Information Sharing Protocol for MARAC – Monmouthshire
WASPI
Wales Accord on the
Sharing of Personal Information
Information Sharing Protocol for
Domestic Abuse High Risk Cases –
Monmouthshire
(MARAC)
Version: V1.0
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
Page 1 of 28
Version: [Insert details here]
WASPI
Information Sharing Protocol for MARAC – Monmouthshire
Content
1
Introduction to this ISP .................................................................................................... 3
2
The information sharing partner organisations ................................................................ 4
3
Benefits of sharing........................................................................................................... 5
4
Legislative / statutory powers .......................................................................................... 5
5
Details of personal information being shared .................................................................. 8
6
Identifying the service user .............................................................................................. 9
7
Informing the service user ............................................................................................... 9
8
Obtaining consent ......................................................................................................... 10
9
Obtaining consent where a service user lacks mental capacity .................................... 11
10 Recording consent ........................................................................................................ 11
11 Refused and withdrawn consent ................................................................................... 12
12 Information security ....................................................................................................... 12
13 Records management ................................................................................................... 12
14 Data Protection Act and Freedom of Information Act requests ..................................... 13
15 Complaints .................................................................................................................... 13
16 Review of this ISP ......................................................................................................... 13
17 Appendix A – Glossary of Terms ................................................................................... 14
18 Appendix B – Monmouthshire MARAC Information Flowchart ...................................... 15
19 Appendix C – CAADA-DASH MARAC Risk Identification Checklist (RIC) .................... 16
20 Appendix D – Information sharing without consent Form .............................................. 20
21 Appendix E – MARAC Referral Form ............................................................................ 23
22 Appendix F – Information Reference Table ................................................................... 28
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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1
Introduction to this ISP
1.1
This Information Sharing Protocol (ISP) is supplementary to the Wales Accord on the
Sharing of Personal Information (WASPI), and has been agreed between the
participating partner organisations. Partners have given consideration to its contents
when drawing up this document.
1.2
This ISP has been prepared to support the regular sharing of personal information in
dealing with high-risk cases of domestic abuse through the Multi Agency Risk
Assessment Conference (MARAC) process in the Monmouthshire area.
1.3
Proportionate information sharing is the key to a successful MARAC, facilitating
effective safety planning while protecting the rights of the individual.
1.4 The aim of the MARAC process is to share all relevant information each organisation
has about a Service User and to discuss the options and required actions for
increasing the safety, health and well being of the Service User and their families.
Information is therefore shared to:

Assess domestic violence situations; and to

Identify, manage and reduce risks.
1.5
This ISP covers the exchange of information between Police, Probation, Health, Child
Protection, Adult Services, Education, Housing Practitioners, Independent Domestic
Violence Advocates and other specialists from statutory and voluntary sector
organisations in the Monmouthshire area.
1.6
It supports the information sharing partner organisations involved and the groups of
service users it impacts upon. It details the specific purposes for sharing and the
personal information being shared, the required operational procedures, consent
processes, and legal justification.
1.7
The service user this ISP relates to includes:

Victims (aged 16 and over) of domestic abuse and, where appropriate, their
children.
Please note, the MARAC process will not replace the All Wales Child Protection
Procedures, however, referrals will be accepted where the victim is 16 or 17 years old
in the following circumstances:

If the case meets the MARAC criteria as defined within the Standard Operating
Procedure (SOP);or

If it is agreed by Children’s Services that the MARAC is an appropriate forum to
assist in the safety planning for the victim.
1.8
This ISP should be read in conjunction with the standard operating procedure (SOP)
of MARAC.
1.9
The principle that underpins MARAC is that the threshold of risk is so high that
consent is not legally necessary for the victim to share their information. However, in
practice having the victims’ support for the process will almost always lead to a more
successful outcome. Therefore for the purpose of this ISP, explicit consent will
generally be required from service users.
1.10 Where there is a need to transfer cases to other MARAC areas, the ‘MARAC to
MARAC’ referral processes will be followed. Whilst this type of information sharing
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will be undertaken without an agreed information sharing protocol in place, the same
principles contained within this ISP will also apply.
1.11 Partners may only use the information disclosed to them under this ISP for the
specific purpose(s) set out in this document or to support the effective administration,
audit, monitoring, inspection of services and reporting requirements.
1.12 A glossary of terms for this ISP is contained within Appendix A.
Please note: Staff should not hesitate to share personal information in order to
prevent abuse or serious harm, in an emergency or in life-or-death situations.
If there are concerns relating to child or adult protection issues, the relevant
organisational procedures must be followed.
2
The information sharing partner organisations
2.1 This ISP covers the exchange of information between practitioners of the following
organisations:
Information Sharing Partner Organisations
Responsible Manager
1. Gwent Police
Detective Inspector
2. Monmouthshire Children Services
Child Protection Co-ordinator
3. Monmouthshire Adult Services
Assistant Director for Adult Services
4. Monmouthshire Housing/Housing options
Responsible manager senior
community safety officer
and home search
5. Monmouthshire Education
Assistant Director for Education
Named nurse safeguarding
6. Aneurin Bevan Health board
7. Wales Probation
Assistant Chief Officer, Local Delivery
Unit
8. Victim Support
Divisional Manager
9. Kaleidoscope
Regional Manager – Sian Chicken
10. Barnardo’s Cymru
Children’s Service Manager
11. BAWSO (Black Association for Women
Regional Manager South East Wales
Stepping Out)
12. Charter Housing
Homeless & Communities Manager
13. United Welsh Housing Association
Neighbourhood & Participation
Manager
14. Linc Cymru
Community Safety Officer
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Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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15. DrugAid
Services Manager
2.2
The responsible managers detailed above have overall responsibility for this ISP
within their own organisations, and must therefore ensure the ISP is disseminated,
understood and acted upon by relevant practitioners.
2.3
The responsible manager from each partner organisation will regularly monitor and
audit access to information shared under this ISP to ensure appropriate access is
maintained.
3
Benefits of sharing
3.1
By sharing personal information under this ISP, it is envisaged that the following
benefits will be achieved:

