CFAB/ISS Network Records Policy and Procedure

1. Statement of Principle

All appropriate records are securely maintained, retained and are accessible when required.

1.1 All CFAB/ISS work must be clearly and accurately recorded in a permanent form.

Records must be kept to: Ensure CFAB is accountable for its work Provide records to service users, past and present Fulfil statutory requirements Provide information to funders Enable a review of work to be undertaken Provide material for research purposes

1.2 All records are and remain the property of CFAB and the decision whether or not to release them belongs with CFAB.

1.3 Records cannot be destroyed upon request.

1.4 Records can only be accessed by: Administrators, social workers and managers of CFAB. Internal and external inspectors Those handling civil or criminal court proceedings on behalf of

CFAB. Service users and others, subject to the restriction in section 4 of

this document.

1.5 Disclosure of information will only occur with the consent of the referrer/applicant and/or a third party unless there are concerns that not to do so might put a child at risk of significant harm;

1.6 ISS conforms to the Data Protection Act 1998, stating that personal data can only be obtained, stored and used for certain defined purposes. ISS is exempt from notification to the Information Commissioner, under the Act, as it is a not for profit organisation.

1.7 All manual and computerised indexes and case records must be stored securely to minimise the risk from fire, water and other disasters and to ensure the confidentiality of information.

2 Content of Records

2.1 Records with Respect to Services

2.1.1 CaseworkThere should be a separate file for each case/family referred. If two unrelated individuals are referred together then separate files must be opened. Cross referencing with other files/names should be undertaken.

Files should contain: Front sheet: Client’s name, date of birth and contact in UK and

overseas, contact details of referrer, date opened, service requested, service provided, case number, date of invoice. In Post Adoption Cases this must also include the status of the applicant (adoptive child/adult of relationship to adopted child/adult)

The original duty sheet The referral – case summary and cover letter and, if appropriate

a description of needs (as assessed by an agency or local authority)

The invoice The professional contact sheet A running record of contacts and actions – to include copies of all

faxes, letters and emails, record of telephone calls, visits etc. All entries should be signed and dated

Minutes and notes of other relevant meetings Legal documents (to be kept in a plastic wallet at the back of the

file) Supervisors decisions must be recorded, and must be legible,

clear, signed and dated. Summary Report: in the case of longer records summaries of

significant events should be kept in order to allow easier examination of records. These should be signed and dated.

Closing Report: To state when and why the case was closed, what was achieved, and feedback on the correspondent (if appropriate)

Feedback Forms : Forms completed by the referrer (where appropriate) commenting on the service of ISS(UK)

All written entries must be legible, clear, non-stigmatising, signed and dated; and fact, opinion and third party information must be distinguished.

2.1.2 Adoption Case Records

As CFAB was formerly a Voluntary Adoption Agency it retains the adoption case records, which are stored securely and to which access is restricted.

In respect of the retained adoption case records, access to these and the indexes and/or disclosure of adoption information can only be authorised by the Principal Social Worker or the Chief Executive, to whom staff should refer all such requests.

Records and/or information in respect of retained adoption case records will only be made available within the agency for the purpose of its function as an Adoption Support Agency, and externally to an agency registered and functioning as an Adoption Support Agency, and for research purposes (see below). Before the case record and/or information is made available, a written agreement of confidentiality must be obtained from the applicant, internally and externally, unless the applicant is the adopted person or a birth relative.

2.1.3 Projects

Projects should be recorded according to a pre-agreed format. This should include contact details for all relevant parties, a running record of progress, all correspondence, review sheets, a summary report and a closing report.

2.2 Administrative Records

2.2.1 Personnel

All personnel, including volunteers (based in the office) must have a file which must be kept up to date. This should include (where appropriate):

- Their original application including CV. This must include full name, sex, date of birth, home address, relevant experience.

- Enquiries and References and their outcome- Qualifications including copies of certificates- Date of commencement and termination of employment by ISS

UK- Job Description and whether s/he works full or part time and the

number of hours.- A signed contract of employment- A copy of the appraisal documents- Documentation of any training undertaken- Relevant personal information – contact numbers, medication,

doctor- A copy of the social workers registration with GSCC- Copies of documents pertaining to disciplinary matters, - Record of any complaint or allegation about the individual

including details of the investigation, conclusion reached and action taken.

Criminal Records Certificates obtained for an initial post, and any subsequent disclosure information, is not kept on personnel files. It is kept separately and securely in lockable, non portable storage containers with access strictly controlled. (For further details see Staff Handbook, “Joining Our Organisation”, Section C)

2.2.2 Complaints

CFAB maintains a complete record of all complaints made and how they are dealt with including the outcome. These records are reviewed at least annually to check satisfactory operation of the complaints procedure, to identify any patterns of complaint and action taken on individual complaints (See complaints procedure for further details).

2.2.3 Allegations

CFAB maintains a complete record of any allegation made against a member of staff or volunteer, detailing the allegation, investigation, conclusion reached and any action taken

2.3 Management Records

All meetings of the Board of Trustees must be recorded, and agendas, minutes, papers presented and all correspondence permanently retained.

All other meetings will be recorded in a pre-agreed manner.

3 Security, Administration and Checking of Records

3.1 All written case records and other confidential material must be stored in lockable cabinets either in the general office or individual offices, for open files, and in the archives for closed files. The security of videos and audio-tapes is of equal importance

3.2 Adoption files must be stored in fire-proofed lockable cabinets.

3.3 Confidential information stored electronically (including discs) must be kept secure. Each computer must have a user pass-word for access. Data held on the hard drive should be backed up on disc.

