Hammersmith & Fulham
Safeguarding Adults Board

Managing concerns around persons in a position of trust (PiPOT)

Guidance on how to deal with allegations against a person in position of trust (PiPOT) and the expected process to follow.

Contents

Section 1

What do we mean by PiPOT?

The Care Act statutory guidance requires safeguarding adults boards to establish a framework to respond to allegations against anyone who works, either paid or unpaid, with adults who have care and support needs such as persons in positions of trust (PiPOT).

This guidance (s.14.123) states that allegations that relate to a person who works with adults with care and support needs could include:

  • concerns that person 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 indicates they may pose a risk of harm to adults with care and support needs

For example, an individual who:

  • has been accused of abusing their mother and is a care worker in a home for adults with learning disabilities
  • is accused of GBH/ABH and is also employed as a housing needs officer
  • is accused of theft and is employed as a district nurse
  • has children subject to child protection procedures as a result of emotional abuse and neglect and is employed in a day centre for adults with dementia
  • works as a discharge coordinator is accused of sending direct messages to a patient via social media, crossing professional boundaries

This is not an exhaustive list, and allegations may relate to the individual’s behaviour at work, home or in another setting.

Any allegation against a person in position of trust must be taken seriously, with action taken to ensure that we are protecting adults at risk and maintaining safe working practices. We also need to ensure that responses to allegations are proportionate and consider the impact on staff.

In developing this guidance, the H&F Safeguarding Adults Board have made use of existing frameworks elsewhere and would in particular like to acknowledge the work of the Sussex SAB and Derbyshire SAB, with thanks.

This guidance is complemented by the expected process guide, which should be considered alongside this more detailed framework.

Section 2

What should you do if you have concerns about a PiPOT in Hammersmith & Fulham

Any concerns about the behaviour or risk posed by a person in a position of trust should be carefully considered to determine whether that information should be shared with the person’s employers (or regulatory body or voluntary organisation) to enable them to conduct an effective risk assessment.

Employers are individually responsible for ensuring that information relating to PiPOT concerns are shared and escalated outside of their organisation in circumstances where this is required.

Such sharing of information must be lawful, proportionate and accurate (see Section 3: When and where should I share information?)

Where there are concerns about abuse and neglect of an adult at risk, a safeguarding concern should also be raised with the local authority.

If the person works with children, then the local authority designated officer (LADO) will also need to be notified.

The framework does not cover complaints or concerns raised about the quality of the care or professional practice provided by the person in a position of trust. Concerns or complaints about quality of care or practice should be dealt with under the relevant processes e.g., complaints and HR processes.

If you are unsure of which action to take, you should seek advice from the safeguarding lead within your organisation.

Section 3

When and where should I share information?

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

In Hammersmith & Fulham, we are guided by the London multi-agency policy and procedures which states that:

Information sharing should be timely, co-operation between organisations to achieve outcomes essential and action co-ordinated keeping the safety of the adult as paramount.

Information sharing must also comply with all legislative requirements. It is important to note that the General Data Protection Regulation (GDPR), Data Protection Act 2018 and human rights law are not barriers to justified information sharing.

Instead, this legislation provides a framework to ensure that personal information about individuals is shared appropriately.

Wherever possible we should also seek to share information with consent and should have open and honest conversations about the reasons for doing so.

However, under the GDPR and Data Protection Act 2018 you may share information without consent if, in your judgement, there is a lawful basis to do so. For example, where safety of the individual or others may be at risk. You will need to base your judgement on the facts of the case and be clear on the basis upon which you are intending to share information.

Where there is concern that there may be a public protection risk or pressing social care need, common law police disclosure exists to enable the police to pass information to the employer or regulatory body to allow them to act swiftly to mitigate any danger.

Read more information on common law disclosures.

If you are in any doubt about sharing information, seek advice from other practitioners whilst avoiding disclosing personal details.

Key principles of sharing information

Only share the information that is necessary and proportionate.

Only share information that is relevant to the intended purpose.

Only share information with those who need to have it.

Ensure information is accurate and up-to-date.

Ensure information is shared securely.

Ensure information is shared in a timely manner.

Ensure that the rationale for decision-making is clearly recorded, including when a decision is made to not share information.

Section 4

Responding to an allegation against a person in position of trust

Individual organisations, including student bodies and voluntary organisations, are responsible for responding to allegations regarding any person working for them in a position of trust with adults with care and support needs and for undertaking all necessary action in line with their internal management process.

