Managing Allegations Against
People Who Work With
Children
TOP ‘O’TOWN HOUSE
13TH FEBRUARY 2012
Alison Gadd
Children’s Services/Independent Safeguarding Trainer
01305 221122/07879 815777
Course Objectives
 To understand the role and responsibilities of the Senior Manager &
Local Authority Designated Officers
 Understand the role and responsibilities of the Human Resources
Employee Relations service.
 Understand the process of managing allegations against staff, as
detailed in Appendix 5 ‘Working Together to Safeguard Children‘
 Be clear about how this fits into the wider safeguarding agenda
 Be clear about roles and responsibilities with regard to investigations
 Be informed about the function of the Independent Safeguarding
Authority
Why have these procedures?
• The murders of Holly Wells and Jessica Chapman in 2002
by Ian Huntley highlighted flaws in educations vetting
and police recording systems
• Sir Michael Bichard’s inquiry into the murders led to
changes in the legislation around safe recruitment and a
safer workforce
• Working Together to Safeguard Children 2010
(Previously 2006) Appendix 5
Working Together to Safeguard Children 2010
Children can be subjected to abuse by those who
work with them in any setting. All allegations of
abuse or maltreatment of children by a professional,
staff member, foster carer or volunteer must
therefore be taken seriously and treated in
accordance with consistent procedures.
Working Together 2010
All organisations which provide services for children,
or provide staff or volunteers to work with or care for
children, should operate a procedure for handling
such allegations which is consistent with the guidance
in Appendix 5
Safer working organisations
• Prevent unsuitable people with working with children and
young people (under 18)
• Promote safe practice and challenge poor and unsafe practice
• Identify instances in which there are grounds for concern
about a child’s welfare, and take appropriate action to keep
them safe
• Contribute to effective partnership working between all
those involved with providing services for children
Each agency should have
Managing allegations procedures
These should be linked with other procedures such as;
• Child Protection Procedures
• Code of conduct
• Whistle blowing
• Disciplinary
• Behaviour management
• Use of physical force policy (If appropriate)
• Intimate care (If appropriate)
Barring
Review
Management
Of Allegations
Safer recruitment
Whistle blowing
Induction
Safer
Practice/
Code of
Conduct
Training
and
supervision
What sort of “Allegations” apply ?
 Wider than just a reasonable cause to believe a child
is suffering, or likely to suffer, significant harm.
 It also caters for allegations that might indicate that
s/he is unsuitable to continue to work with children
in their present position, or in any capacity.
Working Together 2010 Appendix 5: Scope 1
Has that person…..
 behaved in a way that has harmed ,or may have
harmed a child;
 possibly committed a criminal offence against or
relating to a child; or
 behaved in a way towards a child that indicates they
are unsuitable to work with children
Working Together 2010 Appendix 5: Scope 1
Consideration of an allegation
 There may be three strands involved;
 Police- Who will investigate any possible criminal
offences
 Children’s Social Care- Enquiries and assessments
to establish if the child is in need of protection or in
need of services; and
 Employer- Consideration of disciplinary action for
that individual
Working Together 2010 Appendix 5: Scope 2
Historical allegations-the procedures also apply
• Can be organised or multiple in nature
• Responded to in the same way as contemporary concerns
• If person is still working with children then current senior
manager would become involved
The Term “Employer”……
• “Organisations that have a working relationship with the
individual against whom the allegation is made”
• This includes volunteers, the self employed, service
providers, voluntary organisations, employment agencies or
businesses, contractors, fostering services, regulatory bodies
such as Ofsted(Child minders); or
• Any others, perhaps without direct employment, where it
needs to be decided whether or not to continue using their
services. In those cases both the contractor/agency and the
organisation need to be involved.
Working Together 2010 Appendix 5: Scope 2 Note 273
Has that person…..
 behaved in a way that has harmed ,or may have harmed a
child;
 possibly committed a criminal offence against or relating to a
child; or
 behaved in a way towards a child that indicates they are
unsuitable to work with children; or
 is there an allegation or concern arisen in a person’s personal
life which indicates s/he might be unsuitable to work with
children
Working Together 2010 Appendix 5: Scope 1
“Harm”
Dictionary
 harm [hɑːm] n 1. physical or mental injury or
damage
 2. moral evil or wrongdoing
 vb (tr) to injure physically, morally, or mentally
Under the Children Act 1989 s31 (9):
 Harm - means ill treatment or the impairment of
health or development
Allegation
 al·le·ga·tion (l-gshn) n. 1.
