Service Level Agreement between Leicestershire Youth Offending Service & Leicester City Youth Offending Service and Leicester College

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Page 1 of 29

Service Level Agreement between Leicestershire Youth Offending

Service & Leicester City Youth Offending Service and Leicester College

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Index

Page

1.

Policy Statements and Purpose of this Service Level Agreement

3

2.

Legal Basis for Information Sharing

3

3.

Principles

3

3.1

Named Contacts

3

4.

Data

4

4.1

What data is it necessary to share?

4

4.2

How long is data retained?

4

4.2a

Type and content of data that is shared

5-7

4.3-4.5 Information can be shared in the following circumstances

8

5.

Self-referrals

8

5.1

Referrals by partnership agencies

8

6.

Responsibilities of LCYOS and LYOS

8-9

6.1

Responsibilities of Leicester College

9

6.2

Responsibilities of staff attending Risk Assessments

9

6.3

How will you keep a record of what information has been shared?

10

6.4

How is this information going to be shared?

10

6.5

Who will have access to this data and what may they use it for

10

6.6

Timescales

10

6.7

How secure is the data 10- 11

6.8

Further Use of Information

11

7.

Breach of confidentiality

11

8.

Indemnity

12

9.

Individuals who cannot be covered by the Indemnity

12

10.

Review of Service Level Agreements

12

11.

Closure/termination of the SLA

12

12.

Requests for Disclosure of Information received under this SLA

12- 13

13.

Appropriate Signatories

13

14.

Terminology

13

15.

Appropriate Signatories

14

Appendix A: Definitions of Risk

15

Appendix B: Legislation

16-20

Appendix C: Declaration of Previous Convictions Form 21

Appendix D: Agency Risk Reference

22-24

Appendix E: Learner Risk Assessment Information (Leicester College)

25-26

Appendix F: Learner Interview Information 27-28

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Page 3 of 29

1. Policy Statements and Purpose of this Service Level Agreement

The above organisations, Leicester City Youth Offending Service (LCYOS) and Leicestershire Youth Offending Service (LYOS) have agreed to working to the terms of this protocol for information sharing to assist joint working in the area of Employment, Training and Education.

Information is shared to:

 Assist in reducing the likelihood of re-offending by young people

 Ensure young people are successfully integrated in to mainstream provision  Ensure young people receive the level of support most appropriate to their needs;  Assist young people moving to education or employment on transition from custody to

the community

 Identify and provide support to young people who are not in education, training and employment (NEET);

 Protect those that might be at risk of harm to themselves or others  Minimise the risk of harm to the Community and Leicester College 2. Legal Basis for Information Sharing

This SLA has been developed to achieve the objectives as set out in Section 1. It is the intention that all aspects of information sharing relating to this Agreement shall comply with relevant legislation that protects personal data. The relevant legislation is outlined in the attached Legislation Appendix B, Page 16-20.

3. Principles

 The responsibilities of the individual partners will be respected

 Both partners share an aim of working towards social inclusion and equality  Public Protection and safety will be paramount

 Health and Safety principles will be adhered to

 Information held will include only what is necessary for the management of the scheme  In all cases partners will comply with Data Protection legislation and the law regarding

confidentiality

 Cases will be looked at by a case by case basis

 Young people will be informed by the partner’s how their data is used/stored/shared and retained.

 Each partner will provide a named contact which is the key contact for all matters relating to the SLA, and as part of the Risk Assessment procedure.

3.1 Named contacts Leicester College:

Sophie Strevens-Robinson, (Risk Assessment Manager) sophie.robinson@leicester.college.cjsm.net

(0116 224 2225)

Leicester Youth Offending Service: Andrew Betts, (14-19 Co-ordinator)

andrew.betts@leicester.gcsx.gov.uk.cjsm.net (0116) 454 4600)

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Leicestershire Youth Offending Service: Navdeep Cozens-Patel (Manager)

Navdeep.Cozens-Patel@leics.gov.uk (01455 636068)

4. Data

4.1 What data is it necessary to share?

The information shared should be proportionate and should be the minimum amount needed to achieve the purpose identified in Section 1. The following information is likely to be shared:

 Educational needs of individual offenders  Integrated Intervention Plan (IIP)

 Risk of Serious Harm (ROSH)

 Vulnerability Management Plan (VMP)

 Information concerning the assessment and management of risks presented by individual offenders

 Known pending matters, including pending court proceedings

 Documents covered under Leicester College’s Risk Assessment Policy: o Declaration of Previous Convictions Form

o Risk Reference o Secure emails

 Any other information about the offender relevant to the management of the scheme. This will include case discussions between partners to ensure the objectives of the scheme are being met

 Information for tracking purposes re: progress, attendance, and retention  Information on whether individuals have been suspended or expelled

 The partner’s may also agree to use information to apply for funding to support the scheme. Aggregated data from the scheme will be used to monitor the progress of the scheme.

The type of information that will be shared is detailed in the following table 4.2a including Leicester College Declaration of Previous Convictions form and Risk Reference (attached Appendices’ C and D):

4.2. How long is data retained?

Leicester College retains information as part of its Risk Assessment Policy for 10 years. Partners will process all information in accordance with the Rehabilitation of Offenders Act, and Data Protection, also refer to Appendix B: Legislation. LCYOS/ LYOS as per their individual retention schedules.

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Page 5 of 29 4.2a Type and content of data that is shared.

Data Set Who from Who to Why Which

Organisation owns the information Frequency of Sharing How will information be shared

How long will data be held for

Name LYOS

LCYOS

Training Provider

Identification LYOS LCYOS

On referral Referral forms sent , hand delivered or encrypted email/ secure email

Leicester College 10 years retention

D.O.B LYOS

LCYOS

Training Provider

Identification LYOS LCYOS

On referral Referral forms sent , hand delivered or encrypted email/ secure email

Leicester College 10 years retention

Young Person’s Address & Postcode – will include whether LAC

LYOS LCYOS

Training Provider

Identification LYOS LCYOS

On referral or if young person’s address changes

Referral forms sent , hand delivered or encrypted email/ secure email

Leicester College 10 years retention

Contact Number LYOS LCYOS

Training Provider

Identification LYOS LCYOS

On referral or if young person’s contact number changes

Referral forms sent , hand delivered or encrypted email/ secure email

Leicester College 10 years retention

Gender LYOS

LCYOS

Training Provider

Identification LYOS LCYOS

On referral Referral forms sent , hand delivered or encrypted email/ secure email

Leicester College 10 years retention

Offending History, including known pending matters and court proceedings.