Service users and their children will be protected from further abuse through the
co-ordination of timely interventions;

Provision of comprehensive risk identification and safety planning based on a
full account of the facts and circumstances of a Service User’s situation;

The right sort and combination of advice, support and advocacy will be offered
at the right time based on a full account of the Service User’s needs and history,
including other service contact and use;

Service Users can avoid the added distress of having to repeat details of their
history or experience of domestic abuse and other circumstances each time they
encounter a different service.
4
Legislative / statutory powers
4.1
Disclosure of information will be conducted within the legal framework of the Data
Protection Act 1998 (DPA), the Human Rights Act 1998 and in compliance with the
common law duty of confidence.
4.2
Consent is only one of the “conditions for processing” found in Schedules 2 and 3 of
the DPA. Where the sharing covered by this ISP does not rely on consent, partner
organisations will need to be able to satisfy one or more of the other conditions from
Schedule 2 and, where sensitive personal data is involved (such as information
relating to a service user’s health or criminal record), Schedule 3.
4.3
For the purposes of this ISP, when consent is not relied upon, the following
Schedule 2 conditions may be appropriate:

To protect the vital interests of the data subject (in cases of serious harm or
matters of life and death);

For the administration of justice (usually bringing the perpetrator to justice);

For the exercise of functions conferred on any person by or under any
enactment;

For the exercise of any other functions of a public nature exercised in the public
interest;
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Issue Date: 1st July 2015
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4.4
For the purposes of this ISP, when explicit consent is not relied upon, the following
Schedule 3 conditions may be appropriate:

To protect the vital interests of the data subject or another person, in a case
where consent cannot be given by or on behalf of the data subject, or the data
controller cannot reasonably be expected to obtain the consent of the data
subject;

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;

For the administration of justice;

For the exercise of any function conferred on any person by or under an
enactment;

For medical purposes when disclosure is undertaken by a health professional for
the purposes of the provision of care and treatment.
4.5
Public sector bodies may also have a statutory requirement to share some types of
personal data. In the absence of a statutory requirement, a public sector body
should be able to explain the legal power it has to enable it to share. Other
organisations may not need additional legal powers to share, being able to rely on
the identified Schedule conditions.
4.6
Additional provision of powers to share information in respect of this ISP include:

Local authorities have powers under section 2 of the Local Government Act 2000
to promote or improve the social well being of their area. This provides an
implied power to share information with other statutory services and the
independent sector.

Section 22 of the National Health Service Act 1977 provides for a general duty on
NHS bodies and local authorities to cooperate with one another in order to
secure and advance the health and welfare of the people of England and Wales.
This general duty implies a power to share information between NHS bodies and
local authorities.

Section 10 of the Children Act 2004 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. The
section 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.

Section 25 of the Children Act 2004 provides for the co-operation of relevant
partners of children’s services authority in the making of arrangement to
safeguard the emotional wellbeing, physical and mental health, education,
protection and social and economic wellbeing of children in Wales. This provides
an implied power to share information with other statutory services.

