Managing Concerns involving a 'Person in Position of Trust' (PiPoT)

Employers, student bodies and voluntary organisations should have clear procedures in place setting out the process, including timescales for investigation and what sources of support and advice will be available to individuals against whom allegations have been made, in accordance with Employment Law.

Any allegation against people who work with adults should be reported immediately to a Senior Manager within the organisation. Employers, student bodies and voluntary organisations should have their own sources of advice (including legal advice) in place for dealing with such concerns.

Such employer investigations may form a Section 42 enquiry. Local authorities’ relevant partners, as set out in section 6(7) of the Care Act, and those providing universal care and support services, should have clear policies in line with those from the Safeguarding Adults Board for dealing with allegations against people who work, in either paid or voluntary capacity, with adults with care and support needs. Such policies should make a clear distinction between an allegation, a concern about the quality of care or practice, or a complaint.

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 (DBS) and the relevant regulatory body (where applicable). 

Sometimes concerns arise for persons who work with adults at risk where an enquiry begins outside of their employment. This may require an assessment of the risk they pose in their work.

The Care Act statutory guidance states that 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 risks to adults with care and support needs who use their services, and if necessary, to take action to safeguard those adults. It will be necessary to notify the Police if a crime has been committed.

Examples of such concerns could include allegations that relate to a person who works with adults with care and support needs who 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 indicated they may pose a risk of harm to adults with care and support needs.

Note: Please refer to your local Safeguarding Adults Board’s Policy on allegations against People in Positions of Trust.

Disclosure to third parties requires an assessment of the person’s Article 8 Human Rights balanced against the potential risk to the adults in the person’s care.

If the concern arises out of a Police investigation, the Police, as holders of all the necessary information should refer the matter to their own Disclosure Unit to determine the relevant statutory provision under which disclosure to other parties can be made.

If the local authority holds the information, for example, if the person concerned is involved in a child protection enquiry, the person concerned should be asked to inform their employers themselves. This will also require an agreed date as to when this will be checked with the employer and the action to be taken by the employer to manage any perceived risk the person presents in their employment.

If the person concerned refuses to inform their employer, then the Local Authority will need to gather all the available information and make a decision on disclosure to the employer against the wishes of the person concerned. This will require liaison with the local authority legal services to ensure any disclosure is legal, proportionate and necessary and is properly defensible, should the person mount a legal challenge against the decision to disclose.

Note: Please refer to your local Safeguarding Adults Board Policy for managing allegations against People in Positions of Trust.

When a person's conduct towards an adult may impact on their suitability to work with or continue to work with children, this must be referred to the Local Authority Designated Officer (LADO) within one day.

Note: Refer to your local authority website for information on how to make a referral.

If a local authority is given information about such concerns they should give careful consideration to what information should be shared with the employer (or student body or voluntary organisation) to enable risk assessment.

Each local authority should seek advice from their legal team about sharing information.

If someone is removed from their role providing regulated activity following a safeguarding incident the regulated activity provider (or if the person has been provided by an agency or personnel supplier) they have a legal duty to refer them to the DBS. The legal duty to refer to the DBS also applies where a person leaves their role before a disciplinary hearing has taken place following a safeguarding incident and the employer/volunteer organisation feels they would or might have dismissed the person based upon the information they hold.

Where appropriate, employers should also report workers to the statutory and other bodies responsible for professional regulation such as the General Medical Council, the Nursing and Midwifery Council and the Health and Care Professions Council.

It is an offence to fail to make a referral without good reason.

The employer organisation should also consider a referral to the relevant professional body if necessary. This may include the Nursing and Midwifery Council, the General Medical Council, the Health and Care Professions Council and Social Work England, are a few examples.

In circumstances where the employer is a regulated service provider (Schedule 1 of the Health and Social Care Act 2008, Regulated Activities Regulations 2014), they should also notify the Care Quality Commission (CQC).

Allegations against a person who works with adults with care and support needs must not be dealt with in isolation.

Any corresponding action necessary to address the welfare of adults with care and support needs should be taken without any delay and in a coordinated manner, to prevent the need for further safeguarding in the future.

The employer will need to follow their own procedures regarding managing allegations, managing risk and seek legal advice appropriately.

Refer to local information sharing protocols where relevant and have due regard to the duty to cooperate under Section 6 of the Care Act.

Local arrangements should be in place to effectively liaise with the Police and other agencies to monitor the progress of cases and ensure that they are dealt with as quickly as possible, consistent with a thorough and fair process.          

Decisions on sharing information must be justifiable, reasonable, and proportionate, based on the potential or actual harm to adults or children, and the rationale for decision making should always be recorded.

The importance of employers complying with their duties to notify the Disclosure Barring Service (DBS) be noted. In particular, the legal duty to refer to the DBS applies where a person leaves their role before a disciplinary hearing has taken place following a safeguarding incident and the employer/volunteer organisation feels they would or might have dismissed the person based on the information they hold.