LYOS LCYOS

Training Provider

Protection of public and self, emotional and support needs

LYOS LCYOS

Leicester College

On referral or if young person re-offends whilst working with the training provider

Attached onto referral form, face to face meetings, encrypted

email/secure email

Leicester College 10 years retention

Offence details; Declaration of Previous Convictions.

LYOS LCYOS Training Provider Training Provider LYOS, LCYOS

Protection of public and self

LYOS LCYOS

On referral or if young person re-offends whilst working with the training provider

Attached onto referral form, face to face meetings, encrypted

email/secure email

Leicester College 10 years retention

EBD/Disabilities/ Mental Health/ Substance use

LYOS LCYOS Training Provider Training Provider LYOS, LCYOS

Protection of public and self, emotional and support needs

LYOS LCYOS

On referral or if known at a later point whilst under supervision

Attached onto referral form, face to face meetings, encrypted

email/secure email

Leicester College 10 years retention, LYOS, LCYOS as per retention schedule

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Data Set Who from Who to Why Which Organisation owns the information Frequency of Sharing How will information be shared

How long will data be held for

Learning progress reports Training Provider

LYOS LCYOS

To keep educational records up to date

Training Provider Throughout the work with the young person

Face to face, by telephone, or provided via secure email

LYOS, LCYOS as per retention schedule

Attendance records Training Provider

LYOS LCYOS

To keep educational records up to date and to ensure the young person is attending

Training Provider Throughout the work with the young person

Face to face, telephone or encrypted document/secure email

LYOS, LCYOS as per retention schedule

*Qualifications gained if known.

*Leicester College will not readily have this information available.

Training Provider

LYOS LCYOS

To keep educational records up to date

Training Provider At the end of the work with the training provider

Face to face, telephone or encrypted document/secure email

LYOS, LCYOS as per retention schedule

Information about risk to self and others

LYOS LCYOS

Training Provider

Protection of public and self, emotional and support needs

Training Provider , LCYOS & LYOS

As required Telephone or face to face/secure email

Leicester College 10 years retention, LYOS, LCYOS as per retention schedule Training Provider LYOS LCYOS

Language LYOS

LCYOS

Training Provider

To ensure appropriate provision is in place

Training Provider , LCYOS & LYOS

On referral Referral form Leicester College 10 years retention Educational and employment

needs

LYOS LCYOS

Training Provider

To provide historical education information and current up to date education provision

Training Provider , LCYOS & LYOS

As required Face to face, telephone or secure email

Leicester College 10 years retention, LYOS, LCYOS as per retention schedule Training

Provider

LYOS

Information from the LYOS Asset Assessment (specific information determined by the referral)

LYOS LCYOS

Training Provider

Protection of public and self

Training Provider , LCYOS & LYOS

On referral if required

Meetings one to one contact

Leicester College 10 years retention

Supervision details, engagement, attendance/ breaches, revocation for good progress, referrals to other departments/ agencies.

LYOS LCYOS

Training Provider

To provide historical supervision information and current up to date supervision provision.

Training Provider , LCYOS & LYOS

On referral or if young person’s circumstance changes

Attached onto referral form, face to face meetings, encrypted

email/secure email

Leicester College 10 years retention, LYOS, LCYOS as per retention schedule

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Data Set Who from Who to Why Which

Organisation owns the information Frequency of Sharing How will information be shared

How long will data be held for

Family Situation

(E.g. who they live with, any access restrictions etc.) LAC

LYOS LCYOS

Training Provider

Protection of public and self

Training Provider , LCYOS & LYOS

On referral or if young person’s circumstance changes

Meetings with training provider, telephone or referral form

Leicester College 10 years retention, LYOS, LCYOS as per retention schedule Training Provider LYOS LCYOS Names of workers managing

the cases. Other agencies involved in the

support/management of the young person

LYOS LCYOS

Training Provider

Ensure training provider has a worker to contact and report to

Training Provider , LCYOS & LYOS

On referral and if worker changes

Referral form, meetings, one to one contact, telephone

Leicester College 10 years retention

Training Provider

LYOS LCYOS

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4.3. Information can be shared in the following circumstances:  referrals by YOS staff

 referrals by Leicester College Risk Assessment Team  matters relating to safeguarding raised by either partners  self-referrals

 referrals from/ to partnership agencies

4.4. For each young person a Leicester College Declaration of Previous Convictions form (Appendix C) must be completed and signed by the prospective learner or referrer. A Leicester College Risk Reference (Appendix D), and any accompanying support / risk information also refer to 4.1; will be provided by the referring agency prior to a Risk Assessment.

4.5. The named contact in Leicester College will ensure that a decision is made within one month (there may be instances where this is longer but a member of the College’s Risk Assessment Team will liaise with YOS) of receiving the referral, and communicate this to YOS. When ‘Conditions’ are attached to a young person’s place at the College, YOS will be copied in to this correspondence, and will subsequently be informed of any compliance issues.

5. Self-referrals

If Leicester College staff discovers that a young person is known to YOS, they will contact the supervising officer under section 4.2a of the Protocol to start the process of obtaining risk information. The College will write to the learner to complete a Declaration of Previous Convictions form, if this has not yet been supplied by YOS. A learner may already be on a course, an expected response from YOS would be within 5 working days.

5.1 Referrals by partnership agencies

Referrals will be processed in line with this protocol. If the young person is currently open to YOS, It may be necessary to contact YOS first.

6. Responsibilities of YOS and LCYOS

Refer to Appendix A: Definitions of Risk

 To flag applications, and that have been assessed as, or are presenting as ‘high risk of serious of harm’ high risk of vulnerability, and those with a ‘high risk of re-offending’ ), and including those that have non-associations with other learners at Leicester College:

Leicester College actively promotes equality of opportunity for all and welcomes applications from a wide range of learners. Leicester College has a legal responsibility known as ‘Duty of Care’ as part of our safeguarding responsibilities to provide all learners, with special consideration to our vulnerable and young learners with a safe and positive environment. Leicester College is not a specialist educational provider therefore, does not have the required premises, curriculum, security or specialist staff to facilitate and support those that either present as, or are assessed as a ‘high risk of serious harm’ either to themselves or to others.