Something alleged; an assertion:
allegations of disloyalty.
 2. The act of alleging.
 3. A statement asserting something
without proof: “The newspaper's
charges of official wrongdoing
were mere allegations.”
 4. Law An assertion made by a
party that must be proved or
supported with evidence
 an unproved statement or
assertion, especially one in an
accusation
Complaint
 com·plaint (km-plnt) n. 1. An
expression of pain, dissatisfaction,
or resentment.
 2. A cause or reason for
complaining; a grievance.
 1. the act of complaining; an
expression of grievance
 2. a cause for complaining;
grievance
Dorset: March 31st 2010-2011
 113 Allegations referred to LADO’s in this period
 52 from Social Care, 34 from Education , 5 from




Police
50 for Physical Abuse, 33 for Sexual Abuse
51 were resolved within one month
1 was proved to be malicious, and 46 were
unsubstantiated
9 were referred to the ISA
Unfounded or Unsubstantiated?
 Unfounded This indicates that the person making
the allegation misinterpreted the incident or was
mistaken about what they saw. Alternatively they
may not have been aware of all the circumstances.
For an allegation to be classified as unfounded, it will
be necessary to have evidence to disprove the
allegation.
 Unsubstantiated - unsupported by other evidence .
Managing Allegations
ROLES AND
RESPONSIBILITIES
Procedures
• All Procedures originally based on Working Together 2006
Appendix 5
• Very few changes in Working Together 2010
• Your agency may have it’s own procedure:
• Children’s Services procedures- govern the actions of Local
Authority Designated Officers
• Specific school procedures are also in place
• Dorset County Council procedures also apply
Responsibilities of a Senior officer
• Local Safeguarding Children’s Board member organisations
should have a named senior officer who has overall
responsibility for ensuring that the organisation operates
procedures for dealing with allegations in accordance with
the guidance in Appendix 5;
• Resolving any inter-agency issues
• Liaison with the LSCB on the subject
Responsibilities of Senior Manager
• The Senior Manager has responsibility for ensuring
procedures are followed at an operational level and is the
person to whom all allegations or concerns about staff or
volunteers should be reported. If they are the subject of the
concern, there should be an alternative named Senior
Manager.
For example;
• Head teacher (schools)
• Service Manager (Social Care)
• Care manager
The Role of The Local Authority
Designated Officer (LADO)
SANDRA CONROY
S.L.CONROY@DORSETCC.GOV.UK
Local Authority Designated officer
• From Working Together 2010 6.35
• County Level and unitary authorities should also have
designated officers to be involved in the management and
oversight of individual cases
Role of the LADO
• Where appropriate referral made to Social care or the
police
• Ensure HR are informed
• Attend the strategy meeting or liaise with the chair
• Ensure appropriate advice is given to senior manager
about suspension and referral to the regulatory body
• Write and distribute detailed record of section of strategy
meeting referring to the person who works with children
Role of LADO
• When Social care are not involved provide a written report
to the senior manager making recommendations about
future actions that can be used to inform disciplinary
proceedings
• Monitor the progress of cases
• Ensure that cases are dealt with as quickly as possible
• Ensure the process is fair and thorough
• Advice on information sharing
• Ensure learning from cases is recorded for senior manager
Who are the LADOS in Dorset?
• Sandra Conroy/Kevin Stenlake/Penny Lodwick – the
allegation or concern arises about an adult who works or
volunteers in any setting [except education] and where there
is a named child[ren] or specific group of children [eg youth
club].
• Angela Burr/Ginny Daniells - the allegation or concern
arises about an adult who works or volunteers in an
educational setting
• Neil Vincent – where there is actual or potential risk to
children generally (eg where adult who has some contact
with children as part of his/her job has downloaded indecent
images of children)
Senior manager :How would you react to an
allegation?
