following the completion of enquiries by Children's Services, the Police and any other agency (as appropriate) and make multi-agency decisions about any further action to be taken in the case, including timescales for completion.

Where difficulties have been encountered by investigative agencies the review will also provide an opportunity to clarify what these are, to identify solutions, make further plans and agree timescales.  If enquiries take longer than the initial four-week period, then the case will be reviewed at appropriate intervals agreed in the allegation management review strategy meeting.

The LADO will monitor the progress of cases either via:

• Review Allegation Management discussions/meetings; or
• By liaising with the Police, Children's Social Care, employers, and regulatory bodies/inspectorates as appropriate.

The fact that a person tenders their resignation, or ceases to provide their services, must not prevent an allegation from being followed up in accordance with these procedures and a formal conclusion reached.

A settlement/compromise agreement which prevents the employer from making a DBS referral when the criteria are met for so doing would likely result in a criminal offence being committed for failure to comply with the duty to refer. The organisation must make a referral to the Disclosure and Barring Service to consider whether to add the individual to the barred list. This applies irrespective of whether a referral has been made to Local Authority Children's Social Care and/or the LADO. It is an offence to fail to make a referral without good reason.

Wherever possible the subject of the allegation must be given an opportunity to answer the allegation and make representations. Any enquiries and investigations must continue to a conclusion even if the person refuses to co-operate; decisions will be taken on the strength of what is known in the event that an individual chooses not to make representations.

All record keeping must be made with due regard to the provision of the Data Protection Act 2018, Freedom of Information Act 2002 and Human Rights Act 1998 and UK GDPR.  Each employer must ensure that they have appropriate policies and procedures in place governing record retention and suitable arrangements for the secure destruction/disposal of records at the end of their lifecycle.

Employers must keep a clear and comprehensive summary of the case record on a person's confidential personnel file and give a copy to the individual.  The record must include details of how the allegation was followed up and resolved, the decisions reached, and the action taken. It must be kept at least until the person reaches normal retirement age or for ten years if longer.

The record will provide accurate information for any future reference and provide clarification if a future DBS disclosure reveals an allegation that did result in a prosecution or conviction. This record will prevent unnecessary re-investigation if the allegation resurfaces.  Each employer must implement policies and procedures to govern the disclosure of information relating to allegations in response to requests for employment references.

The LADO must be informed of the outcome of any action taken by the employer. Copies of the investigation report must be sent to the LADO so that it can be demonstrated that a thorough and impartial investigation has been conducted.

The police or the CPS should inform the employer and LADO straightaway when a criminal investigation and any subsequent trial are complete, or if it is decided to close an investigation without charge, or not to prosecute after the person has been charged. In those circumstances the LADO should discuss with the employer whether any further action is appropriate and, if so, how to proceed. The information provided by the police and/or children's social care should inform that decision. Action by the employer, including dismissal, is not ruled out in any of those circumstances. The range of options open will depend on the circumstances of the case and the consideration will need to take account of the result of the police investigation or trial, as well as the different standard of proof required in disciplinary and criminal proceedings.

If the allegation is substantiated and the person is dismissed or the employer ceases to use the person's services, or the person resigns, retires otherwise ceases to provide their services, the LADO should discuss with the employer whether a referral to the Disclosure and Barring Service is required, or advisable, and the form and content of a referral.

If the person is subject to registration or regulation by a professional body or regulator, for example by the General Medical Council, Nursing and Midwifery Council, Ofsted, The Teaching Regulation Agency and so on, the LADO should advise on whether a referral to that body is appropriate.

If it is decided on the conclusion of the case that a person who has been suspended can return to work the employer should consider how best to facilitate that. Most people will benefit from some help and support to return to work after a very stressful experience. Depending on the individual's circumstances, a phased return and/or the provision of a mentor to provide assistance and support in the short term may be appropriate. The employer should also consider how the person's contact with the child or children who made the allegation can best be managed if they are still in the workplace.

The following definitions will be used when determining the outcome of the allegation management process:

• Substantiated: there is sufficient evidence to prove the allegation;
• Malicious: there is sufficient evidence to disprove the allegation and there is evidence to prove the intention of a deliberate act to deceive or cause harm to the person subject of the allegation;
• Unsubstantiated: there is insufficient evidence to either prove or disprove the allegation. The term, therefore, does not imply guilt or innocence;
• Unfounded: to reflect cases where there is no evidence or proper basis which supports the allegation being made.
• False: there is sufficient evidence to disprove the allegation. (This is used in cases relating to education settings only.)

Managing Allegations Flowchart

Managing Allegation Referral Form