Section 47 of the Children Act 1989 places a duty on local authorities to make
enquires where they have reasonable cause to suspect that a child in their area
may be at risk of suffering significant harm. Section 47 states that unless in all
the circumstances it would be unreasonable for them to do so, the following
authorities must assist a local authority with these enquiries if requested, in
particular by providing relevant information:
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o Any local authority;
o Any housing authority;
o Any health authority;
o Any person authorised by the Secretary of State.
A local authority may also request help from those listed above in connection with its
functions under Part 3 of the Act. Part 3 of the Act, which comprises of sections 1730, allows for local authorities to provide various types of support for children and
families. In particular, section 17 places a general duty on local authorities to provide
services for children in need in their area. Section 27 enables the authority to request
the help of one of those listed above where it appears that such an authority could,
by taking any specified action, help in the exercise of any of their functions under
Part 3 of the Act. Authorities are required to co-operate with a request for help so far
as it is compatible with their own statutory duties and does not unduly prejudice the
discharge of any of their functions.
In practice, when required to help under sections 47 or 17 of the Act, authorities may
be approached by social services and asked to:

provide information about a child, young person or their family where there are
concerns about a child’s well-being, or to contribute to an assessment under
section 17 or a child protection enquiry;

undertake specific types of assessments as part of a core assessment or to
provide a service for a child in need;

provide a report and attend a child protection case conference.
The Act does not require information to be shared in breach of confidence, but an
authority should not refuse a request without considering the relative risks of sharing
information, if necessary without consent, against the potential risk to a child if
information is not shared.

4.7
Section 120 of the Adoption and Children’s Act 2002 amends Section 31(9) of the
Children Act 1989 to extend the definition of harm to include “impairment suffered
from seeing or hearing the ill-treatment of another”.
The MARAC process will require the sharing of personal information regarding the
perpetrator; it is unlikely that consent will be sought in these situations. Therefore,
consideration should be given to the provisions detailed below.

Section 29 of the Data Protection Act 1998 permits use or disclosures of personal
information for the purpose of the prevention or detection of crime or the
prosecution or apprehension of offenders even though the data subject (service
User) has not been informed of those uses or disclosures, if to inform the data
subject (service User) might prejudice that purpose. Disclosure needs to be
determined by the individual circumstances of each case. The outcome to be
achieved must be weighed against the provision of confidentiality.

The Data Protection (Processing of Sensitive Personal Data) Order 2000 amends
the Data Protection Act 1998 and provides that sensitive personal information (for
example, mental or physical health) may be lawfully processed without explicit
consent where there is substantial public interest in disclosing the information for
any of the following purposes:
o For the detection and prevention of crime;
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o For the protection of members of the public against malpractice,
incompetence, mismanagement, etc;
o To publicise the fact of malpractice, incompetence, mismanagement, etc,
for the protection of the public;
o To provide confidential counselling and advice where explicit consent
cannot be given nor reasonably obtained, or where the processing must be
carried out without explicit consent so as not to prejudice that confidential
counselling or advice; or
o To undertake research that does not support measures or decisions with
respect to any particular data subject (user) unless the data subject
(service user) has explicitly consented and does not cause, nor is likely to
cause, substantial damage or substantial stress to the data subject (user)
or any other person.
Section 115 of the Crime and Disorder Act 1998 permits the disclosure of personal
information that may otherwise be prohibited to support local crime and disorder
strategies in accordance with the objectives specifically outlined within it. There is
not a compulsion to disclose and the organisation must make its own decision;
however, the requirements of the common law duty of confidence and the Data
Protection Act 1998 must still be met. Therefore, information given in confidence
must not be disclosed unless there is a clear overriding public interest to do so.
5
Details of personal information being shared
5.1
Personal information shared for the purpose of this ISP includes a range of
information and might therefore include:

Name, Aliases (if known)

Current address, Other know addresses

Date of birth, Gender

Victim's relationship to perpetrator

Perpetrator relationship to victim

Ethnicity, Disability, Sexual orientation, Immigration status

Due date if pregnant / details of pregnancy(s) within last 18 months

Victim's concerns, Vulnerabilities

Abuse/allegations

Health, social and environmental risks

Drug, alcohol or mental health issues

Financial Issues, Housing Issues

Health Issues, Employment status

Domestic violence history

Honour based violence concerns

Forced Marriage concerns, or related issues

Concerns regarding Female Genital Mutilation
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5.2

Concerns relating to Trafficking and/or Prostitution

Criminal history, Serial abuser status

Criminal justice system information

Dates / location of any previous MARAC referrals

Children's Name, demographic details, Date of Birth

Children's immigration status

Children's relationship to victim

Children's relationship to perpetrator

Children's school

Current looked after status including Child Protection Register
The information is used to plan and review the actions taken to reduce future
likelihood of harm to the Service User and their dependants.
5.3 Only the minimum necessary personal information consistent with the purposes set
out in this document can be shared.
5.4 Information provided by partner organisations will not generally be released to any
third party without prior consultation with the owning partner organisation.
5.5 An information reference table within Appendix F provides a comprehensive list of
the personal information to be shared between the partner organisations, including
with whom in each partner organisation it will be shared with, why it will be shared
and the methods of how it will be shared.
6
Identifying the service user
6.1
In order to ensure that all partner organisations, when sharing information, are
referring to the same service user, the following personal identifiers must be
included:





First Name
Surname
Aliases
Address
Date of birth
7
Informing the service user
7.1
It is necessary to communicate with the service user or their lawful representatives
about the need for information sharing at the earliest appropriate opportunity,
preferably at first contact unless by doing so would risk harm to others or hinder any
investigation or legal proceedings.
7.2
Therefore in most cases practitioners will clearly inform service users or their lawful
representatives about what personal information is to be shared, and for what
purposes it will be used. Partner organisations should also ensure that service users
are provided with any information they need to fully understand the way in which
their personal data will be handled in any specific circumstance, including the names
of any persons or organisations with whom their data may be shared.
Status: ASSURED
Issue Date: 1st July 2015
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7.3
Where appropriate, agreed methods of providing this information are:

Verbally

Domestic Violence Leaflets
8
Obtaining consent
8.1
The approach to obtaining consent should be transparent and respect the rights of
the service user.
8.2
Consent is given by a service user agreeing actively, to a particular use or disclosure
of information. It can be expressed either verbally or in writing, although written
consent is preferable since that reduces the scope for subsequent dispute. For the
purposes of this ISP, explicit consent will be required from service users.
8.3
Where a service user has limited or no understanding of English it is essential to
ensure that they understand exactly what they are consenting to, and therefore an
interpreter must be used.
8.4
Consent must not be secured through coercion or inferred from a lack of response to
a request for consent. Practitioners must be satisfied that the service user has
understood the information sharing arrangements and the consequences of
providing or withholding consent.
8.5
Where a service user is a child or young person, the practitioner should consider
whether the child or young person has the capacity to understand the implications of
giving their consent in the particular circumstance. Where the practitioner is
confident that the child or young person can understand their rights, then consent
should be sought from them rather than a parent. It is important that a child or
young person is able to understand (in broad terms) what it means to give their
consent.
8.6
Consent should not be regarded as a permanent state. Opportunities to review the
service users continuing consent to information sharing should arise during the
course of the service provision. Practitioners should exercise professional
judgement in determining whether it would be appropriate to re-visit a service user’s
continued consent at any given juncture. Ideally it should take place in the context of
a review or re-assessment.
8.7
Consent obtained from service users for the purposes of this ISP will only be used to
support the delivery of the purposes and functions set out in this document. Once
the provision of this specific ISP concludes or the purpose changes, then consent
obtained for it will also end.
8.8
In some exceptional circumstances, personal information can be lawfully shared
without consent where there is a legal requirement or where an appropriate
professional of sufficient seniority within the partner organisation, has taken the view
that the duty of confidentiality can be breached where there is a substantial overriding ‘public interest’. Such situations where information might be shared without
consent include:



‘Life and death’ situations, for example, where information is shared in an
emergency in order to preserve life;
where a person’s condition indicates they may be a risk to the public or may
inflict self-harm;
in order to prevent abuse or serious harm to others;
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
on a case-by-case basis, to prevent serious crime and support detection,
investigation and punishment of serious crime.
This is not an exhaustive list and each situation should be considered on a case by
case basis.
8.9
Where decisions are made to share personal information without the service user’s
consent, as detailed above in 8.7, this must be fully documented in the service user’s
record.
8.10 Where it is not appropriate to defer the sharing of information, then it will not be
appropriate to defer consent, as consent cannot be obtained retrospectively.
Therefore, only where deemed necessary, may information be shared without
consent.
8.11 Information regarding the perpetrator, in relation to the MARAC process, will be
shared without the perpetrator’s consent. Justification for not seeking consent is
outlined in Section 4.8.
8.12 If there are any concerns relating to child or adult protection issues, practitioners
must follow the relevant organisational procedures.
9
Obtaining consent where a service user lacks mental capacity
9.1
The Mental Capacity Act 2005 Code of Practice defines the term ‘a person who
lacks capacity’ as a person who lacks capacity to make a particular decision or take
a particular action for themselves, at the time the decision or action needs to be
taken.
9.2
Whenever dealing with issues of capacity to consent, local rules and procedures
should be followed and these must be in compliance with the Mental Capacity Act
2005 and its Code of Practice.
9.3
Where a person has a temporary loss of capacity consent will be deferred, if
appropriate, until such time as consent can be obtained. Consent to share
information will be sought when capacity is regained.
10
Recording consent
10.1 Decisions regarding service users’ consent of how and when it was obtained and
whether it was provided in verbal or in written form, must be stored or recorded in
the service user’s record.
10.2 Where the Practitioner has assessed that consent will be obtained from the service
user when requested, such provision must be recorded on the MARAC referral form
located at Appendix E (see MARAC SOP). This should include details of how and
when it was obtained and whether it was provided in written or verbal form.
10.3 Where decisions are made to share personal information without the service user’s
consent, as detailed in section 4, this must be fully documented on the ‘Information
sharing without consent form’ located at Appendix D (see MARAC SOP).
10.4 The service user will usually be informed of this decision and of the information
which has been shared; unless by doing so it would risk harm to others or hinder any
investigation of legal proceedings.
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Issue Date: 1st July 2015
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11
Refused and withdrawn consent
11.1 A service user has the right to refuse their consent to have information about them
shared. They also have the right to withdraw previously granted consent at any
point, to the sharing of their information. Further personal information should not
then be shared under this ISP.
11.2 Where the service user has refused or withdrawn consent, the implications of
withholding consent will be clearly explained to them and this dialogue will be
recorded in the service user’s record. If a service user withdraws consent to share
personal information it will also be explained that information already shared cannot
be recalled.
12
Information security
12.1 Practitioners carrying out the functions outlined in this ISP should make themselves
aware of, and adhere to, their organisation’s information security policies and
procedures.
12.2 Where practitioners are unable to comply with their organisation’s policies regarding
the safe and secure transfer of information they must ensure that a risk assessment
is undertaken by their Information Security/Governance department at the earliest
opportunity. Alternative secure methods, as identified within the organisation’s
policy, must be used until such time as the risk assessment has been undertaken.
12.3 A list of agreed methods for the safe and secure transfer of personal information is
documented within Appendix F.
12.4 Any breaches of security, confidentiality and other violations of this ISP must be
reported in line with each partner organisation’s incident reporting procedures.
Consideration should be given to share, where appropriate, the outcome of any
investigation with the partner organisations involved.
13
Records management
13.1 Practitioners carrying out the functions outlined in this ISP should make themselves
aware of, and adhere to, their organisation’s records management procedures,
specifically in relation to collecting, processing and disclosing of personal
information.
13.2 All information, whether held on paper or in electronic format must be stored and
disposed of in line with each partner organisation’s retention and disposal schedule.
13.3 Personal information will only be collected using the agreed collection methods,
ensuring the required information is complete and up-to-date.
13.4 Practitioners will ensure where practical, that records are maintained of when
information is shared with a partner organisation, and to whom.
13.5 Decisions about service users should never be made by referring to inaccurate,
incomplete or out of date information.
13.6 If information is found to be inaccurate, practitioners will ensure that their records
and systems are corrected accordingly. Consideration must also be given to
advising partner organisations where practical.
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
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14
Data Protection Act and Freedom of Information Act requests
14.1 Where requests are received for information relating to this ISP or any individual
service user(s) then each request will be dealt with in accordance with each partner
organisation’s relevant policies and procedures.
15
Complaints
15.1 Each partner organisation has a formal procedure by which service users, partner