• Could be child, carer, another member of staff, find out
from the newspaper!!!!
• Listen
• Do not interrupt
• Reassure
• Question in order to clarify rather than investigate
• Clarify support and process to informant
• Record information
• Report to LADO within one working day.
The Process
-if one of the criteria seems to be met
• LADO to be informed by person/agency who receives the
allegation or concern - Senior Manager/Social Care/Police
Discussion between LADO and Senior Manager
•
•
•
•
•
•
•
demonstrably false or trivial?
Complaint or allegation
inappropriate behaviour
poor practice
reasonable Restraint
Significant harm
Criminal Act
The process (cont)
• Does the LADO or Senior manager need to find out more
information at this stage?
3 possible strands to consider;
• Police investigation of possible offence
• Social care enquiries or investigation
• Consideration of disciplinary action/capability/suitability
procedures
Process (cont)
• Discussion about informing parents-may need to be
immediate if child needs medical care
• Employer informs accused person as soon as possible but
needs to take into account if Police and Social Care
involved must talk about the timing with them
• Common sense and judgement
The Role of Social Care
NIKKI DAVID (NORTH DORSET COMBINED
TEAM)
N.E.DAVID@DORSETCC.GOV.UK
The Role of Social Care
Referral or Contact?
• In Dorset a “Management Decision” decides whether
information shared should be treated as a 'Contact' or a
'Referral'.
• This links with how RAISE ICS system works in practice.
“Contact”
• A 'contact' will be recorded when any information is
shared with the area team about an adult but there are
no concerns in respect of a specific child
• A contact will recorded when an assessment is not
required by Social Care
“Referral”
A referral is a request for a service, relevant to Social
Care's responsibilities in respect of the Child or Adult
involved.
A ‘referral’ in respect of an adult should be recorded by
Social Care when there is an allegation of harm being
caused to a child or it is thought that an offence has
been committed by that adult and an assessment of
risk is required.
Referral
A ‘referral’ in respect of a child should be recorded by
Social Care when there is an allegation of harm
being caused to a specific child, or there is potential
that an offence has been committed against the child,
and
an assessment of need/risk is required
Actions following a referral to Social Care in
respect of the Child
• Initial Assessment…
• …Where it is necessary to determine whether the
child is In Need, the nature of any services
required, and whether a further, more detailed
Core Assessment should be undertaken (paragraph
3.9 of the Framework for the Assessment of
Children in Need and their Families (2000))
Actions following a referral to Social Care
•Initial Assessment
Does the Initial Assessment indicate that an offence
may have been committed against the child, and that
the child may have suffered significant harm?
Actions following a referral to Social Care
No
(i.e. does not meet the threshold for a s47 investigation)
Initial Evaluation Meeting to be convened
Actions following a referral to Social Care
Yes
(i.e. does meet the threshold for a s47 investigation)
Strategy Meeting to be convened
Actions following a referral to Social Care
Who will attend the Strategy/IE Meeting
Social Care 
LADO 
The Employer
Chair Of Governors
Paediatrician
Police 
HR
Head Teacher
GP
Health Visitor
Etc,etc
Actions that will be taken when there is concern for the
welfare of a child/young person
Decisions:Does the information shared indicate that a
joint/single agency investigation is required under
s47 Children Act 1989?
What actions are required to:-
• Protect the child/children
• Ensure that the employer has the required information to
make immediate decisions about the worker’s suitability to
work with children
Possible tasks that might be agreed
• Child/ young person interviewed
• Witnesses interviewed
• Employee/volunteer interviewed
• Assessments completed
Possible task that might be agreed
Consideration must also be given to any other
children who might be at potential risk of harm
including the employee/volunteer’s own children
The process
Although often difficult for all involved it is important
that a robust investigation takes place to ensure the
outcome of the enquiries can be relied upon to be as
accurate as possible and fair to all concerned. This
can take time and increases the pressures on all
involved.
