1.8.9 File Structure Guidance

The Paper File Structure
The File Structure - Looked After Children Files
The File Structure - The Legal File
The File Structure - The Fostering and Adoption Services

1. The Paper File Structure

Case File Front Sheet

This should be placed at the front of the file and updated when circumstances change
All sections must be filled in.
If a service user presents a risk due to the potential of violence, this must be recorded on the front sheet and highlighted. The warning sticker must be placed on the front of the file.
Violent incident sheets should be filed in and placed in front of the case file front sheet and the front of the file should be marked.
Where there is a need for an address to remain confidential e.g. a foster home address or the address of one of the family members needs be kept confidential due to threats of violence, this must be clearly marked on the front sheet. It should also be recorded in red on a white sticker and attached to the front of the file.

Chronology of Significant Events

The following information must be inserted onto this sheet. It should be read as a brief chronology of the Division's involvement with the family:

Date of allocation
Date initial and core assessment started and finished
Any child protection incidents
Date S47 investigations started and finished
All decisions taken outside of supervision which are not recorded on manager's action sheets
Dates of all child protection case conferences and core group and strategy meetings
Any change of circumstances, e.g. change of address, school or social worker
Any decision that has been made in Court, e.g. EPO, Care Order etc.
When a child/young person is accommodated or becomes looked after
Date a case is transferred to another team and the name of the new worker, if known
Dates of placement agreement meetings for LAC, planning meetings, Permanency Planning meetings, dates of the adoption/long term fostering agreements.

Referrals, Contacts, Transfers or Closing Section

This section should contain:

All referral forms. All referrals from other agencies, for example notifications from police, health, education
3 monthly summaries.
All transfer summaries
All closing summaries.
6 weekly family centre summaries.

All summaries should be printed on blue paper.

When cases are transferring between teams it is not necessary to replicate information on the transfer summary that can be found in the initial, core assessments, children in need plans or is included in child protection reports and plans. Instead a transfer summary should draw attention to the existence of these documents as well as listing the people involved with the family and the work completed so far and the work that remains to be done.

In the Referral and Assessment teams, when case is transferred following an initial assessment, a child in need plan will need to be completed. If this is not done, then a transfer summary will be required and this will be filed in this section.

Case Recording Section

This includes all records of contact with the family that is not recorded on any other format as outlined in this policy.
This record should serve as a brief summary of all contacts and activity and as an index to guide the reader to information held elsewhere on the file. These should be on yellow paper when the case is held on duty and on white paper when the case is allocated

Assessments, Child in Need Plans and Review Section

All initial and core assessments
Initial assessments should be printed on yellow paper
All other assessments that are not health, education or assessments commissioned during Court Proceedings, which must be filed as detailed below.
BAAF assessments
All children in need plans and children in need reviews completed under the assessment framework procedures. These should be printed on white paper.

Child Protection Section

Initial Child Protection Case Conference Reports
All Review Child Protection Case Conference Reports
All Case conference minutes
Child Protection plan
Minutes of all strategy meetings
Minutes of Core Group meetings
Child Protection administration.

Health/Medical Section

All medicals and health visitors' reports except the looked after children medical which will be filed on the LAC file.
All health related assessments from health professionals. This includes assessments from CAMHS. Any assessments completed during Care proceedings should be field in the legal section of the file.

Education Section

All school reports, except for looked after children
Education Statements.

Correspondence Section

All correspondence, except legal correspondence and that which is attached to a report, which should be filed in the relevant section. For example a covering letter with a health report would be filed in the health section.
Faxes
E mails
Notifications and request letter for medical

Finance and Administration

Finance summary sheet
Delegated powers
Finance Forms and Receipts
Copy of Orders
Change of circumstances forms
Placement Panel paperwork
Spreadsheet forms

Legal Section

Legal advice given by and discussions with the Legal Department, except in care proceedings
Birth certificates except for looked after children, which will be stored with the LAC file.
Copies of Section 37 or 7 Report

Privileged Information Section

This relates to any communication between solicitor and client i.e. Legal Services and social services staff. This covers records of telephone calls, memos and letters, minutes of legal planning meetings etc. These should not be made available to Children's Guardians or the Ombudsman.
A record that a complaint has been made by a service user and that fact that it is stored in a separate complaints file that is held by the Group Manager.

2. The File Structure - Looked After Children Files

At the commencement of care proceedings and a child/young person becomes looked after or at the point that a child becomes looked after a separate file (coloured: cerise) should be started and this will contain the following sections:

Section A

Front sheet
Genogram
Birth Certificate
Legal Documents, including Care Orders
Photographs

Section B

Placement paperwork
Placement Agreements
Placement visits
Care Plan

Section C

Education Reports, including the PEP
Medical Reports
Other Reports
Pathway Plans

Section D

Review Forms
Consultation Forms

Section E

Assessment and Action Records

3. The File Structure - The Legal File

A legal file should be started when the Department initiates any legal proceedings in respect of a child or is involved in legal proceedings other than Section 7 and 37 - for example, contact applications, revocation of care orders. The file should be chronological and include:

All Court Statements
Copies of all orders made by the Court. The final Care order should be filed with the LAC file
Legal advice given by and discussions with the Legal Department.
All correspondence with the Legal Department.

N.B. When a child is placed for adoption, the file must be kept secure and separately from all the other LAC files.

4. The File Structure - The Fostering and Adoption Services

4.1 Adopter Files

Inside Front Cover (in plastic wallet)

Photographs of the Adopters, their family and home

Facing Inside Front Cover (on top of Section One)

Initial referral information from CHARMS (record card) on Adopter(s); plus most recent CHARMS (record card) print out to be placed on top when key information changes
Contact addresses

Section One:

This section should include the following essential information:

Contact Sheet
Originals of initial adoption assessment and any updating assessments or reviews
Adoption Register Form(s)
Chart of Compliments, Concerns, Complaints and Allegations
List of all placements
List of children adopter(s) interested in or put forward by adoption team, consortium or NAR
List of all Training Courses attended
Supervision record

Section Two:

This section should contain all Detail Record Sheets (most recent at front)

Section Three:

This section should contain the following:

Correspondence
Reports (including Matching Meeting and Schedule II)
Copies of Minutes of Panel and other meetings relating to the Adopter(s)
Copies of decisions of Panel relating to the Adopter(s)
Post adoption contact contracts

Section Four: