SCIE Practice guide 7: Making referrals to the POVA list

POVA referral for adult placement

This section outlines key practice points for adult placement schemes in making referrals to the POVA list. While the referral procedure is basically the same as for other services, some differences arise due to the nature of adult placement services; these are summarised here. All other sections of this report apply to adult placement.

Adult placement schemes operate in a similar way to fostering agencies in recruiting, assessing, approving and supporting individuals and families - known as 'Adult Placement (AP) Carers' - who provide a range of services to people who need support to live in and take part in their community.

Adult placement services differ from other services under the POVA scheme because scheme managers are not the employers of the AP carers and because AP carers are approved rather than employed.

POVA referral for adult placement - explained

The Protection of Vulnerable Adults (POVA) scheme is a list of people who are banned from working with vulnerable adults in registered care services in England and Wales. AP carers who work with vulnerable adults aged 18 years or over in registered adult placement schemes are eligible for referral to the POVA list. This means all those working in registered placement schemes who see clients, including:

• adult placement scheme managers and organisers
• administrative, finance and clerical staff
• adult placement carers.

In the POVA scheme, the definition of 'employment' is intentionally wide, including both paid and unpaid work and self-employed AP carers. In this context, the term 'employer' or 'manager' means anyone who directs and supports self-employed care workers or AP carers.

AP carers are not dismissed but have their approval as an adult placement carer terminated. The decision to terminate this approval is made by an independent panel, based on reports from scheme workers.

Adult placement scheme managers must make a referral to the POVA list whenever an AP carer is reasonably considered to be guilty of misconduct that has harmed vulnerable adults or has placed them at risk of harm.

Developing local policies and robust procedures

For adult placement schemes, there must be clear procedures for investigating and terminating AP carers' approval in cases of misconduct relating to the harm of vulnerable adults. These may involve agreements with local adult protection units and should complement local policies.

The adult placement scheme should agree a protocol with the relevant local authority's adult protection team or nominated lead person that clarifies:

• the roles of the adult protection team and/or care managers and the roles of the scheme and worker in the case of an allegation of abuse against an AP carer
• the relationship between the local authority investigation process and the scheme's internal process.

The adult placement scheme should ensure that adult placement is recognised and included in the local authority's adult protection protocols developed in line with No secrets (2000) guidance (PDF file). Detailed advice is available in the National Association of Adult Placement Services (NAAPS) good practice guidance for cases of allegations of abuse against AP carers.

For adult placements, carers found guilty of misconduct relating to harm of a vulnerable adult will have their approval terminated by an independent panel. The panel should base any decision about the continuing approval of the AP carer on:

• an up-to-date carer review report
• the report of the investigation, including any conclusions and recommendations made
• evidence from the AP carer.

See NAAPS good practice guidance for the process following an allegation.

In all social care services, and particularly small ones, such proceedings can make a great impact, both on service users and on other staff. In adult placements, for example, an investigation can be devastating for the carers and can irretrievably damage the relationship with the specific vulnerable adult so that the placement is lost even where the carers have been cleared of the allegations. This can also impact on other people in the placement, even where there has been no concern about their care.

According to the good practice guidance issued by NAAPS, when there has been an allegation against an AP carer, the safety of the person in the placement is paramount and any allegation should be carefully and rigorously investigated. However, it is important that this response is not in itself abusive and does not damage a good placement beyond repair. The impact of an allegation of abuse on the relationship between the person making the allegation and the AP carer should not be underestimated.

Who makes POVA referrals?

In cases of misconduct relating to the harm of vulnerable adults, adult placement scheme managers are responsible for making POVA referrals.

Grounds for referring AP carers to the POVA list

The criteria for referring AP carers are:

• where the AP carer's approval has been, or would have been, terminated because of misconduct causing harm or a risk of harm to a vulnerable adult
• where a placement has been suspended pending further investigation
• where a placement has been suspended or the carer's approval is terminated after the AP carer has been charged by the police with offences against vulnerable adults.

Timing of referrals

A POVA referral is usually made only when the scheme's own investigations are concluded. Where the offence is very serious, a referral can be made when a carer is suspended, in which case they may be provisionally listed until the outcome is clear. As with employed staff, POVA referrals are quite separate from the approval procedures of the adult placement scheme; they flow from the process but do not influence it.

For adult placement schemes, the investigation is usually led by the local social services' adult protection staff, and the adult placement scheme staff will be informed of interim and final conclusions. In these cases, agreement should be reached about the timing of any POVA referral.

Where referrals are made before the final outcome of an investigation is known, information should be sent to the POVA team as it becomes available, including any that is generated by an appeal against the independent panel's decision. As these carers are not employees, their only recourse is to the scheme's complaints procedure, which may include appeal to the local government ombudsman.

Making referrals

POVA referrals for adult placement schemes and carers are made in exactly the same way as for all other services, using the same form and standards of reporting. The person making the referral should indicate clearly that the person being referred is an adult placement carer or worker.

The POVA team are available to support anyone wishing to make or discuss making a referral. Contact the POVA email helpline (email: POVA.mail@dfes.gsi.gov.uk) or telephone the advice line: 01325 391 328.