 To submit comprehensive referrals, including the ROSH/VMP/IIP including all supporting information on known behavioural issues, substance misuse, mental health, previous known schooling – see bullet 4

 To ensure that any known risk that could put the safety of learners and staff at risk is disclosed at the earliest opportunity to the authorised contact

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 To ensure that any LYOS or LCYOS staff attending a Risk Assessment with a young person, support that young person at the Interview, disclosing to the College’s named contact:

 all known information pertaining to the young person’s background;  harm related behaviour

 mental health  schooling  family

 child protection matters  peers

 substance misuse

 health/medication that could affect the young person at college  risk/ risk of harm

 level of engagement including additional voluntary work  breaches

 intelligence and any concerns or concerns or incidents of misconduct  YOS staff are also responsible for disclosing pending matters and court dates.  To respond to enquiries within 5 working days

 To respond to urgent enquiries within 24hrs (safeguarding/ undisclosed conviction/s)  To offer ongoing support to the institution while the young person is subject to supervision  To keep confidential information received from Leicester College on a ‘need to know’

 Liaise only with the Risk Assessment Team (R.A.T), and refer any queries from Leicester College back to the R.A.T

 Requests for attendance and progression must come through the R.A.T 6.1 Responsibilities of Leicester College

 To provide a named contact (Sophie Strevens-Robinson) for referrals  To review each case on a case by case basis

 Will provide the key contact with dates and times of Risk Assessment Interviews, attendance, and outcomes

 To keep information received on a ‘need to know’ as part of risk management or support  To respond to referrals within 5 working days

 To respond to urgent enquiries within 24hrs (safeguarding)

 To keep information securely and on a need to know (covered by the Risk Assessment Policy)  To provide attendance and progression details to YOS when formally requested in writing  To provide details on suspensions and exclusions of YOS clients

 To provide details on any Risk Assessment ‘Conditions’, or restrictions that have been attached to a young person’s place at College

 To provide details of those that are referred for support. i.e. cc on letters (named contact Andrew Betts)

6.2 Responsibilities of staff attending Risk Assessments

Risk Assessments are structured to encourage open conversations around a young person attending the College who have convictions and support needs. The Assessment is informal and relaxed; aiming to ensure that a young person feels comfortable, and is aware why they are there. In addition to reviewing the offending, also included is support that the College can offer. Following an Assessment, the young person can be referred on to one of the support teams, or for a disability ssessment.

Prior to a young person attending a Risk Assessment, they receive two pieces of key information from us. Appendix E – Information to Learners is sent to every learner going through the process. Learners attending a Risk Assessment are sent an additional Information sheet Appendix F What to Expect at the Risk Assessment.

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YOS staff attending a Risk Assessment with a young person are required to provide full disclosure on the young person prior to the Risk Assessment (Refer to Point 6, Responsibilities of LYOS/LCYOS). If this information is not provided, the Risk Assessment can be postponed until it has been received. Staff accompanying a young person are responsible for encouraging participation in the Risk Assessment; the young person should understand why they need a Risk Assessment.

6.3 How will you keep a record of what information has been shared?

LYOS and LCYOS will keep copies of referral forms and any additional information that is supplied to the provider, or submitted from the provider. Information will be processed and stored in accordance with Data Protection and confidentiality requirements as detailed in this SLA. Information on what is being shared, and with who will be recorded on the YOS Care works database.

Leicester College as per College retention requirementswill keep all information for 10 years. Each learner has a confidential file; all learners will have a record on a confidential secure Risk Assessment database; files will be kept in a non-portable and locked cabinet with restricted access. All learners disclosing, or previously known to the RAT are tracked on the main learner College database (EBS), by the RAT using secure codes. After 10 years, files are destroyed; records are removed from the database and EBS.

6.4 How is this information going to be shared?

The information will be shared on a strict basis to named contacts at meetings with providers, face to face contact with the young people and parent/carers, and also via secure email and encrypted document with a password. There may be occasions where risk management of a young person in college requires certain information to be shared with support, tutors, and security; this is covered under the current Risk Assessment Policy. See also table 4.2a for more information.

6.5 Who will have access to this data and what may they use it for?

The Risk Assessment Team at the training provider, and LCYOS / LYOS for the purposes outlined in Section 1. Refer to Leicester College Policy and Procedure Student Risk Assessment for more details.

6.6 Timescales

All information is shared on an ongoing basis by request to meet the needs outlined in Section 1

6.7 How secure is the data?

Each partner signing this SLA agrees to adhere to the agreed standards of security below:

 Partners will be responsible for ensuring that the information will be used only for the purposes described in the SLA

 Partners shall ensure that they comply with all legislation as detailed in the attached Legislation Appendix, which includes: Data Protection legislation and the Human Rights Act, and the Common Law Duty of Confidentiality.

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 Partners will be able to hold their own databases, files and systems and records for the scheme. The databases, files, systems and records should comply with Data Protection legislation and all items under Appendix B, should be covered under a working Policy, should comply with retention policies

 Young people at the training provider will receive written information on how their information is handled, shared, stored and retained. See also Appendices E and F

 Partners recognize that any breach of confidentiality will seriously undermine the aims of the scheme, as well as render partners liable for breach of the law.

 Partners will ensure that all computer systems that contain personal data be password-protected. The level of security should depend on the type of data held, but ensure that only those who need to use the data have access.

 Partners will ensure that procedures and processes relating to this process are covered under a current Policy

 Partners will not disclose personal data to anyone other than the Data Subject unless they have the Data Subject’s consent, or it is a registered disclosure, required by law, or permitted by a Data Protection Act 1998 exemption.

 If there is a security breach in which information received by either partner under this SLA is compromised, then the other partner should be notified at the earliest opportunity via the post holder identified in Section 7.

6.8 Further Use of Information

The partners will only use the information for purposes defined in the SLA. For any further use not defined in this SLA, all parties must agree, in which case the details will be documented as a dated addendum to this SLA.

