SCIE Practice guide 7: Making referrals to the POVA list
Preparing for POVA list referral
Practice points: Developing robust procedures and recording practice
Employers should ensure that they are familiar with the POVA referral procedure, the POVA referral form and the information that is required when a referral is made. This material is available on the Department of Health website.
Example
Some of the greatest difficulties in making referrals arose when employers did not know how to make a referral, could not find the form or guidance and did not know where to obtain this information. Where this was to hand, they were able to start making the referral immediately with greater confidence in the process.
Employers should ensure that they are in the best possible position to make an effective POVA referral when the need arises. Referrals must be supported by robust evidence to assist the POVA team in making recommendations about POVA listing and to support the decision in the event of an appeal to the Care Standards Tribunal. The better the disciplinary procedures on which the referral is based, the more robust the referral will be.
An effective POVA referral relies on excellent information and record-keeping throughout the disciplinary or review process that led up to the referral. Employers must ensure that they adopt and carry out efficient employment practice such as investigation and disciplinary proceedings, and have robust recording systems of this practice. Training for managers in these areas should be up to date.
Employers dealing with this kind of misconduct for the first time can find the whole process daunting, particularly where they have little experience of undertaking disciplinary action. This can be addressed by ensuring that managers are trained and that relevant employment procedures are in place and working effectively.
Example
ACAS provides details of employment procedures and processes and codes of practice for disciplinary and grievance procedures.
Employers should build POVA referral into their disciplinary procedures - for example, by making it clear to staff that if they are suspended, they may be subject to a POVA referral. This makes the procedures very transparent, ensures there are no surprises and encourages suspended workers to participate in the disciplinary process. Experience shows that non-attendance at disciplinary hearings will lead to an assumption at the Care Standards Tribunal that the facts of the case are not disputed by the worker.
Example
BUPA tells people that they may be referred to the POVA list at each stage in the investigation and disciplinary process, that is:
- when they are first suspended
- when they are invited to a disciplinary hearing
- when they are dismissed. BUPA has found that informing suspended staff that they are at risk of being referred to the POVA list has increased attendance rates at disciplinary hearings dramatically and ensures that individuals are informed about the implications of a POVA referral.
Employers should review their recording systems to ensure that they can provide all the information required for POVA referral. This will support their general employment practice and will assist them in making successful referrals.
The POVA team will use the evidence provided to make recommendations to the Secretary of State for Health about the referred individual's future suitability to work with vulnerable adults. As well as detailed information about the particular allegation, they require a picture of the individual's entire employment record, including start dates, chronology and full history, a record of staff training provided, competencies, supervision, warnings and performance appraisals - all of which should be routinely held as part of good registration practice under the Care Standards Act 2000. Particular note is taken of training in awareness and prevention of harm to vulnerable adults.
For adult placements, managers should provide evidence of access to learning and training, records of support and monitoring visits, adult placement carer reviews and placement reviews.
Employers should operate the highest standards of record-keeping and information collection, making sure that information is clearly recorded and securely kept. If a listed individual exercises their right of appeal to the Care Standards Tribunal, the information provided in the referral will be examined as part of this process.
In this preparation stage, employers are advised to consult with their liability insurers with regard to the POVA scheme. Some employers have received contradictory advice from liability insurers, and it is good practice to clarify the position with them. Employers have a statutory responsibility to refer individuals that they have dismissed for misconduct that led to the harm of a vulnerable adult.
