SCIE Practice guide 7: Making referrals to the POVA list

Making a POVA list referral

Practice point: Providing evidence to support POVA referrals

The information given to the POVA team is used to build a wide picture of the situation and circumstances of the incident and to make judgements about whether or not to place the individual on the POVA list. The POVA team need as much of the context, history, chronology and supporting evidence as possible to judge the suitability of this individual to continue to work in care positions.

• When the POVA team are trying to judge the suitability of a care worker to work with vulnerable adults, a full picture can help them avoid malicious referrals and make recommendations on the 'balance of probability'. The judgements that employers make about misconduct will have included this wider exploration and investigation of the incident.
• Referral information should be as comprehensive as possible and provide a clear narrative of what happened, who was involved and the details of the events. The more that can be provided with the initial referral, the better, as this will avoid prolonged correspondence and further requests for information. Documents should be signed and dated.
• The DfES form must be used and must be sent through the post with accompanying evidence. Forms should be typed where possible, with full answers and clear cross­checking to attached documents. Information must be well ordered, with clear referencing and sign-posting. Descriptions should be made as factually as possible. Employers recommend sending documents by special delivery so that there is a record that they have been sent and securely delivered.
• Information about the incident should be recorded at the time it occurs - and if this is not the case, then the referral should explain why. For example, someone may not have reported an incident immediately but may have done so the next day after reflection.
• Employers should include copies of the relevant policy against which they have disciplined the individual, and other relevant policy documents including their disciplinary procedures.
• Adult placement scheme managers should send copies of the relevant policies governing the powers and conduct of the independent panel. Other relevant policy documents are also needed, including the procedure followed when an allegation has been made against an adult placement carer, as well as the procedure for termination of approval.
• Transcripts of disciplinary hearings and review panels are most useful. Where resources are not available to do this, clear summaries of findings, judgements and actions taken are needed. Include properly minuted notes of meetings showing why decisions have been made.
• Employers and managers should keep copies of the material they send to the POVA team in support of their referrals. If there is an appeal, the employer and witnesses will be required to support the initial referral and may need to refer back to this material.