3.4 The Principal Social Worker will make periodic checks, at least twice per year, to ensure the security arrangements for records are adequate and take any further measures that are needed.

3.5 Case files should only be taken off site with the permission of the Director: If required at a Case Review or Conference held off site If subject to a witness summons or court order If subject to special permission from the relevant authority In other exceptional circumstances at the discretion of the DirectorA record of any case files taken off site will be held at reception until the files are returned.

3.6 The Principal Social Worker is responsible for ensuring that the records policy is observed. Records will be sampled on a regular basis, read and signed and dated.

4 Access to Files

4.1 Service users must understand that CFAB will keep records and files of all referrals and enquiries.

4.2 Any consideration of a request for access to case records will take into account the Data Protection Act 1998, the Human Rights Act 1998 and the Freedom of Information Act 2000.

4.3 The safety and welfare of a child or young person will always be taken into consideration when making decisions on whether to share information about them. Where there is concern that the child may be suffering or is at risk of suffering significant harm, the child’s safety and welfare will be the overriding consideration.

4.4 Any request to release/disclose records containing third party or confidential information should be made in writing to the case holder who would consult with the Principal Social Worker.

4.5 Third party information should not normally be made known to others without the permission of the third party, who would be approached for approval with a copy of the original letter requesting release of records. If they do not consent to the sharing of confidential information, their wish should be respected unless there is a sufficient need to override that lack of consent.

4.6 In consultation with the Principal Social Worker a specialist advisor – legal/data protection may need to be consulted in some instances, before any information is released.

4.7 The decision must be recorded legibly and comprehensively on the file with the reasons for that decision, and this must be signed and dated.

4.8 Consideration may be given as to whether a summary of the contents of the third party or confidential records, rather than copies, can be released to a previous user in order to preserve the anonymity and confidentiality of the third party.

4.9 Where those who are adopted seek information about their birth family, from ISS records or through the ISS tracing service, service will be provided by, or supervised by, a qualified social worker.

4.10 Counselling is compulsory for all adopted adults who request access to files about themselves and who were adopted before November 1975. Voluntary counselling should be offered to all other adopted people before they see their records

4.11 CFAB employees may carry out research using case files subject to line management agreement. Access to records by all other researchers must be authorised by the Chief Exec/Director. Access is subject to a formal written agreement governing the conduct, method and execution of the research. Adoptive information must not be disclosed to researchers unless they have been authorised in writing by the Secretary of State under Regulation 15 (2b) of the Adoption Agencies Regulations 1983.

4.12 Every effort should be made to inform those who are the subjects of research and to obtain their consent before files are shared for research purposes. Where consent is impracticable the Chief Exec/Director may authorise the research without the consent of the subject.

4.13 Researchers must always provide the following assurances about their research: No individual will be identifiable from it All data generated will be kept securely Personal information will not be shared outside the research

team and will be destroyed when the research is complete.

4.14 Any other person or body, including the police, can only have access to CFAB records with the knowledge and written permission of the user to whom the document relates. If the document contains references to other users, access should only be to copies of documents, with the names of the other users blanked out.

Exceptionally the Chief Exec/Director can justify access to records without the knowledge and consent of the relevant users and without blanking out references to others.

Other access could also be granted under a court order or witness summons.

4.15 Volunteers are not allowed access to Case Files unless approved by the caseholder and with the consent of the person to whom it pertains.

4.16 Employees have access to their own files, by agreement with their line manager.

4.17 Records of Management Meetings will be circulated to Council Members and Employees of CFAB. Access by others is at the discretion of the Chief Exec/Director.

5. Transfer and Exchange of Information

5.1 The nature of CFAB work demands that information will be sent overseas. Whilst every attempt will be made to ensure that ISS units safeguard the confidentiality of information and processes it fairly, this cannot be guaranteed.

5.2 All service users must give signed consent for the transfer and processing of information overseas. Service users must highlight if there is information that cannot be shared with overseas agency/client and this must be respected by CFAB.

5.3 To minimise the risk, initial referrals from CFAB to ISS units overseas containing all identifiable information should be sent by mail or fax, an acknowledgement of receipt should be requested. Only where this is not possible should email be used.

5.4 Emails should only be used to follow-up cases, and identifying details should not be included.

5.5 CFAB cannot safeguard the confidentiality of information once it has left the UK.

6. Records Retention

6.1 It is essential that records are kept for the required length of time and are not destroyed or lost.

6.2 The Chief Exec/Director may advise on the length of time that specific case files will be retained but as a norm- General case files: 10 years- Child Protection case files: Until the youngest of the children

concerned reaches the age of 21, or 10 years after the file has been closed, whichever is the longest. The date will be identified by the supervising social worker, upon closure and written on the front of the file

- Adoption files : permanently kept

6.3 Closed case files will be transferred to the archives and stored to meet any statutory requirements.

6.4 Advisory Group and Management Committee records: All agendas, minutes, papers presented to the group and all correspondence must be permanently retained.

6.5 Personal files relating to volunteers based in the Office must be retained for a period of 5 years for the purposes of accountability.

6.6 Personal files relating to employees should be maintained for a period of at least 15 years from the date of the last entry.

6.7 Records of Complaints will be retained for at least 3 years from the date that the complaint was made.

6.7 All confidential papers must be destroyed by shredding. Confidential waste will be collected in a separate container and shredded daily.

All staff must sign an understanding and commitment to this policy

Signed……………………..

Date……………………….

CFAB01/06/06