This process should include:

  • risk assessment and responses to immediate risk
  • consideration of welfare of staff member
  • consideration of how any potential risk will be managed whilst it is being investigated
  • consideration of interface with other processes (LADO, adult and children's safeguarding, criminal, and, or internal HR processes)

Any disciplinary procedures must be compatible with their responsibility to protect adults at risk of abuse or neglect, and any action necessary to address welfare concerns in relation to an adult involved should be taken without delay and in a coordinated manner.

Where a Police investigation is required, the Police will lead the criminal investigation, and the employer will communicate with them regularly regarding any actions to be taken to ensure any criminal investigation is not compromised.

There should be clear arrangements in place to ensure that employers are able to effectively liaise with the Police to monitor progress of cases and ensure that they are dealt with as quickly as possible, whilst maintaining a thorough and fair process.

The Care Act 2014 statutory guidance (section 14.115) outlines expectations that the Police will share information in order to enable effective risk assessment by employers. Where there is a police investigation, police colleagues are expected to agree a process with the relevant employer to ensure that they receive regular updates on the investigation and expected timeframes.

There may also be situations where it is appropriate for an employer to refer to a regulatory body, such as:

Employers should ensure that they have robust employment practices in place, including reference checks and relevant Disclosure and Barring Service checks.

Where a decision is taken to terminate an individual’s contract or dismiss the individual (paid worker or unpaid volunteer) from PiPOT or regulated activity work, the organisation has a legal duty to make a referral to the Disclosure and Barring Service.

Where a referral to a professional body and, or the DBS is necessary, this must be done promptly and as soon as possible once the investigation has concluded. If you are unsure whether to refer to a professional body, you can check the referral criteria set out by the specific body that the person is registered with.

In the case of clinical posts, it is also recommended that NHS Northwest London Integrated Care Board is made aware, seeking advice where required regarding the appropriate professional body that will need to be notified.

Section 5

What happens if an allegation is made against you?

It is recognised that having an allegation made about you can have a significant impact on your health and wellbeing.

When an allegation is made, and where it is appropriate, your employer will discuss this with you and clearly set out the steps they intend to take in response to the allegation. Timescales for actions should be agreed to ensure the process is concluded in a timely way.

A point of contact will be provided to you by your employer, who can provide you with updates. Your employer should also advise you of any other support you can access such as counselling services or occupational health services.

If you are a member of a union or professional association or network, then you may be advised to seek support from that organisation should you wish to. We encourage you to look at your own organisation’s internal policy for more information on this.

There may sometimes be limitations on the amount of information that can be shared at a particular time in order not to prejudice any enquiry or investigation or place any person at risk. There should be a record of the outcome of the investigation into the allegation and it will be agreed who will inform you of the outcome, the information to be shared, how and by when.

If an allegation is found to be unproven, this should be clearly recorded, whether this be that the allegation is unfounded or malicious. Where a person has been found to have intentionally made a false criminal accusation, there will also be a discussion with the Police regarding any further action they could pursue against the source of the allegation.

At the conclusion of a PiPOT process, you may be required to undertake further training, or your duties or responsibilities changed.

Other processes may also run parallel to the PiPOT process such as HR procedures, referrals to professional bodies or safeguarding enquiries.

There may also be circumstances where additional support is needed to safeguard staff members from unfounded allegations in the future, such as changing working arrangements or providing additional support.

Section 6

Our expectations of partner agencies

The H&F Safeguarding Adults Board expects all partner agencies working within the borough to have clear and accessible policy and procedures for responding to allegations against persons in positions of trust.

This must clearly set out:

  • how organisations will respond to allegations against persons in positions of trust, with consideration of overlap with other processes (for example a Section 42 enquiry or police investigation)
  • clear roles and responsibilities and determine which role should undertake a risk assessment and investigation when an allegation is made about a member of staff
  • expected timescales for investigation, with guidance on how support and advice will be made available to individuals against whom allegations have been made
  • clear guidelines for information sharing, decision making and recording, with focus on appropriate action to safeguarding adults at risk
  • clarity on who within the organisations can be approached for support and advice

Assurance to be provided to the SAB

Each partner agency is also required to provide assurance annually to the SAB that the PiPOT arrangements within their organisation are functioning effectively.

This will include providing feedback on the number and nature of allegations received in each financial year and the outcomes of investigations (for example, whether they have been substantiated).