7. Breach of confidentiality

An individual’s right to confidentiality is a fundamental principle of this SLA. Staff should only

have access to Risk Assessment information on a justifiable and proportionate basis, in order for them to perform their duties, in connection with the delivery of service by the training provider. This is weighed against known risk, and public protection which is paramount to the success of the Scheme.

 Every member of staff is under an obligation to protect confidentiality. All staff should be trained and fully aware of their responsibilities for the security and confidentiality of person identifiable information and they should follow the procedures and standards that have been agreed and incorporated within this SLA.

 Training Providers will ensure that young people will be informed in writing how their data is used, stored, and retained.

 All parties to this SLA are responsible for ensuring that their organisation and security measures protect the lawful use of information shared under this SLA. Any disclosure of information by an employee which is done in bad faith or for motives of personal gain will be treated as a serious matter and will be subject to formal investigation. All parties will make it a condition of employment that employees will abide by their rules and policies in relation to the protection and use of confidential information. This condition should be written into employment contracts and any failure by an individual to follow the policy should be dealt with in accordance with that organisation’s disciplinary procedures.

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 Any misuse, suspected or otherwise, of information MUST be reported to all parties signed up to this Agreement as soon as is practicable.

 Each organisation will be accountable for any misuse of information by their employee.  Major breaches may result in the SLA being temporarily suspended or withdrawn completely.

 All parties are reminded to abide by the principles of the Data Protection Act 1998 and the offences laid down at sections 55 and 61 of the Act.

 In the event of a breach the partner should be immediately notified. Complaints and alleged breach of this SLA should be dealt with by utilising any established organisational policies and procedures for breaches and complaints made in relation to appropriate legislation in connection with the agreed information exchange and data processing.

8. Indemnity

Each organisation will keep each of the other organisation fully indemnified against any and all costs, expenses and claims arising out of any breach of this agreement and in particular, but without limitation, the unauthorised or unlawful access, loss, theft, use, destruction or disclosure by the offending organisation or its sub-contractors, employees, agents or any other person within the control of the offending organisation of any data obtained in connection with this SLA.

9. Individuals who cannot be covered by the Indemnity

The parties to this SLA understand that in keeping with Government initiatives to invite a wider spectrum of society to assist the relevant authorities to implement the Crime and Disorder Act 2000, it is likely that there will be individuals present at certain meetings who are not employed by an organisation and therefore are not in a position to sign this SLA due to the liability of the indemnity.

10. Review of Service Level Agreements

The Service Level Agreement will be reviewed annually to ensure that it remains fit for purpose. Signatories will be required to re-sign this SLA following each annual review.

11. Closure/termination of the SLA

Any partner organisation can suspend this SLA for 45 days if security has been seriously breached. This should be in writing and be evidenced.

Any suspension will be subject to a Risk Assessment and Resolution meeting, the panel of which will be made up of the signatories of this Agreement, or their nominated representative; this meeting to take place within 14 days of any suspension.

Termination of this Service Level Agreement should be in writing to all other Partner Organisations giving at least 30 days notice.

12. Requests for Disclosure of Information received under this SLA

All recorded information held by public sector agencies is subject to the provisions of the Freedom of Information Act 2000 and the Data Protection Act 1998. While there is no requirement to consult

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with third parties under FOIA, the parties to this SLA will consult the party from whom the information originated and will consider their views to inform the decision making process.

13. Appropriate Signatories

Each organisation should identify who is the most appropriate post holder within their agency to sign the SLA having taken account of their organisational policy and the fact that the signatory must have delegated responsibility to commit their organisation to the indemnity. It is the responsibility of the individuals identified below to ensure that copies of the SLA are made available as necessary to ensure adherence to the SLA.

14. Terminology

SLA Service Level Agreement

Partners Leicester College / Training Provider and LCYOS and YOS Scheme Risk Assessment process

Young Person Offender/ applicant/client

LAC Looked After Child, in care

LCYOS Leicester City Youth Offending Service LYOS Leicestershire Youth Offending Service

Risk Assessment Leicester College’s process for assessing learners who have ‘unspent’ convictions, or ‘spent’ and ‘unspent’ where DBS is required as part of the course. A Risk Assessment will also include support needs and referrals to support teams where required. Conditions of Entry to a learner place can be applied following a Risk Assessment. Learners are monitored and if the return are re-contacted and in some instances may need to be re-assessed.

Extensive liaison with Agencies are part of the process

Declaration Form Leicester College applicant formal declaration of convictions

Risk Reference Leicester College’s Agency reference form which is required for every active client of YOS applying to the College. See page 19.

Secure Email Provider and Agency are to use secure email when emailing information on a young person. YOS and Leicester College’s Risk Assessment Manager and Risk Assessment Administrator have secure email. Other staff in the College do not have access to secure email.

15. Appropriate Signatories

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Name: Sophie Strevens-Robinson Role: Risk Assessment Manager Signature:

Training Provider: Leicester College Date:

Name: Derrick Kabuubi

Role: Team Manager

Signature: Division:

For Service: Leicester City Youth Offending Service Date:

Name:

Role: Head of Service Signature:

Organisation: Leicestershire Youth Offending Service Date:

16: Key Contact Details

Name: Derrick Kabuubi Name: Sophie Strevens-Robinson

Role: Operational Manager Role: Risk Assessment Manager Service: Leicester City Youth Offending Service Service: Leicester College

Secure email address: derrick.Kabuubi@leicester.gcsx.gov.uk.cjsm.net sophie.robinson@leicester.college.cjsm.net

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Appendix A: Risk of Harm Definition. Taken from YOS Asset Risk

 The probability that an event or behaviour carrying the possibility of an adverse or negative outcome will occur.

Risk Concerns:

o How likely the event is o Its potential impact

 Risk estimates are based on information but are affected by circumstances, beliefs and feelings. Risk of Harm

 Harm is defined as behaviour(s) that could hurt another person or persons’. This can either be physical hurt or emotional hurt. Using the term Risk of Harm enables the necessary attention to be given to those offenders for whom lower impact/severity harmful behaviour is probable (HMIP July 2012 report on Leicester City YOS).