organisations and practitioners can direct their complaints regarding the application
of this ISP.
16
Review of this ISP
16.1 This ISP will be reviewed in July 2016 or sooner if appropriate.
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17
Appendix A – Glossary of Terms
Term
Definition
Consent
An informed indication by which the service user signifies agreement
and understanding of how personal information relating to them is
processed.
Personal
information
Information which relates to an individual, including their image or
voice, which enables them to be uniquely identified from that
information on its own or from that and / or other information
available to that organisation.
It includes personal data within the meaning of Section 1 of the Data
Protection Act 1998 and information relating to the deceased.
Sensitive personal
information
Personal information as to; the racial or ethnic origin of an individual;
their political opinions, their religious beliefs or other beliefs of a
similar nature, whether they are a member of a trade union, their
physical or mental health or condition, their sexual life, the
commission or alleged commission by them of any offence, or any
proceedings for an offence committed or alleged to have been
committed by them, the disposal of such proceedings or the
sentence of any court in such proceedings.
Personal identifiers
A set of basic personal details that allow partner organisations to
identify exactly who is being referred to. For example, name,
address, date of birth, postcode.
Processing
personal
information
Broadly describes the collecting, using, disclosing, retaining or
disposing, of personal information. If any aspects of processing are
found to be unfair, then the Data Protection Act 1998 is likely to be
breached.
Service user
An inclusive term to describe those people who have contact with
service providing organisations within Wales and have information
recorded about them. For example: individual organisations may
refer to these people as data subjects, patients, clients, lawful
representatives, etc.
Practitioner
An inclusive term to describe any staff working for the partner
organisations involved in the care of or provision of services for the
service user. For example: police officer, health professional, social
worker, volunteer etc.
Responsible
Manager
A senior manager within an organisation who has overall
responsibility for the area of work related to a specific ISP. It will be
their responsibility to ensure that ISPs are disseminated, understood
and acted upon by relevant practitioners and that access to personal
information is regularly monitored and audited to ensure appropriate
access is maintained.
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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Appendix B – Monmouthshire MARAC Information Flowchart
Statutory and Voluntary
agencies refer using MARAC
referral form, including
completing the summary section
Domestic Abuse
Conference Call Referrals
Referrals received by
Contact & Referral Team
within Children Services
Referrals received by
MARAC Co-ordinator
Referrals sent to IDVA to
undertake actions to
ensure victim safety
Yes
Court Referral
High Risk?
Referrals sent out to all
agencies
IDVA gathers information
from victim to present at
MARAC
MARAC Co-ordinator
circulates agenda.
Agencies undertake
research to ascertain if
they hold any relevant
information on those listed
or any associates.
MARAC Meeting
Outstanding previous
actions recorded
Current MARAC list and
information shared
Researched information
discussed
Risks identified
Actions agreed
MARAC Coordinator
circulates Minutes and
Risk Management Plan
MARAC Coordinator receives
updated Risk Management
Plan
Status: ASSURED
Issue Date: 1st July 2015
Nominated professional
ensures actions are carried
out
Completed actions
updated on MARAC
referral form
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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Appendix C – CAADA-DASH MARAC Risk Identification
Checklist (RIC)
CAADA-DASH Risk Identification Checklist (RIC)
Aim of the form:
 To help frontline practitioners identify high risk cases of domestic abuse, stalking and ‘honour’-based
violence.
 To decide which cases should be referred to MARAC and what other support might be required. A
completed form becomes an active record that can be referred to in future for case management.
 To offer a common tool to agencies that are part of the MARAC process and provide a shared
understanding of risk in relation to domestic abuse, stalking and ‘honour’-based violence.
 To enable agencies to make defensible decisions based on the evidence from extensive research of
cases, including domestic homicides and ‘near misses’, which underpins most recognised models of risk
assessment.
How to use the form:
Before completing the form for the first time we recommend that you read the full practice guidance and
Frequently Asked Questions and Answers. These can be downloaded from
http://www.caada.org.uk/marac/RIC_for_MARAC.html. Risk is dynamic and can change very
quickly. It is good practice to review the checklist after a new incident.
Recommended referral criteria to MARAC
1. Professional judgement: if a professional has serious concerns about a victim’s situation, they should
refer the case to MARAC. There will be occasions where the particular context of a case gives rise to
serious concerns even if the victim has been unable to disclose the information that might highlight their
risk more clearly. This could reflect extreme levels of fear, cultural barriers to disclosure, immigration
issues or language barriers particularly in cases of ‘honour’-based violence. This judgement would be
based on the professional’s experience and/or the victim’s perception of their risk even if they do not
meet criteria 2 and/or 3 below.
2. ‘Visible high risk’: the number of ‘ticks’ on this checklist. If you have ticked 14 or more ‘yes’ boxes the
case would normally meet the MARAC referral criteria.
3. Potential escalation: the number of police callouts to the victim as a result of domestic violence in the
past 12 months. This criterion can be used to identify cases where there is not a positive identification of
a majority of the risk factors on the list, but where abuse appears to be escalating and where it is
