Safeguarding Portal – Workforce Perspective

When a concern arises

1.Introduction

This section focuses on the period immediately surrounding a concern or allegation being raised. It draws together some keys steps and important principles to be aware of. As these are interrelated, it is best to read this guidance in its entirety in order to obtain a complete picture.

This information applies equallyto employees, casual workers and volunteers, except where otherwise stated.

There may be up to three possible processes involved in responding to a concern or allegation which may run concurrently:

  • a police investigation of a possible criminal offence.
  • enquiries and assessment byHampshire County Council’sSafeguarding Teams about whether a child or adult is in need of protection/support
  • for employees only - an internal employment investigation which may lead to action being taken under the Managing Misconduct or Managing Performance policy

2.How a concern may arise

A concern may arise through a variety of channels. Initially, the information may not present as a safeguarding issue so it is important to maintain a level of awareness and identify as early as possible when a concern may be of a safeguarding nature. Safeguarding concerns are not solely restricted to instances of misconduct, levels of competence, including performance and ill health, can also impact upon a worker’s fitness to practice and in turn could present a safeguarding concern. Concerns relating to conduct, both inside of and outside of work, may be relevant to a worker’s fitness to practice.

2.1The following are possible channels through which a concern may be raised:

  • incident within the working environment
  • self disclosure – relating to an incident within the working environment or within a worker’s personal life
  • positive disclosure through a DBS check / re-check (previously known as a CRB check), this includes a check of the barred lists
  • at the point of re-registration with a professional body
  • notification via Notifiable Occupation Scheme
  • notification via another employer or organisation
  • notification via a colleague or member of the public relating to a concern outside of work
  • social networkingor social media
  • Whistleblowing Policy
  • complaint made by a service user or relative / carer

3.Safeguarding Teams

When a concern or allegation arises the local departmental safeguarding procedures should be followed to ensure any necessary actions are taken to safeguard the child or adult. This will include the duty to notify the LADO or local safeguarding adults co-ordinator before any other action is taken.

In situations where the manager is uncertain whether there is cause for concern, advice should always be sought from the LADO or the adults safeguarding enquiry line.

3.1The LADO should be involved in all cases in which it is alleged that a person who works with children has:

  • behaved in a way that has harmed, or may have harmed a child
  • possibly committed a criminal offence against, or related to, a child or
  • behaved towards a child in a way that may indicate that s/he is unsuitable to work with children.

3.2The LADO or local safeguarding adults co-ordinator should be involved in the management and overseeing of individual cases or allegations and will provide advice and guidance on cases in liaison with key experts. The LADO / local safeguarding adults co-ordinator will monitor the progress of cases to ensure that they are dealt with as quickly as possible, consistent with a thorough and fair process.

4.Initial Assessments

Whilst there is often a need to deal with safeguarding concerns promptly, care should be taken to consider the circumstances and adopt a planned response. Some allegations will appear so serious that they require immediate referral to the police and social care, in which case it will not be appropriate to immediately commence an employment investigation. Care should be taken not to compromise any police investigation by informing the worker and giving them an opportunity to destroy evidence. Other cases may present as less serious and may not appear to warrant police consideration but the seriousness of the case should be regularly reassessed.

4.1Two forms of initial assessment need to take place:

  • the first is undertaken by the LADO / local safeguarding adults co-ordinator to consider their actions and if liaison with social care and the police is required
  • the second is in relation to the employment context to ascertain if the concern has an impact on the worker’s role.

4.2For the second assessment the manager, in liaison withthe LADO / local safeguarding adults co-ordinator and HR Operations, should take into consideration the:

  • nature of the concern
  • severity
  • degree of contact, either direct or indirect, a worker has with children and adults.
  • whether Hampshire County Council was previously aware of the concern, for example through a previous DBS / CRB check or the notifiable occupation scheme.
  • any previous concerns of a safeguarding nature relating to the worker, whether substantiated or not, as they may form part of a relevant pattern of behaviour.
  • negative impact the concern may have on the reputation of Hampshire County Council.

4.3There may be instances where the concern arises in a worker’s personal life, either directly or regarding someone to whom they are closely associated. In this circumstance itmaystill be of relevance because someone who is closely associated with a worker may use this access in an inappropriate manner for their own advantage.

4.4The initial assessment is not a ‘preliminary enquiry’ as detailed within the Managing Misconduct Policy, but an assessment of the known circumstances. Investigation of any kind at this stage could adversely affect a police orsafeguarding investigation and must not be undertaken without first liaising with the police or the LADO / local safeguarding adults co-ordinator.

4.5Where a concern has been raised through a DBSre-check this initial assessment will be recorded via the “Positive disclosure form” and for the Notifiable Occupation Scheme, via the NOS Positive Disclosure Decision Sheet.

5.Multiple employment / working

It is not uncommon for employees or casuals to have more than one employment relationship with Hampshire County Council. This can include a combination of employment contracts, casual agreements and volunteer agreements. These may exist within a single department, across multiple departments and also between departments and schools.