 Risk of Harm describes work to protect the public, primarily using restrictive interventions, to keep to a minimum the individuals opportunity to behave in a way that is a Risk of Harm to others. The impact of the harmful behaviour does not need to be significant but needs to be acknowledged as part of every Asset.

Risk of Serious Harm

 The risk of serious harm indicators and ROSH assessment is concerned with offences that are assessed as having a serious impact.

 The YJB define it as death or injury (either physical or psychological) which is life threatening and/or traumatic and from which recovery is expected to be difficult, incomplete or impossible.

Risk of Vulnerability

 The possibility that the young person might be harmed in some way, either because of their own behaviour or through the actions of others or omissions of others

Levels of Risk:

Low: No significant, current indicators of risk or harm

Medium: there are identifiableindicators of harm. The offender has the potential to cause harm but is unlikely to do so unless there is a change in circumstances, for example, failure to take medication, loss of accommodation, relationship breakdown, drug or alcohol misuse.

High: there are identifiable indicators of risk of harm. The potential event could happen at any time and the impact would be serious.

Very high: there is imminent risk of harm. The potential event us more likely than not to happen imminently and the impact would be serious.

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Appendix B: Legislation

THE DATA PROTECTION ACT 1998

Data Protection legislation governs the standards for the processing of personal data including the collection, use of and disclosure of such information. The legislation requires that data controllers meet certain obligations. It also gives individuals or ‘data subjects’ certain rights with regard to their own personal data. The main standard for processing personal data is compliance with the eight data protection principles summarised as follows:

i) All personal data will be obtained and processed fairly and lawfully. ii) Personal data will be held only for the purposes specified.

iii) Only personal data will be held which are adequate, relevant and not excessive in relation to the purpose for which the data are held.

iv) Steps will be taken to ensure that personal data are accurate and where necessary, kept up to date.

v) Personal data will be held for no longer than is necessary.

vi) Individuals will be allowed access to information held about them and, where appropriate, permitted to correct or erase it.

vii) Procedures will be implemented to put in place security measures to prevent unauthorised or accidental access to, alteration, disclosure, or loss and destruction of, information.

viii) Personal data shall not be transferred to countries outside the European Economic area except in limited circumstances

The most significant principle is the first principle which states that personal data shall be processed fairly and lawfully and shall not be processed unless at least one Schedule 2 condition and in the case of ‘sensitive personal data’, at least one Schedule 3 condition is also met.

The type of information being disclosed for the purposes of this sharing agreement will almost always be ‘sensitive personal data’ which means that at least one of both Schedule 2 and Schedule 3 conditions must be satisfied.

Even in the event that the prevention and detection of crime exemption (Section 29 Data Protection Act) is being relied upon, or other power such as S.115 Crime and Disorder Act, Schedules 2 and 3 conditions must still be satisfied.

Data Protection Act 1998 (Principle 1) Schedules 2 and 3. The most relevant schedules are:

 The processing is however likely to be necessary for compliance with any legal obligation (3), such as the Police Acts and the Local Government Act 2000.

 It is likely that the most relevant condition will be that the processing is necessary for the exercise of any other functions of a public nature exercised in the public interest by any person (5)(d).  The legitimate interests (6) condition may be appropriate but cases are likely to arise whereby a

service user could clearly challenge this, depending upon the circumstances.

The most relevant conditions in Schedule 3 are s3 and s7.

Section 3. The processing is necessary

(a) in order to protect the vital interests of the data subject, or another person, in a case where: (i) consent cannot be given by, or

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reasonably be expected to obtain the consent of the data subject, or

(b) in order to protect the vital interests of another person, in a case where consent by or on behalf of the data subject has been unreasonably withheld.

Section 7. (1) Processing is necessary: (a) for the administration of justice,

(b) for the exercise of any functions conferred on any person by or under an enactment.

Although the aforementioned conditions are likely to apply to any or all of the variable circumstances, it is likely that for the purposes of this sharing agreement one of the additional conditions specified in secondary legislation (Processing of Sensitive Data Order 2000) may also apply :

Data Protection (Processing of Sensitive Personal Data) Order 2000

The Order lists additional circumstances in which sensitive personal data may be processed. For example, it covers processing for the purposes of the prevention or detection of any unlawful act, where seeking the consent of the data subject would prejudice those purposes. It also covers processing required to discharge functions involving the provision of services such as confidential counselling and advice where the subject’s consent has not been obtained.

In each of the examples above processing would have to be “in the substantial public interest”. This could mean, for example, that processing is necessary to protect public safety or to protect vulnerable people.

THE HUMAN RIGHTS ACT 1998

The UK Human Rights Act 1998 gives further effect in domestic law to Articles of the European Convention on Human Rights (ECHR). The Act requires all domestic law be compatible with the Convention Articles and places a legal obligation on all public authorities to act in a manner compatible with the convention. Should a public authority fail to act in such a manner then legal action can be taken under Section 7 of the Act.

Article 8 of the Act states that:

“Everyone has the right to respect for his private and family life, his home and his correspondence and that there shall be no interference by a public authority with this right except as in accordance with the law”. As this sharing of information will be for the purposes of one of the following legitimate aims:  In the interests of national security.

 Public Safety.

 Economic wellbeing of the country.  The prevention of crime and disorder.  The protection of health or morals.

 The protection of the rights or freedoms of others. Freedom of Information Act 2000

Information held by or on behalf of a public authority may be disclosed to a party requesting it except where a statutory exemption applies. For example, personal data is normally exempt under the Act (but may be disclosable under DPA 1998); as is information provided under a duty of confidence.

COMMON LAW DUTY OF CONFIDENTIALITY

The duty of confidence falls within common law as opposed to statutory law and derives from cases considered by the courts. There are generally three categories of exception to the duty of confidence:

 Where there is a legal compulsion to disclose.  Where there is an overriding duty to the public.

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 Where the individual to whom the information relates consented.

Partners should consider which of these conditions are the most relevant ones for the purposes of this sharing agreement. The guidance from the Information Commissioner states that because such decisions to disclose ‘in the public interest’ involves the exercise of judgement it is important that they are taken at an appropriate level and that procedures are developed for taking those decisions. The partners to this agreement should document within this agreement how this duty will be maintained, e.g. need to know,

The Children Act 2004

Section 10 of the Act places a duty on each children’s services authority to make arrangements to promote co-operation between itself and relevant partner agencies to improve the well-being of children in their area in relation to:

 Physical and mental health, and emotional well-being;  Protection from harm and neglect;

 Education, training and recreation;  Making a positive contribution to society;  Social and economic well-being.