appropriate to assess the situation more fully by sharing information at MARAC. It is common practice to
start with three or more police callouts in a 12 month period but this will need to be reviewed depending
on your local volume and your level of police reporting.
Please pay particular attention to a practitioner’s professional judgement in all cases. The results from a
checklist are not a definitive assessment of risk. They should provide you with a structure to inform your
judgement and act as prompts to further questioning, analysis and risk management whether via a MARAC
or in another way.
The responsibility for identifying your local referral threshold rests with your local MARAC.
What this form is not:
This form will provide valuable information about the risks that children are living with but it is not a full risk
assessment for children. The presence of children increases the wider risks of domestic violence and step
children are particularly at risk. If risk towards children is highlighted you should consider what referral you
need to make to obtain a full assessment of the children’s situation.
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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CAADA-DASH Risk Identification Checklist for use by IDVAs and other non-police agencies for
identification of risks when domestic abuse, ‘honour’-based violence and/or stalking are
disclosed
Please explain that the purpose of asking these questions is for the
safety and protection of the individual concerned.
Tick the box if the factor is present . Please use the comment box at
the end of the form to expand on any answer.
It is assumed that your main source of information is the victim. If this
is not the case please indicate in the right hand column
1.
Has the current incident resulted in injury?
(Please state what and whether this is the first injury.)
2.
Are you very frightened?
Comment:
3.
What are you afraid of? Is it further injury or violence? (Please give
an indication of what you think (name of abuser(s)...) might do and
to whom, including children).
Comment:
4.
Do you feel isolated from family/friends i.e. does (name of
abuser(s)…) try to stop you from seeing friends/family/doctor or
others?
Comment:
5.
Are you feeling depressed or having suicidal thoughts?
6.
Have you separated or tried to separate from (name of
abuser(s)….) within the past year?
7.
Is there conflict over child contact?
8.
Does (…) constantly text, call, contact, follow, stalk or harass you?
(Please expand to identify what and whether you believe that this
is done deliberately to intimidate you? Consider the context and
behaviour of what is being done.)
9.
Are you pregnant or have you recently had a baby
(within the last 18 months)?
Yes
(tick)
No
Don’t
Know
State
source of
info if not
the victim
e.g. police
officer
10. Is the abuse happening more often?
11. Is the abuse getting worse?
12. Does (…) try to control everything you do and/or are they
excessively jealous? (In terms of relationships, who you see, being
‘policed at home’, telling you what to wear for example. Consider
‘honour’-based violence and specify behaviour.)
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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Tick box if factor is present. Please use the comment box at the end of
the form to expand on any answer.
Yes
(tick)
No
Don’t
Know
State
source
of info if
not the
victim
13. Has (…) ever used weapons or objects to hurt you?
14. Has (…) ever threatened to kill you or someone else and you
believed them? (If yes, tick who.)
You  Children  Other (please specify) 
15. Has (…) ever attempted to strangle/choke/suffocate/drown you?
16. Does (…) do or say things of a sexual nature that make you feel
bad or that physically hurt you or someone else? (If someone else,
specify who.)
17. Is there any other person who has threatened you or who you are
afraid of? (If yes, please specify whom and why. Consider
extended family if HBV.)
18. Do you know if (…) has hurt anyone else? (Please specify whom
including the children, siblings or elderly relatives. Consider HBV.)
Children  Another family member 
Someone from a previous relationship  Other (please specify) 
19. Has (…) ever mistreated an animal or the family pet?
20. Are there any financial issues? For example, are you dependent on
(…) for money/have they recently lost their job/other financial
issues?
21. Has (…) had problems in the past year with drugs
(prescription or other), alcohol or mental health leading to
problems in leading a normal life? (If yes, please specify which and
give relevant details if known.)
Drugs  Alcohol  Mental Health 
22. Has (…) ever threatened or attempted suicide?
23. Has (…) ever broken bail/an injunction and/or formal agreement
for when they can see you and/or the children? (You may wish to
consider this in relation to an ex-partner of the perpetrator if
relevant.)
Bail conditions  Non Molestation/Occupation Order 
Child Contact arrangements  Forced Marriage Protection Order 
Other 
24. Do you know if (…) has ever been in trouble with the police or has
a criminal history? (If yes, please specify.)
DV  Sexual violence  Other violence  Other 
Total ‘yes’ responses
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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For consideration by professional: Is there any other relevant information (from victim or professional),
which may increase risk levels? Consider victim’s situation in relation to disability, substance misuse, mental
health issues, cultural/language barriers, ‘honour’- based systems, geographic isolation and minimisation. Are
they willing to engage with your service? Describe:
Consider abuser’s occupation/interests - could this give them unique access to weapons? Describe:
What are the victim’s greatest priorities to address their safety?
Do you believe that there are reasonable grounds for referring this case to MARAC? Yes / No
If yes, have you made a referral? Yes/No
Signed:
Date:
Do you believe that there are risks facing the children in the family? Yes / No
If yes, please confirm if you have made a referral to safeguard the children: Yes / No
Date referral made:
Signed:
Date:
Name:
Practitioner’s notes
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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Appendix D – Information sharing without
