Referral to the Independent Safeguarding Authority - Safer Derbyshire

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DERBYSHIRE COUNTY COUNCIL ADULT CARE
Referrals to the Independent Safeguarding Authority (ISA) Regarding the
Protection of Vulnerable Adults Scheme (PoVA)/ future Vulnerable Adults
List
Purpose of Information Sheet
To provide information in respect of referral arrangements to the Independent
Safeguarding Authority (ISA).
This information sheet should be read in conjunction with the current “Protection
of Vulnerable Adults scheme in England and Wales for adult placement
schemes, domiciliary care agencies and care homes: a practical guide”:
http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolic
yAndGuidance/DH_093299
Introduction
Following the murders of Jessica Chapman and Holly Wells by Ian Huntley in
2002, the Bichard Inquiry was commissioned. One of the issues this inquiry
looked at was the way individuals are recruited to work with vulnerable adults
and children.
The Inquiry’s recommendations led to the Safeguarding Vulnerable Groups Act
2006, which recognised the need for a single agency to vet all individuals who
want to work with vulnerable people.
The ISA was created to fulfil this role across England, Wales and Northern
Ireland.
The Protection of Vulnerable Adults List (PoVA) has been in operation since July
2004 and contains the names of individuals who have been barred from working
with vulnerable adults.
From 31 March 2008 up until 19 th January ISA had been providing advice on
barring decisions. However, on the 20 th January 2009 it took over the direct
responsibility for barring decisions.
The new Vetting and Barring Scheme and individual registration within the
scheme will be phased in over a 5 year period from 12 th October 2009 onwards
and from this date the current PoVA, PoCA and List 99 barring lists will be
replaced by the creation of two new lists administered by ISA – the ‘Vulnerable
Adults List’ and the ‘Children’s List’.
(Nb currently PoCA contains the names of individuals who are considered
unsuitable to work with children and List 99 of those who cannot be employed as
a teacher by local authorities, schools and FE institutions or in work involving
regular contact with children under the age of 18).
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Locally Derby and Derbyshire Safeguarding Adults Policy and Procedures
require that the chair of both strategy meetings and case conferences address
with employers of implicated staff or managers whether a referral for inclusion
on the PoVA/future Vulnerable Adults List should be made. A referral under
safeguarding will always be made where a referral to the list is being
considered.
Similar arrangements are mirrored for children through the Derbyshire
Safeguarding Children Board and respective barring lists.
Referrals to ISA
1) What do we mean by a ‘referral’?
This is when information about an individual is passed to ISA for considered
inclusion on the relevant barring list(s). .
In general terms, if a decision has been made to cease using a person’s
services (e.g. dismissed from work) because that person has either harmed a
vulnerable adult or child in the course of their work or poses a potential future
risk of harm, the matter should be referred to ISA.
2) Where should referrals be made to? (Please refer to page 6 in regards to
where to go for advice before making a referral)
The address to where referrals should now be made is:
Independent Safeguarding Authority
PO Box 181
Darlington
DL1 9FA
For queries relating to PoVA/future Vulnerable Adults List referrals either email:
ISADispatchTeam@homeoffice.gsi.gov.uk
or Telephone
01325 953794 or
01325 953757
For queries relating to PoCA, List 99 and future Children’s List referrals either
email:
ISADispatchTeam@homeoffice.gsi.gov.uk
or Telephone
01325 953795 or
01325 953796
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At what point in time should a referral for the PoVA/future Vulnerable
Adults List be made to ISA?
In general terms a referral should only be made after disciplinary procedures
have been concluded. (Social Care Institute for Excellence (SCIE) guidance
January 2009). This approach has also been reflected within former CSCI
Guidance for Inspectors – Protection of Vulnerable Adults Scheme.
However, the circumstances in which a referral should be made to ISA for
considered inclusion on the barring list are as follows:
(Nb.
Similar circumstances/considerations apply for those who work with
children and in respect of referrals for inclusion on PoCA, List 99 or future
Children’s barring List)
o the provider has dismissed the worker on the grounds of misconduct
(whether or not in the course of his employment) which harmed (see note
1) or placed at risk of harm a vulnerable adult (see note2 below).
o the worker has resigned, retired or been made redundant in
circumstances such that the provider would have dismissed them (see
note 3) below , or
o would have considered dismissing them (see note 4 below), on such
grounds if they had not resigned, retired or been made redundant;
o the provider has, on such grounds, transferred the worker to a position
which is not a care position; or
o the provider has, on such grounds, suspended (see note 5 below) the
worker or provisionally transferred them to a position which is not a care
position but has not yet decided whether to dismiss them or to confirm the
transfer.
1) What is harm?
“Harm” is defined as “ill treatment or the impairment of health or (for those with
conditions relating to mental health/learning disability) impairment of
development”.
Harm can include placing vulnerable adults at risk of harm thorough non-action
or neglect or by inciting others to commit harm.
No secrets: Guidance on policies and procedures to protect vulnerable adults
from abuse (Para 2.5) defines abuse as ‘a violation of an individuals human and
civil rights by any other person or persons’ This may consist of a single act or
repeated acts. Paragraph 2.7 describes different forms of abuse under the
following headings:
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Physical abuse
Sexual abuse
Psychological abuse
Financial or material abuse
Neglect and acts of omission
Discriminatory abuse
The No Secrets guidance can be found at www.dh.gov.uk/PoVA.
Derby and Derbyshire’s Policy and Procedures on Safeguarding Adults and
other information on safeguarding in Derbyshire can be found at
http://www.saferderbyshire.gov.uk/staying_safe/protection_of_vulnerable_adults
/
2) Who are vulnerable adults?