The relevant partners must cooperate with the local authority to make arrangement to improve children’s wellbeing. The relevant partners are:

 district councils;  the police;

 the Probation Service;

 youth offending teams (YOTs);

 strategic health authorities and primary care trusts;  Connexions;

 the Learning and Skills Council.

This statutory guidance for section 10 states that good information sharing is key to successful collaborative working and that arrangements under section 10 of the Act should ensure that information is shared for strategic planning purposes and to support effective service delivery. It also states that these arrangements should cover issues such as improving the understanding of the legal framework and developing better information sharing practice between and within organisations.

Section 11 of the Act places a duty on key people and bodies to make arrangements to ensure that their functions are discharged with regard to the need to safeguard and promote the welfare of children. The key people and bodies are:

 local authorities (including district councils);  the police;

 the Probation Service;

 bodies within the National Health Service (NHS);  Connexions;

 YOTs;

 governors/directors of prisons and young offender institutions;  directors of secure training centres; the British Transport Police.

The section 11 duty does not give agencies any new functions, nor does it override their existing functions, it simply requires them to: carry out their existing functions in a way that takes into account the need to safeguard and promote the welfare of children;

In order to safeguard and promote the welfare of children, arrangements should ensure that:

 all staff in contact with children understand what to do and the most effective ways of sharing information if they believe a child and family may require targeted or specialist services in order to achieve their optimal outcomes;

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 all staff in contact with children understand what to do and when to share information if they believe that a child may be in need, including those children suffering or at risk of significant harm

Crime and Disorder Act 1998

Section 17 applies to a local authority (as defined by the Local Government Act 1972);

a joint authority; a police authority; a national park authority; and the Broads Authority. As amended by the Greater London Authority Act 1999 it applies to the London Fire and

Emergency Planning Authority from July 2000 and to all fire and rescue authorities with effect from April 2003, by virtue of an amendment in the Police Reform Act 2002.

It recognises that these key authorities have responsibility for the provision of a wide and varied range of services to and within the community. In carrying out these functions, section 17 places a duty on them to do all they can to reasonably prevent crime and disorder in their area.

The purpose of this section is simple: the level of crime and its impact is influenced by the decisions and activities taken in the day to day business of local bodies and organSLAtions. Section 17 is aimed at giving the vital work of crime and disorder reduction a focus across a wide range of local services that influence and impact upon community safety and putting it at the heart of local decision making. Section 17 is a key consideration for these agencies in their work in crime and disorder reduction partnerships, drug action teams, YOTs, children’s trusts and local safeguarding children boards.

Section 37 sets out that the principal aim of the youth justice system is to prevent offending by children and young people and requires everyone carrying out youth justice functions to have regard to that aim.

Section 39(5) sets out the statutory membership of YOTs reflecting their responsibilities both as a criminal justice agency and a children’s service. The membership consists of the following: at least one probation officer;

 at least one police officer;

 at least one person nominated by a health authority;  at least one person with experience in education;

 at least one person with experience of social work in relation to children.

YOTs have a statutory duty to coordinate the provision of youth justice services including advising courts, supervising community interventions and sentences, and working with secure establishments in respect of young people serving custodial sentences and also in the latter category of a children’s service.

As YOTs are multi-agency teams, members will also need to be aware of the need to safeguard and promote the welfare of children that relates to their constituent agency.

Section 115 provides any person with a power but not an obligation to disclose information to responsible public bodies (e.g. police, local and health authorities) and with cooperating bodies (e.g. domestic violence support groups, victim support groups) participating in the formulation and implementation of the local crime and disorder strategy.

The police have an important and general common law power to share information to prevent, detect and reduce crime. However, some other public organisations that collect information may not have had the power previously to share it with the police and others.

Section 115 clearly sets out the power of any organisation to share information with the police authorities, local authority (including parish and community councils), Probation Service and health authority (or anyone acting on their behalf) for the purposes of the Act.

This ensures that information may be shared for a range of purposes covered by the Act, for example for the functions of the crime and disorder reduction partnerships and YOTs, the compilation of reports on parenting orders, anti-social behaviour orders, sex offender orders and drug testing orders.

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We have the appropriate Data Protection Registration notification with the Information Commissioner, which will be kept up to date and we will share data in accordance with the provisions of this.

Each partner organisation should be able to identify their lawful basis to share this information. This lawful basis may come from common law, statute or legal precedence, which may be supported by Home Office guidance, professional/executive bodies, e.g. Dept of Health, Association of Chief Police Officers, Dept of Education, etc. This will enable partners to defend a challenge with regard to the Data Protection Act 1998 and/or the Human Rights Act 1998.

It is also important to ensure that any partner/individual who receives information and holds and processes such information is able to identify a paragraph in Schedule 2 of the Data Protection Act 1998 to ensure that the processing is fair and lawful. If the information is sensitive information a paragraph in Schedule 3 will also need to be identified.

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Appendix D: Agency Risk Reference

LEICESTER COLLEGE

Student Risk Assessment – Agency Risk Reference Form

Full Name: Date of Birth:

The above person has either attended a Risk Assessment, or is scheduled to attend a Risk Assessment, and has given us consent to obtain this information. This information will be used as part of the Risk Assessment process, and to help support the learner in their studies, if they are cleared to attend. Offending History and Risk Level

Is the client current: Yes No Date of first contact: Last contact:

 Please provide details and dates of offence/s and conviction/s and any pending charges/ convictions:

 Please indicate the *level of Risk of harm at the time when you were in contact with the client: *complete a level for all categories*

 Risk of re-offending: LOW / MEDIUM / HIGH (please circle)

 If Medium / High / Very High, please detail why, and attach ROSH / VMP

 Is your client subject to a SOPO: Yes No If YES – please submit/attach all details Are any relevant to this type of provision? If so, send a secure email detailing these to:

Sophie.robinson@leicestercollege.cjsm.net  Are they a looked after child; Yes No

Category Low Medium High Very High

Young people Vulnerable adults Specified adults Staff

Self Public

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 Please provide the name / contact details of Social Worker / Key Worker and name of Home

 Is/was your client: MAPPA MAPPOM N/A

 Please provide the Category and Level and MAPPA contact details of PPT.

