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49. Low Level Concerns Policy

Introduction

A low-level concern is any concern, doubt, or worry that a member of staff or volunteer may have acted in a way that conflicts with the standards and values of the Company. It includes any behaviour which does not meet the expectations set out in the Company’s Code of Conduct.

49.1       A positive culture where concerns can be identified and spoken about openly is a vital component of a strong safeguarding system. All adults who have contact with children at the Company’s nurseries must behave appropriately and behaviour which is not consistent with the standards and values of the Company, and which does not meet the expectations set out in our staff Code of Conduct, needs to be addressed. Such behaviour can exist on a wide spectrum – from the inadvertent or thoughtless, through to that which is ultimately intended to enable abuse. It is crucial that all concerns about adults, including allegations that do not meet the harm threshold (low level concerns), are shared responsibly and with the right person, and recorded and dealt with appropriately.

Legislation

49.2       This policy is in line with Keeping Children Safe in Education (KCSIE) 2022. This is guidance for schools, but early years and childcare settings must have regard for it.

Aims

49.3       The aims of the policy are:

  • To create a positive and transparent culture where concerns can be discussed openly and where staff are able to share any concerns, no matter how small, about their own or others’ behaviour.
  • To ensure all staff are aware of their professional boundaries and behave appropriately, in line with the Company’s policies, procedures, Code of Conduct, values and ethos.
  • To enable the early identification and prompt and appropriate management of concerns about staff.
  • To minimise the risk of abuse.
  • To protect staff from false allegations and misunderstandings.

49.4       In order to meet these aims, we will ensure that staff are clear about what appropriate behaviour is and are confident in distinguishing expected and appropriate behaviour from concerning, problematic or inappropriate behaviour, both in themselves and in others. We will do this through having regular discussions of behaviour at staff meetings and support and supervision sessions.

Terminology – Allegations, Concerns and Harm Threshold

49.5       It is important to recognise that, in practice, the words ‘allegation’ and ‘concern’ can be and are used interchangeably by different people. Sometimes individuals may shy away from the word ‘allegation’ and express it as a ‘concern’ instead. The crucial point is that whatever the language used, the behaviour referred to may, on the one hand, be capable of meeting the harm threshold (and hence be referable), or, on the other, it does not meet the harm threshold (in which case it should be treated as a low-level concern). So, the focus should not be on the language used by the person disclosing it; the focus should, instead, be on the behaviour being described.

Allegations That May Meet the Harm Threshold – the Harm Test

49.6       The term ‘allegation’ means that it is alleged that a person who works with children has:

  • behaved in a way that has harmed a child, or may have harmed a child, or
  • possibly committed a criminal offence against or related to a child, or
  • behaved towards a child or children in a way that indicates they may pose a risk of harm to children, or
  • behaved or may have behaved in a way that indicates they may not be suitable to work with children.

49.7       Where an allegation meets this harm threshold, it should be dealt with in line with Section 7 of the Company’s Safeguarding Policy.

Allegations That Don’t Meet the Harm Threshold – Low-Level Concerns

49.8       Where an allegation doesn’t meet the harm threshold, it will be dealt with under this Low-Level Concerns Policy.

Procedure for Dealing with a Low-Level Concern

49.9     Concerns should be shared with the Designated Safeguarding Lead (DSL). This can be done verbally or by providing a written summary. If it is shared verbally, a written record of it will then need to be made (using the Low-Level Concerns Recording Form, see Appendix B and folder 1.3). The name and role of the person raising the concern should be stated, but if they want to remain anonymous, the Company will respect this as far as possible. However, there may be circumstances where anonymity cannot be promised.

49.10    The DSL will share the information with the Managing Director who will support the DSL in any further action.

49.11    If it is a low-level concern, the DSL or Deputy will investigate. This will include speaking to the person the concern has been raised about and may include reviewing CCTV and/or talking to any potential witnesses.

49.12    The information gathered from this will then be reviewed to decide whether the behaviour:

  • is entirely consistent with the Company’s Code of Conduct and the law.
  • constitutes a low-level concern.
  • is not serious enough to consider a referral to the LADO – but may merit consulting with and seeking advice from the LADO, and on a no names basis if necessary.
  • when considered with any other low-level concerns that have previously been raised about the same individual, could now meet the threshold of an allegation and should be referred to the LADO/other relevant external agencies; or
  • in and of itself meets the threshold of an allegation and should be referred to the LADO/other relevant external agencies.

49.13    Where there is any doubt whatsoever, we will seek advice from the LADO – on a no-names basis if necessary.

49.14    If the concern is not escalated to the LADO the Nursery Manager, with the support of the Managing Director, will take any steps to address the concern/behaviour and to support the person to correct it at an early stage. This will be done sensitively and discreetly and might simply require having a conversation.