Timing of the Investigations
Initial Assessment – up to 7 working days
(24 hours if indication that a Strategy Discussion is
required)
Strategy Discussion – 24 hours
Child seen – 24 hours (unless good reason for
delaying)
Outcome of S47 enquiries – within 15 working days
wherever possible
Core Assessment – 35 working days
Timing of the Investigations
Post Allegation Investigation Meeting
– as soon as possible following the
investigation being concluded
Post Allegation Investigation Meeting
Report prepared for LADO/Employer by Social
Worker
Possible attendance at disciplinary hearing by
investigating Social Worker
Support issues for the child and parents – Post
Investigation
• The children involved to receive appropriate support
• and should be helped to understand the process
• and should be told the result of the enquiry or disciplinary
process (think about data protection and the Human Rights
Act)- Information Sharing guide for practitioners and
managers.
No referral to Social Care?
• In an education setting, if there is no cause to believe
significant harm has occurred regarding a specific child but
criminal offence has occurred, the LADO will inform the
police and a meeting will be convened
• However, all referrals to the Social Care LADO will involve
a referral being made to the appropriate area Team
• There then may follow an Initial Evaluation Meeting
The Role of The Police
Role of the Police
• Police should try to review the progress of the investigation
after no later than 4 weeks and consult with the Crown
Prosecution Service at that time. The case should be
regularly reviewed thereafter
• Wherever possible should get permission from the
individuals to share information with employers-this saves
delay
• Police should inform the employer and LADO as soon as
trial concluded or a decision has been made to take no
further action
Police: Senior Manager
 A Detective Inspector will:
 Have a strategic oversights regarding managing allegation
 Liaise with DSCB
 Ensure compliance
 A designated Detective Sergeant in each CAIT unit and




SRU who will:
Liaise with the LADO
Take part in the strategy discussion
Review the progress of any Police investigation
Share information on completion
Pan Dorset inter-agency procedures Chapter 3, Document 3.9 Reviewed 2011
Remit of Child Abuse Investigation
Teams
 Intra Familiar
 Juvenile on Juvenile
 Professional Allegations
 Predominantly investigate Sexual and
Physical abuse
LEGAL LEVELS OF PROOF
CRIMINAL COURT:
‘Beyond reasonable
doubt’
0
50
CHILD
PROTECTION
CIVIL COURT: ‘On the balance
of probabilities’
100
What does the research tell us
 2005 study of adults who abused children they
worked with looked at methods used to gain the
victim’s trust – part of the ‘grooming’ process:
- spending a lot of individual time with them
(95.6%)
- giving a lot of attention (95.6%)
- touching them non-sexually (91.3%)
- telling them personal things (78.2%)
- giving special rewards or privileges (43.4%)
Leclerc, Proulx and McKibben, 2005
The Developing Cycle of Sexual Abuse
Cognitive
Distortion
Guilt/ Fear
“Mixed- up thinking”
Masturbation
Orgasm
Abuse
You !
Illegal
Sexual
Fantasy
Groom –
Victim,
Others,
Environment
Adapted from Wolfe 1985
Domestic Violence Exercise
Human Resources
PAUL HUTTON
P.HUTTON@DORSETCC.GOV.UK
Human resources-Managing the disciplinary
process
• Understanding the employer/employee relationship
• What is expected of an employer?
• The rights of employees
• Role of the Trade Unions/Professional Associations
• Employment Tribunals
HR Policies and Procedures 1
• Managing Allegations Against People Who Work
with Children (DSCB Chapter 3.9)
• Working Together to Safeguard Children 2010 (Dept
for Education – Appendix 5)
• What does it cover?
• How does it help?
HR Policies and Procedures 2
• The Disciplinary Policy and Procedure
• Legal Requirement
• What does it cover?
• Why does it help?
What do HR do?
• Role is to support the employer in managing the
situation
• Normally attend the Strategy Meeting
• Advise the employer according to HR procedures
• Liaise with LADO
Timescales of Disciplinary Action
• Will depend on whether Police are taking forward
• If so , will await outcome of Police investigation
• If not, will decide whether to proceed to an investigation under the
Disciplinary Procedure
• Social care information will be crucial if available
• If police involved timescale may depend on prosecution –need to review 4
weekly
• LADO to monitor timescales
Suspension
• Decisions to suspend should not be taken lightly
• Should be used if likely to be gross misconduct or
need to be able to conduct investigation
• Without prejudice and on full pay
• Employee should be offered support at this time
Investigation
• Thorough investigation is key to disciplinary process
• Avoid interviewing children and access interviews
conducted by Police/Social Care if possible
Investigation
• Steps 1 & 2:
• Inform the employee verbally of the alleged misconduct
• Arrange a meeting for the employee to formally respond
to the alleged misconduct.