5.1Following a concern or allegation being raised, the manager in consultation withan HR Operations caseworker and the LADO / local safeguarding adults co-ordinator should identify whether the worker undertakes other roles elsewhere in Hampshire County Council. If so, an assessment should be made onwhether the concern or allegation should be shared with the second manager, as it is not automatic.

5.2The assessment needs to consider whether:

  • there is a transferable risk - by looking at how the concerns may be relevant to the secondary role and the degree of contact, either direct or indirect, a worker has with children and adults in this secondary role
  • the severity of the concern and whether it amounts to possible gross misconduct

5.3Where a transferable risk and/or gross misconduct is identified, this may establish that it is appropriate to share the information in the interests of safeguarding children and adults.

5.4Caution must be exercised where a concern has arisen due to a DBS check/re-check that is only required for one role and not the other. The Rehabilitation of Offenders Act 1974 protects candidates/employees from information being sought on criminal offences where it is not a requirement of the role.

5.5This is a complex area of employment law which will need to be considered on a case by case basis by the department in liaison withthe LADO / local safeguarding adults co-ordinator, HR Operations and the Employment Law Team. If the worker’s second role is within a school environment, contact should also be made with Education Personnel Services.

6.Police

In circumstances where there has been an incident in work there may be grounds to make a referral to the police. This will usually be made by the LADO / local safeguarding adults co-ordinator or the manager in consultation with the child / service user and / or their family / carers.

6.1Hampshire County Council will seek to support the police with their enquiries and facilitate the collection of evidence. The manager and / or LADO / local safeguarding adults co-ordinator will maintain contact with the police to keep informed of progress. The presence of a police investigation will be kept confidential in the interest of fairness to the worker.

6.2Upon completion of the police investigation, the police in conjunction with the Crown Prosecution Service will decide whether any criminal action will be pursued. The CPS follow their own guidelines on whether to charge an individual following police investigation. The CPS ‘charging decision’ is based on a higher standard of evidence, public policy considerations and matters related to the police investigation. A decision of the CPS not to charge does not mean there are no grounds to proceed with aninternal employment investigation. Hampshire County Council will still have a duty to conclude its own procedures and investigations and make any necessary referrals.

6.3Often apolice investigation will take precedence over any internal safeguarding or employmentinvestigation. As such an internal employment investigation (including a preliminary enquiry) will not usually commence until discussed with the policeand the LADO / local safeguarding adults co-ordinator at the safeguarding meeting. The police may request any internal employment investigation does not commence until the police matter is concluded.

6.4In some circumstances the police action can take a considerable period of time. While it may not be appropriate to conduct an internal employment investigation it may be necessary to consider whether suspension or any other formal employment action is appropriate. Advice can be obtained from an HR Operations caseworker.

7.Notifying the worker of a potential concern

When a concern arises of a non-safeguarding nature it is normal practice to inform the worker who is the subject of the concern, however concerns of a safeguarding nature must be approached differently. This is because informing the worker too early in the process may provide them with the opportunity to speak with other parties or remove or change any evidence.

7.1Police investigation:

It is the responsibility of the police to inform a worker that a concern or incident has been reported to them and that it is being investigated as a police matter. The police will often request that they are the first party to interview the worker.

The police should continue to liaise directly with the worker regarding the progress of the police investigation and anydecisions taken on next steps.

7.2Internal employment investigation:

The point at which an employeecan be informed of an internal employment investigation must be agreed between the relevant parties including the police (where there is police involvement) and theLADO / local safeguarding adults co-ordinator. The process followed to notify an employee of an employment investigation is in accordancewith the relevant procedure. It is recognised that being the subject of a safeguarding allegation can be very distressing and therefore Hampshire County Council is committed to providing the worker with supportthrough the Health and Wellbeing Counselling Team

8.Instruction to stay away from work / Suspension

In cases of serious alleged misconduct or incompetency, it may be appropriate to instruct a worker to stay away from work for a short period of time whilst the facts are established. However, doing so will inevitably alert the worker that something is wrong and therefore must be part of a co-ordinated approach with the LADO / local safeguarding adults co-ordinator and the police. In very exceptional circumstances the safeguarding lead or the policemay request a worker remains in the workplace.

8.1Where a worker has been instructed to stay away from work, this may run parallel to the initial stages of a police investigation.

8.2Where the concern relates to an employee, once it has been discussed and agreed by the LADO / local safeguarding adults co-ordinatorand the police that an internal employment matter can proceed, and an internal preliminary investigation has been concluded,then a meeting will be held with the employee to put the known facts to them so they can respond: a decision will then be taken on whether formal suspension from duty is appropriate. This will be held as soon as possible and in line with the Misconduct Policy, however it is recognised that where there is a police enquiry this will take precedence over the employment investigation.

8.3Further guidance on suspension can be found theManaging misconduct policyorManaging Performance. Alternatives to suspension must also be considered and guidance is contained in theManaging misconduct - managers' how to guide.Prior to suspension, advice must be sought from an HR Operations caseworker and the necessary authorisation obtained.

