This chapter outlines the circumstances in which a referral should be made to Adult Social Care in relation to concerns about a person / people in a position of trust. It contains advice for employers / volunteer organisations and student bodies on their responsibilities to assess potential risks posed by a person in a position of trust and if necessary, to take action to prevent abuse or neglect. It also provides guidance as to how and when concerns about a person in a position of trust can be appropriately shared with an employer / volunteer organisation or student body.

RELEVANT CHAPTERS

Safer Recruitment and Employment 

Disclosure and Barring

Whistleblowing

RELATED GUIDANCE

Managing Allegations Against Staff (North East NHS)

Amendment  – In January 2023, this guidance was reviewed throughout and extensively updated. The appendices which contain the PIPOT referral form, additional guidance and templates have also been updated.

1. Introduction

This guidance has been created to support implementation of the requirements in the Care and Support Statutory Guidance that deal with ‘allegations against people in a position of trust’ (paragraphs 14.120 to 14.132). This guidance is designed to be read in conjunction with the statutory guidance and relevant information sharing guidance/ legislation.

The Care Act 2014 recognises that safeguarding concerns are not always in relation to the safety and wellbeing of an individual, but rather they relate to the possible risk posed more widely by a person in a position of trust to people with care and support needs.

Where a person is experiencing or is at risk of abuse, the online multi-agency safeguarding adults policies and procedures should be followed (see How to Report a Concern). The purpose of the online multi-agency safeguarding adults policies and procedures is to provide guidance for organisations to work together, and with one or more specific people at risk of abuse, to support them to be safe.

In both cases, this guidance will be relevant in supporting the work of all agencies to prevent abuse and neglect. Its purpose is to:

  • Explain the circumstances in which a referral can and should be made to Adult Social Care at South Tyneside Council in relation to concerns about a person / people in a position of trust;
  • Advise employers / volunteer organisations and student bodies of their responsibilities (as set out in the Care Act 2014) to assess potential risks posed by a person in a position of trust to those who use their services, and if necessary, to take action to prevent abuse or neglect;
  • Provide guidance as to how concerns about a person in a position of trust can be appropriately shared with an employer / volunteer organisation or student body to prevent abuse or neglect.

This guidance is designed to inform and support the decision making of Partnership member organisations and wider partner agencies once they become aware of a concern within the scope of this guidance.

2. Scope of this Guidance

For the purposes of this guidance:

A person in a position of trust is an employee, volunteer or student who works with adults with care and support needs. This work may be paid or unpaid

The nature of the concerns about a person in a position of trust or the risk they may to post to adults with care and support needs may be varied and wide ranging.

Examples of such concerns could include allegations that the person in a position of trust has:

  • behaved in a way that has harmed, or may have harmed an adult or child
  • possibly committed a criminal offence against, or related to, an adult or child
  • behaved towards an adult or child in a way that indicates they may pose a risk of harm to adults with care and support needs.

(Care and Support Statutory Guidance, paragraph 14.123)

Such incidents may have occurred within the person’s home / personal life, as well as within their employment, volunteering role or studies. Wherever it has occurred however, there is now a potential risk to adults with care and support needs.

3. Referrals / Pathways: Person / People in Positions of Trust

3.1 Safeguarding Adults Concerns

Please note: if you have concerns that a specific person with care and support needs it as risk or is experiencing abuse or neglect, follow the South Tyneside Multi Agency Safeguarding Adults Policies and Procedures

Report your concerns by contacting:

0191 424 6000 (Monday to Thursday – 8.30am to 5pm, Friday 8.30am to 4.30pm)

0191 456 2093 (outside of the above office hours).

3.2  People in Position of Trust Concerns

A person in a position of trust is an employee, volunteer or student who works with adults with care and support needs. This work may be paid or unpaid.

Examples of such concerns could include allegations that they have:

  • behaved in a way that has harmed, or may have harmed an adult or child
  • possibly committed a criminal offence against, or related to an adult or child
  • behaved towards an adult or child in a way that indicates they may pose a risk of harm to adults with care and support needs.