Mental Health and Substance Misuse

 Are/were there Mental Health factors that need taking into account: Yes No

 What are/were these:

 Are/were there any substance misuse: Yes No

 What are /were these:

Supervision and Orders

 What work is being /was covered in their supervision:

 How often do/did you see them:

Weekly Fortnightly Monthly 2 Monthly Daily

 What will / did the supervision cover?

 Has / did the client successfully complete all Orders/Supervision: Yes No Ongoing  Has / did the client respond positively to the supervision:

Always Often Sometimes Rarely Never

Based on your assessments and the information available to you, is your client safe to be in an aged 14+ College with Nurseries and vulnerable learners, and do you support their application on this basis? If they have a SOPO, or any restrictions, contact the Risk Assessment Manager, Sophie Strevens-Robinson.

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YES, according to all information available to me, they are safe to be at Leicester College. NO, according to all information available to me, they are not safe to attend Leicester College. If No, please detail why they are not, or contact the Risk Assessment Manager

 Based on your knowledge of the client, do you know of any support needs you feel we could assist with; E.g. Counselling, Mental Health, Learning Mentor, Careers Advice, DSLAbility support

 Please provide any additional details that you feel are relevant to this applicant.

Form Completed by:

Name: Position: Organisation:

If there is any additional information you wish to provide, please continue on another sheet, or contact the Risk Assessment Team.

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Appendix E: Learner Risk Assessment Information

RISK ASSESSMENTS

Leicester College has a legal obligation known as ‘Duty of Care’ to do everything that is reasonable to protect learners, staff and visitors from potential harm, and to ensure that support needs for learners are met.

Risk Assessment is part of the College’s Safeguarding framework; it is an important part of the Admissions, process, and for all prospective learners at Leicester College. The purpose of Risk Assessment is to identify and assess any learner whose known behaviour and criminal record indicates that they may be a risk to other learners, staff, themselves, visitors or the College

environment. The process also helps to identify learners who could benefit from support whilst they are at College, and we have a range of support for our learners from Mentoring to Counselling. Risk

Assessments are one way in which the College works to provide a safe, supported and inclusive environment for all people within the College.

Why do I need to declare?

As part of the College’s Risk Assessment and Disclosure and Barring (DBS) procedures, applicants/ learners are required to declare if they have an *unspent criminal record, including any pending court cases, if they are on Bail, or if they are charged with any criminal offence either at application stage or during their course. *Learners are also required to disclose ‘spent’ and ‘unspent’ convictions (that aren’t ‘protected’) if their course involves a work placement with young and or vulnerable people, and will need to have a Disclosure and Barring Service (DBS) check as part of their course requirements. Learners who do not declare may be removed from their course and not allowed to come back. What information do I need to give you?

Once you declare on the College’s application form, at enrolment, or to a member of staff we will write to you with a ‘Declaration of Previous Convictions’ form. You must complete the form and post it back. See the points below for what we need:

We need details of your convictions, for example; Caution; Youth Rehabilitation Order; Supervision, Custodial; ISS- Intensive Supervision; Community Service. If you are not sure what conviction/s you have, write what you think you have, or check with us.

If you have several convictions, you will need to write each one, you may need to continue on the back of the form if the box is not big enough. We need the dates you committed the offences, and the date/s of when you were convicted or sentenced. Don’t forget, if you have a DBS Check, you will need to tell us about *‘spent’ and ‘unspent’ criminal records – *see below.

 *The Amendments to the Exceptions Order 1975 (2013) provide that certain ‘spent’ convictions

and cautions are 'protected', and are not subject to disclosure, and therefore cannot be taken into account. Guidance and criteria on the filtering of these cautions and convictions can be found on the Governments Disclosure and Barring Service website. The Risk Assessment Team will only take in to account convictions and cautions that aren’t ‘protected’.

 We also need the name and contact number of your Probation Offender Manager or Youth

Offending Worker, Public Protection Officer or, any other external agency that are working with you, or have been working with.

 If we have seen you before and your conviction/s is not ‘spent’, we will send you a ‘Have you Re-Offended’ letter, which has a small form to complete. You must fill this in and send it back.  Or if you are enrolled and have not declared that you have conviction/s, you may be told that

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 If you need to complete a form, we will always send a postage paid envelope – so you don’t need a stamp, put the form in the envelope and post it back!

What will happen then?

We will always write to you with details of what happens next.

 You may be asked to attend a Risk Assessment Interview and will be sent a date and time.

There will be an Information Sheet that tells you about the Interview and what to expect.

 You may be told that you can continue and we do not need to see you.

 You may have received your DBS Check, and we may need to see you about what is on the

check.

 If you do not complete and return the forms, we will withdraw you from your course, so make sure you do!

What happens to my information?

 The information collected during the Risk Assessment process complies with the Data

Protection Act and is stored securely at all times. Risk Assessment data is retained for ten years as part of the College Retention Guidelines and the Risk Assessment Policy. It is not kept with other College data and only staff authorised (detailed in the Risk Assessment Policy, available upon request) have access to the information (unless there is a safeguarding

concern). Otherwise it is given on a strict need-to-know and we will discuss this with you where applicable.

 You will be asked to sign a Declaration Statement on the Declaration of Previous Convictions form and if you have an Interview, this also tells you what we do with your data and how long we keep your information for.

 If you are referred for support, or have Conditions as part of your attendance, certain

information may be shared as part of your support, or to help manage any possible associated risk whilst you are at the College.

 As Leicester College is involved in a significant amount of collaborative work, the College reserves the right to share information between these agencies if and when it is deemed

appropriate. Transfer of information will only take place between respective named members of staff; unless Child Protection issues are compromised in which case appropriate staff will be contacted.

 We have Information Sharing Agreements with the City and County Youth Offending Services,

and The Probation Service, this means that we work together sharing relevant information to support and manage risk for service users who have criminal records and want to access education at Leicester College

For further information regarding any aspect of Student Risk Assessments please call the Student Risk Assessment Team on: 0116 224 2138 or 0116 224 2225. Mobile: 07717 557 864

For information about Disclosure and Barring Service Checks (DBS) go to the Governments website: https://www.gov.uk/government/organisations/disclosure-and-barring-service Or, call: 0870 90 90 811.