• Step 3:
• As part of the investigation, hold and investigatory
interview with individual and Trade Union representative
or work colleague
• Weigh up outcome of investigation and response to
allegations….decide whether there is a case to
answer, and if so, should it be a formal hearing
Disciplinary Hearing
• Purpose is for an independent person/panel to hear
evidence in support of the allegations and responses
and decide whether the allegation is proved
• Test is Balance of Probability
• Apply disciplinary penalty
Alternatives to Disciplinary Hearings
• Compromise Agreements
• Acceptance of Penalty without hearing
• Management advice and guidance
• Resignation
Post Allegation Investigation Meetings
Post Allegation Investigation Meeting
• LADO will convene a PAIM –
• and invite the Senior manager, HR officer, Police, Social
Care and other relevant individuals
 A report will be provided by the investigating social
worker if Social Care are involved
PAIM agenda-Dorset Procedure
• Share findings of the investigation/assessment
• Outline any further actions required, including the
completion of the Police investigation and any potential
media interest
• Review the circumstances of the case to determine whether
there are any improvements to be made to procedures or
practice
• Consider relevant/report to relevant regulatory body and/or
the Independent Safeguarding Authority
PAIM agenda (cont)
• Consider whether the circumstances of the case, suggest that a referral
to the Chair of the Dorset Safeguarding Children’s Board should be
made for consideration of a Serious Case Review/Case Audit.
• Decide whether an individual who has been suspended can return to
work and if so, how s/he will be supported.
• Consider whether information about the case needs to be shared with
any other agencies or individuals
• Clarify record keeping, including the agreed outcome and confirmation
of what will be noted on police computer records (where there are no
criminal proceedings). Share findings of assessment.
Referral to the Independent
Safeguarding Authority
•W H E N D O W E R E F E R ?
•W H O H A S T O R E F E R ?
When to refer
Employers and service providers
• When an individual is dismissed, or resigns because they haveharmed, or
may harm a child or vulnerable adult
Local authorities, professional bodies and supervisory authorities
• When an individual is working closely with or may in the future work
closely with children or vulnerable adults who they have, or may harm
• When they feel it may be appropriate to bar someone
Who must refer
• Certain organisations are legally obliged to refer
information relating to harm or risk of harm to children or
vulnerable adults to the ISA.
• Adult / Child Protection Teams in Local Authorities
• Employers and service providers of controlled and
regulated activity
• Professional bodies and supervisory authorities
• Personnel suppliers
Behaviours leading to Barring
Behaviours leading to barring
• causing harm or potential to cause harm
• accessing child or violent pornography
• conduct of an inappropriate sexual nature
Types of harm:
Emotional, Physical, Sexual, Financial, Developmental etc.
Unfounded or Malicious allegations
Refer child to Social Care
• To determine whether the child is in need of services
• Has the child been abused by someone else?
Seven golden rules for information sharing
1. Remember that the Data Protection Act is not a barrier
to sharing information
2. Be open and honest
3. Seek advice
4. Share with consent where appropriate
5. Consider safety and well-being
6. Necessary, proportionate, relevant, accurate, timely
and secure
7. Keep a record
Senior manager role-Record keeping
• Make a clear and comprehensive summary of any
allegations made; and
• The actions taken; and
• The decisions reached
 This should be kept until person reaches retirement age
or 10 years if that will be longer
 Store on that person’s confidential personnel file (with a
copy to the person involved)
 This provides clarification for the future and prevents reinvestigation
Working together 6.42
If substantiated the managers should think widely about
the lessons of the case and how they should be acted upon.
This should include whether there are features of the
organisation which may have contributed to the abuse
occurring, or failed to prevent the abuse occurring. In
some circumstances a serious case review may be
appropriate and how they should be acted upon