3.2.1 What you should do

If you are an organisation i.e. employer, volunteer manager, student body, of the person in a position of trust; you must assess and manage risk as set out in this guidance. If the person also works with another organisation, you will need to consider the need to share information to also protect people within that service (See Section 6, Information Sharing).

If you are not the person’s employer, volunteer manager, student body, or the concerns are in relation to a personal assistant, employed by a person with care and support needs; or if you need additional advice and support in relation to people in positions of trust concerns contact the South Tyneside PIPOT Lead by emailing safeguardingadults@southtyneside.gov.uk  to request a referral form or for someone to call you back to discuss the case.

See Appendix E for the PIPOT Referral Form.

4. Responsibilities of Employers / Volunteer Organisations and Student Bodies

The Care and Support Statutory Guidance sets out the responsibilities of employers:

  • The local authority’s relevant partners[1], as set out in Section 6 (7) of the Care Act 2014, and those providing universal care and support services[2], should have clear policies in line with those from the safeguarding adults board for dealing with allegations against people who work, in either a paid or unpaid capacity, with adults with care and support needs (Section 14.120)
  • Where such concerns are raised about someone who works with adults with care and support needs, it will be necessary for the employer (or student body or voluntary organisation) to assess any potential risk to adults with care and support needs who use their services, and, if necessary, to take action to safeguard those adults (Section 14.122)
  • Employers, student bodies and voluntary organisations should have clear procedures in place setting out the process, including timescales, for investigation and what support and advice will be available to individuals against whom allegations have been made (Section 14.126)
  • Employers, student bodies and voluntary organisations should have their own sources of advice (including legal advice) in place for dealing with such concerns (Section 14.126)
  • …action necessary to address the welfare of adults with care and support needs should be taken without delay and in a coordinated manner, to prevent the need for further safeguarding in future (Section 14.128)
  • If an organisation [permanently] removes an individual (paid worker or unpaid volunteer) from work with an adult with care and support needs (or would have, had the person not left first) because the person poses a risk of harm to adults, the organisation must make a referral to the Disclosure and Barring Service. It is an offence to fail to make a referral without good reason (Section 14.127. Italics comment added)

Each organisation must therefore ensure they have policies and procedures in place that enable them to respond to concerns about people in positions of trust. This must include arrangements for raising concerns to the local authority in accordance with the multi-agency safeguarding adults policies and procedures where this is appropriate, as well as the management of concerns within their own organisation.

Employers and student bodies are responsible for working with the person in a position of trust to understand the issues, assess any risk in the context of their service; and take appropriate actions that safeguard people who use their services. This will include supporting the person in position of trust to understand the process being followed and decisions reached in accordance with the organisations policies.

Only an employer has the power to suspend an employee, redeploy them or make other changes to their working arrangements, and so must be responsible and accountable for the decisions reached.  Actions taken should take into account their own internal policies and procedures, their responsibilities to provide safe services, and employment law.  According to the nature of the concerns raised, and employer/volunteers organisation/student body may also have a responsibility to inform overseeing bodies according to their requirements, such as:

[1] Relevant partners include NHS bodies, chief officer of the police, relevant provider of probation services.

[2] Universal care and support services will include those services available to all, such as leisure and housing services, preventative services, as well as services provided in relation to the care and support needs of adults.

5. Guidance for the Local Authority

5.1 Concerns about a person in a position of trust

If the local authority is given information about concerns that do not relate to the safety of identified adults with care and support needs, but rather the potential risk posed by a person in a position of trust, use of multi-agency procedures will not usually be the way to respond to the concerns.

In these situations, this people in positions of trust guidance will need to be followed:

Where the concern is raised by an employer, volunteer manager or student body: 
  • The local authority may need to signpost agencies to this guidance for them to take precautionary actions as appropriate in relation to identified risks.
  • Employers, volunteer managers and student bodies would need to be responsible for taking actions within this guidance as set out in Section 4, Responsibilities of Employers / Volunteer Organisations and Student Bodies.
  • Employers, volunteer managers and student bodies that are raising concerns will often be best placed to share information with another employer, volunteer manager or student body, if it is so justified and necessary to do so as set out in Section 6, Information Sharing. There may, however, be circumstances where the local authority is best placed and so this decision will need to made on a case by case basis.
Where the concern is not raised by an employer, volunteer manager or student body:
  • The local authority will need to determine whether it is justified and necessary to share the concerns with an employer, volunteer manager or student body as set out in Section 6, Information Sharing.
  • The local authority may need to signpost agencies to this guidance, for them to take precautionary actions as appropriate in relation to identified risks.
  • Employers, volunteer managers and student bodies would need to be responsible for taking actions within this guidance as set out in Section 4, Responsibilities of Employers / Volunteer Organisations and Student Bodies.
Where the person in a position of trust is a personal assistant, employed by a person with care and support needs, the local authority may need to provide the employing individual with additional support to understand and manage the risks effectively and to access appropriate support.

5.2 Working within the multi-agency safeguarding adults procedures

Where the concern involving a person in a position of trust relates to an identified person or people with care and support needs, use of the multi-agency safeguarding adults policies and procedures will usually be appropriate.

In such a situation:

  • The people in positions of trust practice guidance should be followed alongside the multi-agency safeguarding adults policies and procedures.
  • Employers, volunteer organisations and student bodies retain responsibility for actions as set out in Section 4, Responsibilities of Employers / Volunteer Organisations and Student Bodies.
  • to prevent abuse or neglect in their setting.
  • If, during the course of working within the multi-agency safeguarding adults policies and procedures, it is identified that the person in a position of trust may pose a risk in another setting, there will need to be a consideration as to which agency is best placed to share information as may be required with other employers, volunteer managers or student bodies to prevent abuse or neglect (see Section 6, Information Sharing). This will need to be on a case-by-case basis, taking into account the need to assess the risk and engage with the person in a position of trust as set out in this guidance.

6. Information Sharing

Where an organisation has information relating to the risk posed by a person in a position of trust, they have a responsibility to consider whether this information needs to be passed on to ensure risks are appropriately considered and managed.

Each organisation is individually responsible for ensuring that concerns relating to a person in a position of trust are shared, where necessary and appropriate, with other organisations to prevent abuse and neglect.

The potential need to share information with an employer / volunteer organisation or student body will be indicated when there is a reasonable cause to suspect that a person in a position of trust may pose a risk to adults with care and support needs within another service. This may include situations such as where:

  • a member of staff has been suspended pending a disciplinary or safeguarding enquiry, and who is known to be carrying out a similar role working within another organisation where they are assessed as potentially posing an immediate risk to others.
  • a member of staff has been dismissed due to their behaviour towards adults with care and support needs, and is also known to be undertaking professional training, for example, as a social worker or as a health professional.
  • an employee’s role and responsibilities have been changed in response to dangerous practice, but they continue to have a similar role within another organisation, where they may pose a risk to people who use that service.

Public bodies or organisations commissioned by them should be considered to be undertaking a public task as a lawful basis for sharing information. Other agencies not fulfilling public tasks should consider relying on legitimate interests as a lawful basis for sharing information.

Even where you do not have consent to share confidential information, you may lawfully share it in the public interest. Seeking consent should be the first option. However, where consent cannot be obtained or is refused, or where seeking it is inappropriate or unsafe, the question of whether there is enough public interest must be judged by the practitioner on the facts of each case. Therefore, where you have a concern about a person, you should not regard refusal of consent as necessarily precluding the sharing of confidential information.

A public interest can arise in a wide range of circumstances, for example, to protect children from significant harm, protect adults from serious harm, promote the welfare of children or prevent crime and disorder. There are also public interests which may, in some circumstances, weigh against sharing, including the public interest in maintaining public confidence in the confidentiality of certain services.

In both cases however, the judgement to be made is the same. In deciding whether sharing the information is justified and necessary, a professional judgement will be required based upon balancing the safety and needs of those potentially at risk, and the rights of the employee / volunteer or student as described below:

  • A fair balance must be struck between the rights of the person in a position of trust to privacy and the interests of those at risk of abuse and neglect. This requires a careful assessment of the severity and consequences of the interference in the life of the person in a position of trust and the risk posed to others.
  • The risks to adults with care and support needs must be sufficient to justify interfering with the person in a position of trusts’ right to privacy. The consideration is therefore one of proportionality – there should be a need for the disclosure in order to protect adults with care and support needs.