9.Safeguarding Meetings

9.1Children’s Services

The LADO will facilitate a safeguarding strategy meeting or discussion at which further action and risk management will be considered. The strategy meeting will be attended by the LADO, lead officers in social care, the police, the manager and a representative from HR Operations. A review meeting will be arranged at the initial strategy meeting.

9.1.1The strategy meeting (preferably with a dedicated minute taker) must:

  • review any previous allegations made against the worker and the establishment
  • decide whether there should be a Section 47 (Child Protection) enquiry and/or an internal disciplinary investigation
  • consider the implications arising from the police decision whether or not to investigate an allegation of crime
  • consider, if a Section 47 Enquiry is appropriate, whether a complex abuse investigation is applicable
  • scope and plan the Section 47 Enquiry
  • allocate tasks
  • set time-scales

9.1.2The strategy meeting must also consider the employment relationship and:

  • recommend to any employing agency or responsible authority the action required to protect the interests of children while enquiries are conducted, including any staff transfer, suspension or removal (such action is the responsibility of the employing/responsible agency and is to be taken in the light of details of the individual case and in accordance with HR policies agreed with trades union or work place representatives)
  • consider linkage and impact on industrial relations, personnel issues, professional registration and complaints issues
  • identify anyinformation to be shared with the subject of the allegation
  • agree on management of any anticipated media interest
  • set a date for a further strategy meeting (preferably within one month of the referral being received with a view to concluding the enquiry as soon as possible).

9.1.3Notes of the strategy meeting should be approved by the chair and circulated to all participants within five working days.

9.1.4Further information relating to strategy meetings is contained within chapter 5.2 section 11 of the Hampshire Local Safeguarding Children Boards (4LSCB) procedure.

9.2Adult Services

Adult Services will facilitate a safeguarding strategy meeting or discussion at which further action and risk management will be considered. The strategy planning meeting will be attended by lead officers in social care, the police, the team manager and other relevant parties. If the allegation concerns a Hampshire County Council employee, the HROperations team should always be informed about the situation and a caseworker invited to the Strategy Meeting. A case conference meeting will be arranged at the initial strategy meeting.

9.2.1The strategy planning meeting/discussion will:

  • consider consent and capacity issues
  • consider legal powers potentially available to protect the alleged victim
  • agree an action plan identifying what will be investigated and by whom
  • record decisions, actions and timescales agreed
  • inform Service Manager of outcome
  • seek service user views of the outcomes to be achieved

9.2.2Safeguarding adults meetings are multi-agency meetings and are attended by a range of professionals from different organisations. Safeguarding adults meetings are held so that information can be shared on a multi-agency basis about concerns of abuse, neglect or exploitation of adults. It is a joint responsibility of all those in attendance to share all relevant information and participate in assessing risk.

9.2.3Sometimes meetings are attended by the alleged victim and/or their representative. For everyone’s benefit it is important that when information is given, that this is given in Plain English and avoids jargon. Everyone should feel included, and able to contribute in safeguarding adults meetings. It is also important that other people’s views are respected.

9.2.4The alleged perpetrator is not usually invited to the safeguarding adults meeting.

9.2.5A professional attending the meeting is expected to:

  • share information about the concerns of abuse, neglect or exploitation. This may be information relating to the alleged victim and/or the alleged perpetrator and/or the nature of the concerns
  • ensure there is discussion about the interface between the misconduct (disciplinary) and safeguarding procedures.Give views on what the safeguarding adults/HR risks are and contribute with actions to manage those risks. Risk management is a crucial part of the safeguarding adults meeting and all attendees have a responsibility and accountability to ensure this is completed effectively
  • understand and complete actions agreed at the meeting within the defined timescales. There is no need to wait to receive a copy of minutes before completing any actions. If an action(s) cannot be completed within the agreed timescalethe chair should be notified as soon as possible
  • participate in multi-agency decision making. It is everyone’s responsibility to agree all decisions made and to ensure that risks are managed as far as they possibly can be.This is not solely down to the chair of the safeguarding adults meeting; it is a shared responsibility and accountability
  • an organisation or agency, either where alleged abuse has occurred or employing a member of staff who is alleged to have perpetrated abuse, may be asked to complete an investigation into the concerns.

9.2.6Adult Safeguarding procedures are separate from HR policies such as misconduct or performance. In some circumstances, where this has been agreed through discussion at a strategy meeting, there may be occasions where HR policies such as managing misconductmay be progressed to avoid delay. This will be on those occasions where it is clear there will be no detrimental impact upon the Adult Safeguarding Investigation process or procedure, i.e. in large scale investigations involving a number of different and unrelated allegations against a number of individuals.

9.2.7If misconduct action is pursued the managing misconduct investigating manager should use as much information as possible from the safeguarding investigation to avoid duplication. If necessary the Adult Safeguarding investigating officer will be called as a witness to the misconduct hearing.

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