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Appendix F: Learner Risk Assessment Interview Information

IMPORTANT INFORMATION ABOUT YOUR INTERVIEW

Leicester College has a legal obligation known as ‘Duty of Care’ to do everything that is reasonable to protect learners, staff and visitors from potential harm, and to ensure that support needs for learners are met.

Risk Assessment sits within the College’s Safeguarding framework is an important part of the Admissions process for all prospective learners at Leicester College. The purpose of Risk Assessment is to identify and assess any learner whose known behaviour and criminal record indicates that they may be a risk to other learners, staff, themselves, visitors or the College environment. The process also helps to identify learners who could benefit from support whilst they are at College, and we have a range of support for our learners from Mentoring to Counselling. Risk Assessments are one way in which the College works to provide a safe, supported and inclusive environment for all people within the College

Why do I need a Student Risk Assessment Interview?

As part of the College’s Risk Assessment procedures, applicants/ learners are required to declare if they have an *unspent criminal record, including any pending court cases, if they are on Bail, or if they are charged with any criminal offence either at application stage or during their course. *Learners are also required to disclose ‘spent’ and ‘unspent’ convictions if their course involves a work placement with young and or vulnerable people.

What will I need to bring to the Interview?

You will need to bring the name and contact number of your Probation Offender Manager or Youth Offending Worker, Public Protection Officer or, any other external agency you are working with, or have been working with.

What will happen in the interview?

1. There will normally be two members of staff in the interview; these will be the Risk Assessment Manager and the Administrator for the Team.

2. The Risk Assessment Manager will conduct the interview and the Administrator takes notes of what is discussed.

3. You will be asked for the name of your contact at the Youth Offending Service, Probation or Public Protection Team, if you have one, or have had one.

4. You will be asked to talk through your record of offences in as much detail as you can give. If you have several, you will need to talk about each one, so make sure you have all the information before you come, including dates when they happened and when you were sentenced. We appreciate talking about your conviction/s may be difficult, but we are not here to judge. The more information you can give us, the more it will help.

5. We will discuss our range of support available to you, and if required, we will make sure you get referred.

6. If you are on a course that has a work placement with young or vulnerable people and involves an enhanced DBS Disclosure, we will go through the process with you.

7. We will also discuss ‘disclosure’, and if anyone else in the College needs to be informed of your conviction/s. We will not share your information with anyone who does not need to know.

8. At the end of the interview, you will be asked to read through the notes the Administrator has recorded. If the details are wrong, we will change them for you. It is very important we have the right information

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as we refer back to the notes. Undisclosed conviction/s could result in your application, or college place being withdrawn.

9. You will need to sign a Declaration Statement and will be informed about Data Protection, this means how we hold on to your details, who has access to your information, and how long we keep your information for – see full details below on: ‘You need to be aware of the following’

10. Where relevant we will obtain a Risk Reference from Probation, Youth Offending Service, Public Protection Team, or any other relevant agency or professional.

11. Once all the information has been obtained, the Risk Assessment Manager makes a recommendation to the Head of Student Services on whether you can proceed with coming to the College, or if you are already on course, whether you can stay on your course, and if you need support.

12. Generally there are three outcomes of the interview. These are; YES – you are OK to continue with your application, YES with Conditions, or support, and NO – your application will be withdrawn and you will not be permitted to attend college for the academic year. You do have the right to Appeal against a decision; see the end of the page for how to appeal.

13. We will inform you of the decision in writing as soon as we can, normally within two weeks from the date of your interview. It may take longer if we are waiting for a reference/s, or if it is the College holidays. You are always welcome to call us to find out on: 0116 224 2138 or 224 2225

14. If the course you have applied for requires an enhanced DBS (Disclosure and Barring Service) Check, the decision is also dependent upon a satisfactory DBS check. If you have previous convictions that you do not disclose and it is discovered, you are at risk of being refused a place or if you are already on course, being excluded.

You need to be aware of the following:

1. It is essential you tell us everything about your criminal record and why you got your conviction/s. 2. The information collected during the Risk Assessment process complies with the Data Protection Act

and is stored securely at all times. Risk Assessment data is retained for ten years as part of the

College Retention Guidelines and the Risk Assessment Policy. It is not kept with other College data and only staff authorised (detailed in the Risk Assessment Policy, available upon request) to access the information can access it (unless there is a safeguarding concern). Otherwise it is given on a strict need-to-know and we will discuss this with you.

3. If you are referred for support, or have Conditions as part of your attendance, information will be shared strictly on a need to know as part of your attendance and support at the College.

4. If after your Risk Assessment you get in to trouble and get arrested, are on bail, are given another conviction, you must inform the Risk Assessment Team. Failure to do this could result in you being removed from your course and the College.

5. As Leicester College is involved in a significant amount of collaborative work, the College reserves the right to share information between these agencies if and when it is deemed appropriate. Transfer of information will only take place between respective named members of staff; unless Child Protection issues are compromised in which case appropriate staff will be contacted.

6. We have Information Sharing Agreements with the City and County Youth Offending Services, and The Probation Service, this means that we work together sharing relevant information to support and

manage risk for service users who have criminal records and want to access education at Leicester College.

For further information regarding any aspect of Student Risk Assessments please call the Student Risk Assessment Team on: 0116 224 2138 or 0116 224 2225. Mobile: 07717 557 864

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Contact Details:

Leicester College Risk Assessment Team;

Risk Assessment Manager – Sophie Strevens-Robinson - Direct Line – 0116 224 2225 Secure email: Sophie.robinson@leicestercollege.cjsm.net

Risk Assessment Administrator – Ruth Holland - Direct Line – 0116 224 2138 Secure email: Ruth.holland@leicestercollege.cjsm.net

Leicester College General Enquiries – 0116 224 2240

Leicester Youth Offending Service:

Service Manager – Derrick Kabuubi – 0116 454 4600 14-19 Co-ordinator – Andrew Betts – 0116 454 4600

Leicester County Youth Offending Service:

Figure

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References