SCIE Guide 12: Making referrals to the POVA list

Deciding to make a POVA list referral - Introduction

Key questions for employers and adult placement organisers

• Have you agreed who can make POVA referrals in your organisation?
• Are you eligible to make referrals?
• Is the person you want to refer eligible for referral?
• Has there been misconduct causing harm or risk of harm to a vulnerable adult?
• Will the worker be dismissed, or have they already been dismissed on these grounds?
• Will you make the referral before or after your disciplinary procedure is completed?

Expectations

• The only persons or agencies allowed to make POVA referrals are employers and managers, the Commission for Social Care Inspection (CSCI) until March 2009, the Care Quality Commission from April 2009, the Care and Social Services Inspectorate for Wales (CSSIW) and the Secretary of State for Health.  The primary responsibility for making referrals rests with employers, but CSCI/CQW/CSSIW will make the referral so where the employer is unable to do so, for example where the employer is the subject of an investigation for abuse.
• Employers and managers (or CSCI/CQW/SSSIW) can refer care workers, volunteers and approved carers who have regular contact with vulnerable adults in registered care homes, registered adult placements or service users’ homes when they are receiving domiciliary care from a registered domiciliary care agency. They make referrals when a person in a care position has been dismissed, transferred or suspended on grounds that they have caused harm or a risk of harm to a vulnerable adult or where they have resigned retired or been made redundant and would otherwise have been dismissed or considered for dismissal on those grounds.
• The referral is usually made when disciplinary action is being considered where a person in a care position is suspended for misconduct which caused harm or risk of harm to a vulnerable adult, or where a person is dismissed or has otherwise left employment in a care position. For adult placement carers, decisions to refer relate to the withdrawal of a carer’s approval to provide adult placements.

Practice overview

The primary aim of the POVA list is to protect vulnerable adults from harm. However, banning an individual from working in care positions is a serious matter, which from January 2009 is decided by the Independent Safeguarding Authority (ISA).

The POVA referral procedure is designed to help employers and managers make efficient and accurate referrals, while protecting the rights and well-being of vulnerable adults, other staff and the individual who is referred. In most cases, the only decision an employer must make is to inform the ISA when an individual has been dismissed on the relevant misconduct grounds1 been dismissed or has been suspended or has been moved to a non-care position.  Adult placement scheme managers do this when a carer’s approval has been terminated for misconduct under these circumstances.  Suspension of a care worker solely on the grounds of a policy of doing so whenever an allegation is made will not require a referral unless or until the provider continues such a suspension or transfer on the grounds of relevant misconduct. In this case  the provider should make clear to the worker that the grounds of the suspension/transfer are now misconduct harming or placing at risk of harm a vulnerable adult. This situation may arise at the end of investigatory and disciplinary proceedings.

At all stages, the employer or manager should take any necessary immediate action to protect and support the vulnerable people in their care. This should not be confused with making a POVA referral. That protects vulnerable people in the future by banning the referred individual from ever doing care work again. In itself, the POVA referral is no substitute for effective action at the time of the allegation.

Employers and managers should offer support to staff who report colleagues for suspected misconduct. It is expected that such staff will be covered by local policies for adult protection and whistle blowing. Having a robust procedure will also protect individuals from false or malicious allegations. Employers and managers should support witnesses, helping them to make full statements.

This area can be highly charged, sensitive and complex. Employers are encouraged to seek advice from local adult protection teams, CSCI/CSSIW and the POVA/ISA team. misconduct which harmed or placed at risk of harm a vulnerable adult (s.82(2) CSA 2000)

Practice points in this section:

• Who can refer to the POVA list?
• Who can be referred to the POVA list?
• Grounds for referral
• When to make a POVA referral

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