Ask yourself: is this sharing of information fair? I.e. is sharing this information something people would reasonably expect you to do in these circumstances?

  • If it is reasonably believed that the sharing of information will achieve the aim of preventing abuse or neglect, there should be no more interference in the person’s right to privacy than is necessary to achieve this aim.

Ask yourself: Am I only sharing information that it is necessary to share? You should always ensure you share no more information than is necessary to achieve your purpose.

It will be important to record your judgement, your reasons for sharing or not sharing the information, the factors you have considered and why you have give weight to some factors more than others. The recording templates (Appendix H – Template Minutes for Planning Meeting and Appendix I – Template Minutes for Case Closure Meeting can be used where it is helpful, to support decision making and the recording of decisions).

6.1 Consent and involvement of the person in a position of trust

Unless wholly impractical, before disclosing information to another employer, volunteer manager or student body, there is a need to consult with the person whose information is to be shared. This will give them the opportunity to respond to the concerns and make representation on the need to share the information.

If it is assessed as justified and necessary for the employer to be informed of the concerns / allegations, the person in a position of trust may wish to inform the employer / volunteer organisation / student body themselves.

If this is the case, their wish should be respected, but it will still be necessary to contact the employer / volunteer organisation / student body to subsequently check that relevant information has actually been passed on. It should be made clear to the person in a position of trust that this is required.

Whilst it is important to work with the person in a position of trust and seek their agreement to share information wherever possible, consent will not always be considered a lawful basis to share information in such situations. Consent must be freely given, specific and informed and the imbalance of power in such situations may mean that it cannot always be relied upon. In such cases, decisions need to be proportional to the concern as set out above.

However, this does not preclude in any way the responsibility to consult with the person in the position of trust unless it is wholly impractical to do or may place someone at risk.

7. Working with the Local Authority Designated Officer (LADO)

If there is concern that a person in a position of trust may, in the course of their work, pose a risk to child or young person under the age of 18 years, then the local authority designated officer should be notified and actions taken within the LADO process.

Sometimes, however, the risk may relate to both children / young people and adults. In such cases, there will be a need for organisations and safeguarding leads to consider their responsibilities under both this guidance and the LADO process.

For more information about the LADO and referral information:

Email: LADO@Southtyneside.gov.uk

Tel: 0191 424 6293

8. Record Keeping

Recording of discussions, decisions and disclosures are essential, and each organisation must ensure that it has process for recording this information in accordance with their own policies and any legal requirements.

Templates are available in the appendices:

Appendix H – Template Minutes for Planning Meeting

Appendix I – Template Minutes for Case Closure Meeting

9. Illustrative Examples

The examples below show how to apply this the guidance as part of an organisation’s management process:

Example 1 – John and Mary

Example 2 – Tina

Example 3 – Emma

Appendix A – Flowchart: Managing Concerns and Allegations Against People who Work with Adults with Care and Support Needs

Appendix A – PIPOT Flowchart

Appendix B – Best Practice Guidance when Deciding to Disclose Information.

Appendix B – Best Practice when Deciding to Disclose Information

Appendix C – Position of Trust Risk Balance Sheet

Appendix C- Position of Trust Risk Balance Sheet

Appendix D – Factors to Consider Regarding PIPOT Notifications

Appendix D – Factors to Consider Regarding PIPOT Notifications

Appendix E – PIPOT Referral Form

Appendix E – Allegations Against People who Work in Positions of Trust with Adults Referral / Reporting Form

Appendix F – Template Agenda for Planning Meeting

Appendix F – Template Agenda for Planning Meeting or Planning Discussion

Appendix G – Template Agenda for Case Closure Meeting

Appendix G – Template Agenda for Case Closure Meeting

Appendix H – Template Minutes for Planning Meeting

Appendix H – Template Minutes for Planning Meeting or Planning Discussion

Appendix I – Template Minutes for Case Closure Meeting

Appendix I – Template Minutes for Case Closure Meeting

 

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