The Safeguarding Vulnerable Groups Act 2006 defines a vulnerable adult in
section 59 as being someone who has attained the age of 18 years and over
and where:
they are in residential accommodation
they are in sheltered housing
they receive domiciliary care
they receive any form of health care
they are detained in lawful custody
they are by virtue of an order of a court under supervision by a person
exercising functions for the purposes of Part 1 of the Criminal Justice and Court
Services Act 2000 (c. 43)
they receive a welfare service of a prescribed description
they receive any service or participate in any activity provided specifically for
persons who fall within subsection (9)
payments are made to them (or to another on their behalf) in pursuance of
arrangements under section 57 of the Health and Social Care Act 2001 (c. 15),
or they require assistance in the conduct of their own affairs.
3) Would have dismissed
This covers a situation where allegations of misconduct (which harmed a
vulnerable adult or placed a vulnerable adult at risk of harm) are made against a
care worker and where the individual has, for example, been suspended or
moved to a non-care position whilst the matter is being investigated by the
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provider. As a result of the investigation the provider is satisfied that the care
worker was guilty of the misconduct and that they should therefore be dismissed
or moved to a non-care position, but, before this decision can be communicated
to the care worker, resigns or retires.
The point here is that the provider has reached the conclusion that dismissal
was appropriate in the circumstances. The provider can only come to this
conclusion because they have completed their enquiries into the allegations.
Referrals should be made in these circumstances.
4) Would have considered dismissal
In this situation the provider of care has not had the opportunity to complete their
investigations into the allegations before the care worker retires/resigns. Until
the provider has completed their investigations they cannot conclude, with any
degree of certainty, that they would have dismissed the care worker. Whilst in
such circumstances the provider should attempt to undertake all investigations
open to them it may not be possible to conclude all enquiries. It might prove
impossible to interview the care worker themselves and therefore the provider
may only have one side of the story. In such cases it would be difficult for the
provider to conclude that he would have dismissed the care worker. The
provider could only realistically conclude that they would have considered
dismissing the care worker.
5) Suspended
Individuals who have been suspended on the grounds of harm they have
caused to vulnerable adults, but before decisions have been made to dismiss or
permanently transfer to a non-care position, should be referred to ISA for
consideration.. Two points are important here. First, before a care worker is
suspended, the provider of care should (so far as possible) take steps to
establish, as quickly as possible, that the allegations of harm have some
element of substance. A precipitate suspension and subsequent referral to ISA
that later proves to be based on groundless allegations could cause significant
upset and damage to the care worker and their working relationship with
colleagues and vulnerable adults. Second, even if a care worker is immediately
suspended because the allegations of harm are particularly serious, a referral to
ISA should only be made if the provider of care is reasonably satisfied that the
allegations have some substance.
Where the provider of care has suspended on “neutral” grounds and has not
reached a view on the facts, a referral should be deferred until the facts have
been established. Social Care Institute for Excellence (SCIE) guidance January
2009.
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In respect of the existing PoVA scheme which positions are affected?
a) Care workers employed (paid or unpaid) by registered providers of care
homes, including workers supplied by employment agencies and businesses to
such providers, who are employed in care positions that enable them to have
regular contact in the course of their duties with care home residents; and
b) Care workers employed by registered providers who carry on domiciliary care
agencies, including workers supplied by employment agencies and businesses
to such providers, who are employed in care positions concerned with the
provision of personal care in their own homes for persons who by reason of
illness, infirmity or disability are unable to provide it for themselves without
assistance.
c) Adult placement carers.
NB. The PoVA scheme does not apply to care workers outside the scope of
that listed above. This means that those who work with vulnerable adults in
NHS or independent hospitals, clinics and other facilities, or through an
independent medical agency, or educational facilities are excluded from the
ambit of the PoVA scheme.
Which posts will be affected after 12 th October 2009.
Going forward from the 12 th October, 2009 and for the purpose of this
information sheet under the requirements of the Safeguarding Vulnerable
Groups Act 2006 there will be a duty to refer individuals to ISA regarded to
be undertaking regulated activity – regulated activity being defined as:
1) Any activity of a specified nature that involves contact with vulnerable
adults (or children) frequently, intensively and/or overnight (Such
activities include care, supervision, advice, treatment and transportation)
2) Any activity allowing contact with vulnerable adults (or children) that is a
specified place frequently or intensively. (Such places to include care
homes).
‘Frequently’ is defined as once a month or more
‘Intensively’ is defined as where an activity takes place on three or more days in
any 30 day period; or overnight (between 2am and 6am)
More guidance (including sector specific) is awaited on this area but it is
considered likely that those posts covered under the existing PoVA Scheme
referral arrangements will be regarded as positions undertaking regulated
activities and hence subject to the same referral arrangements.
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Where to go for advice?
Current and updated ISA referral guidance along with that issued by Department
of Health and the Department for Children, Schools and Families is available
through the ISA website at:
www.isa-gov.org
In respect of the social care setting, detailed and helpful guidance produced by
the Social Care Institute for Excellence (SCIE) is also available through the ISA
website or is available at:
www.scie.org.uk
Other advice and information – especially that in regards to the Vetting and
Barring Scheme can be accessed at the CRB website at:-
www.crb.gov.uk
Should you have any queries in relation to this matter do not hesitate to contact
Wendy Holehouse (DCC Safeguarding Vulnerable Adults Manager telephone
07500078349 or wendy.holehouse@derbyshire.gov.uk). Derbyshire County
Council managers should also contact their departmental HR.
Andrew Hambleton Project Manager Safeguarding
David Ingham Senior HR Consultant (Adult Care)
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