consent Form
Information Sharing without Consent Form
Victim name and DOB
Victim address
Children
Who is at Risk?
(e.g. Children,
client, family,
others)
DOB
Address
Who are they at risk
from? (e.g. partner,
ex-partner, family,
self)
What are the
concerns around
this risk?
Risk Identification Checklist (if it has been possible
to complete a CAADA-DASH RIC, attach it here)
School (if known)
What are the
immediate risks to
this victim?
Risk Identified
through Risk
Assessment
/ number of ticks out of 24
Details of incident / information causing concern
(include source of information)
Legal Authority to Share
Protocol relevant
Y /N
If yes, please detail
Or
Legal grounds (If yes, please tick one or more grounds below)
Y/N
Prevention / detection or crime and/or apprehension or prosecution of offenders (DPA, sch 29)
To protect vital interests of the data subject; serious harm or matter of life or death (DPS, sch 2 & 3)
For the administration of justice (usually bringing perpetrators to justice (DPA, sch 2 & 3)
For the exercise of functions conferred on any person by or under any enactment (police / Social
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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Services) (DPA, sch 2 & 3)
In accordance with a court order
Overriding public interest (common law)
Child protection – disclosure to social services or police for the exercise of functions under the
children act, where the public interest in safeguarding the child’s welfare overrides the need to keep
the information confidential (DPA, sch 2 & 3)
Right to life (Human Rights Act, art. 2 & 3)
Right to be free from torture, of inhuman or degrading treatment (HUMAN RIGHTS ACT, ART. 2 &
3)
Balancing Considerations (please tick)
Pressing need
Risk of not disclosing
Respective risks to those affected
Interest of other agency / person in receiving it.
Public interest of disclosure
Human rights
Duty of confidentiality
Other
Comments
Internal consultations
(Names / Dates / Advice / Decisions)
External consultations
(Home Office, Information Sharing Helpline)
Client Notification
Client notified
Y/N
Date notified
If not, why not?
Review
Date for review of situation (review to include feedback from the agencies
informed as to their response)
Name of person responsible for ensuring the situation is reviewed by this date
Record the following information in Case File:
Date information shared
Agency & named person informed
Method of contact
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
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Legal authority for each agency
Signature of caseworker
Date (as signed by caseworker)
Signature of manager
Date (as signed by manager)
© Copyright CAADA 2011 – please acknowledge before reproducing / Registered charity number 1106864
W: www.caada.org.uk T: 0117 3178750 E: [email protected]
Status: ASSURED
Issue Date: 1st July 2015
Review Date: July 2016
Quality Assurance Date: 1st July 2015
Page 22 of 28
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Appendix E – MARAC Referral Form
RESTRICTED
SECTION 1 - DOMESTIC VIOLENCE MULTI AGENCY RISK ASSESSMENT CONFERENCE
(ONE RECORD PER CASE) – Record Victim(s), Perpetrator(s) & Child(ren). Submit the Referral to – [email protected]
FOR COMPLETION BY REFERRING AGENCY
LOCAL AUTHORITY AREA
(Insert Below)
FOR COMPLETION BY MARAC ADMINISTRATOR
REFERRING AGENCY (Insert Below)
MARAC
LOCATION
MARAC DATE
TIME
MAMHILAD
REFERRED BY
Referral Based on Professional
Judgement or CAADA Checklist
(Insert Below)
DATE OF REFERRAL
Name
INITIAL /
REPEAT
IF REPEAT, DATE OF PREVIOUS MARACS
DATE RECEIVED
Victim
Y/N
Perpetrator
Y/N
Child
Y/N
DOB
Gender
M/F
Relationship
to Victim
Address
Ethnicity
Disability
Y/N/NK
LGBT
1
2
3
4
5
6
7
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Status: ASSURED
Issue Date: 1ST July 2015
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FOR COMPLETION BY REFERRING AGENCY – Referring Agency’s Summary to include background to the case, including detail of current safety planning in
place)
SAFE CONTACT NUMBER FOR VICTIM:
For Police Use Only
Indicate Where Appropriate
Bulletin Y/N
OE Marker Y/N
SSD Ref Y/N
Alarm Y/N
IDVA Y/N
Bobby Scheme Y/N
POVA Y/N
Visit Completed Y/N
Guardian Referral No
RESTRICTED
Page 2 of 5
Status: ASSURED
Issue Date: 1ST July 2015
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For completion by Police
PNC
Bail / Custody
Summary – Previous Incidents
RESTRICTED
Page 3 of 5
Status: ASSURED
Issue Date: 1ST July 2015
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Those persons present were reminded that this meeting and related documents are strictly confidential. Discussions should not be shared outside of the meeting.
Similarly, copies of the minutes should not be photographed or shared without the agreement of the Agencies concerned. All agencies should ensure that they develop
procedures to ensure that the minutes are retained in a confidential and appropriately restricted manner. These minutes will aim to reflect that all individuals who are
discussed at these meetings should be treated fairly, with respect and without improper discrimination. All work undertaken at the meetings will be informed by a
commitment to equal opportunities and effective practice issues in relation to race, gender, sexuality and disability. All meetings are recorded for future reference.
Section 2 - Minute of Discussion- - For Completion By Administrator
Agency
Summary of Information Shared
Start Time
End Time
Probation
SSD (Adult
Services)
SSD (Child
Services)
Education
Police
Health
Women’s Aid
IDVA
Housing
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RESTRICTED
Status: ASSURED
Issue Date: 1ST July 2015
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Section 3 - Risk Management Plan - For Completion By Administrator
No
Agency
1
Probation
2
SSD (Adult Services)
3
SSD (Child Services)
4
Education
5
Police
6
Health
7
Women’s Aid
8
IDVA
9
Housing
Action
Allocated To
To Be Completed By
Completed On
10
11
12
13
14
15
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Status: ASSURED
Issue Date: 1ST July 2015
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Appendix F – Information Reference Table
Information Reference Table
Status: ASSURED
Issue Date: 1ST July 2015
Page 28 of 28
Review Date: July 2016
Quality Assurance Date: 1st July 2015