49.15    In some circumstances, we may manage the concern under the Disciplinary Policy or Poor Performance Policy.

49.16    The Nursery Manager or Managing Director will give appropriate feedback to the person who raised the concern.

49.17    If the behaviour is determined to be in line with the Company’s Code of Conduct and the law, the Nursery Manager or Managing Director will provide feedback to the person the concern was raised about as to how and why this is.

49.18    If the concern is about an agency member of staff or contractor, the Nursery Manager will also notify their employer so that any potential patterns of inappropriate behaviour can be identified.

49.19    Records will be reviewed regularly so that potential patterns of concerning, problematic or inappropriate behaviour can be identified.  For on-going issues, a clear chronology will be kept using the Staff Chronology LLC document in folder 9.1.

49.20    If the review identifies that there are wider cultural issues within the nursery that enabled the behaviour to occur, the Manager and Managing Director will review any relevant policies and procedures and may organise extra CPD.

49.21    If a concerning pattern of behaviour is identified and escalates to meet the harm threshold, then the matter will be referred to the LADO.

Self-Reporting

49.22    Staff should feel encouraged and confident to self-report anything that could be perceived as a low-level concern about themselves. Any member of staff can self-report to the DSL or Nursery Manager at any time, if:

  • They find themselves in a situation which could be misinterpreted or might appear compromising to others.
  • They may have behaved in a manner which, on reflection, they consider falls below the standard set out in the Code of Conduct or BCC policies.

49.23    Self-reporting in these circumstances can be positive for a number of reasons: it is self-protective, in that it enables a potentially difficult issue to be addressed at the earliest opportunity; it demonstrates awareness of the expected behavioural standards and self-awareness as to the individual’s own actions or how they could be perceived; and, crucially, it is an important means of maintaining a culture where everyone aspires to the highest standards of conduct and behaviour.

Supporting Staff

49.24    The Company recognises its specific duty to ensure the health, safety and welfare of all staff.  With this in mind, the Nursery Manager, DSL and Managing Director (whoever is involved in dealing with the concern) will be mindful of their duty of care to those involved. All concerns will be dealt with sensitively and discreetly and on a need-to-know basis. Appropriate support will be given to those involved, depending on the nature of the concern.

Concerns Raised by Parents or Carers

49.25    The Company recognises and understands the difference between a cause for concern, a complaint and a staff allegation. When a concern about a member of staff is raised by a parent or carer, this does not automatically mean it meets the threshold for an allegation, even if the parent or carer raises it as a safeguarding concern. When a concern is raised, the Nursery Manager and/or DSL, with the Managing Director, will decide which level it is at and will speak with the parent or carer about the rationale behind this.

Record Keeping

49.26    A written record of all low-level concerns will be made, using the setting’s Low-Level Concerns Recording Form, see Appendix B.

49.27    The Company will retain all records of low-level concerns (including those which are subsequently deemed to relate to behaviour which is entirely consistent with the Code of Conduct) in a Low-Level Concerns file at Head Office.

49.28    Where multiple low-level concerns have been shared regarding the same individual, these will be kept in chronological order as a running record and with a chronology (folder 9.1) alongside.

49.29    Records will be kept confidential and held securely and will only be accessed by those who need to access them. In most cases this will be the DSL, Nursery Manager and Managing Director.

49.30    The rationale for storing such records on a central file, rather than in staff members’ personnel files, is that (a) it makes it easier to address possible issues (particularly around clarity of Code of Conduct) and review the file and spot any potential patterns of concerning, problematic or inappropriate behaviour; and (b) it reassures staff and encourages them to share low-level concerns.

49.31    Where an issue also triggers the Disciplinary, Grievance or Whistleblowing Procedures that require records to be made and retained on a staff member’s personnel file, this will be done in the normal way, in addition to the records of the low-level concern(s) being retained in a central low-level concerns file.

49.32    The Managing Director will review the Low-Level Concerns file periodically to ensure that all such concerns are being dealt with promptly and appropriately, and that any potential patterns of concerning, problematic or inappropriate behaviour are identified. A record of these reviews will be made.

49.33    There is no specific retention period for a low-level concerns record. The Company will therefore keep the record until further guidance states otherwise. When a member of staff leaves, any low-level concerns recorded about them will be archived with all their paperwork.

References

49.34    The Company follows the guidance in KCSIE on providing references, which prohibits unsubstantiated, false or malicious allegations being referred to in a reference. KCSIE states that:

  • Where a low-level concern (or group of concerns) has met the threshold for referral to the LADO and found to be substantiated, it should be referred to in a reference.
  • Low-level concerns (or a group of concerns) which have not met the threshold for referral to the LADO which relate only to safeguarding should not be included in references unless they relate to issues which would normally be included in a reference, for example, misconduct, disciplinary action or poor performance.

Appendix A – Level of Risk Table

Appendix B – Low Level Concerns Reporting Form