1. 4LSAB Allegations Management Framework
10th August 2016
Sue Lee, HSAB Manager

2. Objectives
Key changes to statutory guidance re allegations management Overview of the new Allegations Management Framework Applying the Framework in practice: - Allegations management in the context of s42 enquiries - Information sharing - Risk management - Interface with HR - Data collection and monitoring Learning gained from the DASM role and using this going forward LSAB support SAMA Network and next steps

3. Statutory Guidance March 2016
Removes DASM role - replaced by a new requirements on managing allegations against ‘people in positions of trust’.
Local agencies providing universal care and support services must have clear policies for dealing with allegations against people in positions of trust.
Reflect LSAB guidance
Clearly distinguish between an allegation, a concern about quality of care or practice and complaint.
Enable assessment of potential risks and actions needed to safeguard adults with care and support needs.
Includes clear recording and information-sharing guidance and timescales for action
Relates to current or historical allegation or concerns.

4. 4LSAB Allegations Management Guidance
An overarching framework setting standards around the management of allegations against people in a position of trust.
Supported by clear reporting requirements and arrangements across the whole system - this includes clear information-sharing arrangements and explicit timescales for action.
Individual member organisations are expected to develop its own business process detailing how it will implement this framework internally.
Ratified by all 4 SABs and replaces the joint DASM framework published in May 2015.

5. Principles underpinning local guidance
A proportionate, fair and transparent process building on current good practice and existing processes.
Each organisation responsible for action using their allegations management procedure
Clear reporting arrangements across the whole system built into contracts, commissioning arrangements, grant allocations, etc.
Timely, thorough action when concerns are raised with justifiable and proportionate information sharing
Well understood and managed interfaces with other processes(e.g. LADO, DBS, fitness to practice) and prompt referrals to relevant bodies
Clear recording of decisions and recommendations

6. Partner organisations responsibilities
Align (or develop) current allegations management processes in line with the standards set out in this framework.
Commissioners to use existing frameworks and processes to ensure allegations management and safe working procedures are in place within the organisations from whom they commission services.
Providers to adhere to reporting requirements and promptly share information about relevant incidents with their commissioners.
Statutory organisations to nominate a Safeguarding Allegations Management Advisor (SAMA)
Non statutory organisations to nominate a Safeguarding Adult Lead (SAL)
Each LSAB is responsible for leading development work in its area to support this

7. SAMA role
Operational leadership/management role in their organisation and significant level of expertise and knowledge in adult safeguarding.
Provide expert advice and guidance to the organisation and managers when responding to allegations or concerns about ‘people in positions of trust’
Monitor progress of cases ensuring these are dealt with promptly and fairly
Work closely with other SAMAs and LADOs locally, regionally or nationally ensuring information is shared as necessary.
Work with internal partners, voluntary organisations, care providers, district/borough councils to ensure that DBS and/or regulatory body referrals are made promptly and appropriately.

8. Specific Responsibilities
SPOC for allegations or concerns raised by other agencies
Gaining assurance that appropriate systems are in place to demonstrate:
Working with managers to ensure risks are appropriately identified and managed.
- Effective risk assessment
- Safeguarding actions carried out
- Support/update the employee
Management and oversight of individual complex cases.
- Recording provides an audit trail
- Prompt DBS/FTP referrals
- DPA/Confidentiality compliance
Chairing ‘Managing Concerns Meetings’ to assess and determine actions required.
Maintaining records of the no. and nature of allegations and using this data to inform service improvement
Information sharing with LADOs and other SAMAs

9. Interface with s42 enquiries
Any concerns relating to a person in a position of trust who is alleged to have abused an adult with care and support needs must be reported and responded under the Hampshire Multi-Agency Safeguarding Adults Policy and Guidance.
These concerns could arise from the person’s home / personal life, as well as within their work.
Includes anyone working with adults with care and support needs such as paid or unpaid employees, volunteers, students and personal assistants

10. Circumstances relevant to s42 enquiries
A ‘person in a position of trust’ has or is alleged to have abused an adult with care and support needs
A ‘person in a position of trust’ has behaved (or is alleged to have behaved) towards another adult in a way that indicates that they may pose a risk of harm to an adult with care and support needs
Includes situations involving an investigation into a criminal offence, even if the victim of that offence was not a person with care and support needs
A ‘person in a position of trust’ has behaved (or is alleged to have behaved) towards children in a way which means they could pose a risk of harm to adults with care and support needs.

11. Allegations management in the context of s42 enquiries
Where a formal safeguarding enquiry is being undertaken, the allegations management can be overseen within the enquiry process:
Assessment and management of risk posed by a ‘person in a position of trust’ to be considered in the initial safeguarding planning meeting and subsequent meetings
Any action taken in respect of a person to be included in the safeguarding enquiry report
Supporting documentation should be reviewed as part of the Checking and Review stage of the safeguarding enquiry
Further actions to safeguard should be included in the safeguarding plan

12. Allegations management outside formal safeguarding enquiries
Where a formal safeguarding enquiry is not being undertaken, the SAMA may convene a ‘Managing Concerns Meeting’ to assess and determine the actions required to manage the risk posed by a ‘person in a position of trust’.
Such meetings may need to include Care Quality Commission, other SAMAs, the Local Authority Designated Officer, commissioning, contracts, police and other relevant parties, where appropriate to the case

13. Information sharing
Employers must be informed if there are concerns about an employee during the course of their work.
If concerns arise in the person’s personal or private life, or in another work setting, the decision to share information must be justifiable and proportionate and based on the potential or actual harm to adults at risk.
Rationale for a decision to share information should be recorded.
Information sharing decisions based on:
‘has the person has behaved/may have behaved, in a way that questions their suitability to undertake their current role or to support adults with care and support needs”?

14. Considerations when deciding to share information
Nature and seriousness of the actions/behaviour
Nature of the person’s access/role with adults at risk
The context within which the actions/behaviour occurred
Potential impact on an adult with care and support needs
Frequency or patterns of actions/behaviour

15. Employer risk assessment and management process
SAMA’s role is to gain assurance that managers have appropriately assessed and responded to presenting risks.
Managers should update the SAMA the actions being taken providing evidence as necessary for assurance purposes.
Managers are responsible for assessing the risk in the context of their service.
Only the manager has the power to suspend an employee, redeploy them or make other changes to their working arrangements, and so must be responsible and accountable for the decision reached.
Managers should follow their organisation’s allegations management policy.

16. Risk management arrangements
Whilst the SAMA may provide expert advice and guidance, the risk management arrangements are the responsibility of the manager
These should take into account their assessment of the risk, internal policies and procedures, and employment law.
The SAMA should be provided with assurance and evidence of how the risk is being managed.

17. Review of working arrangements (1)
The manager is responsible for assessing and managing the risk of harm posed by the person – should take account of:
- nature and seriousness of the allegation
- harm to any patients/service users
- risk of repeated incidents/on-going behaviour.
Suspension may need to be considered - this shouldn’t happen automatically but only if the circumstances of the case warrant a person being suspended until the allegation is resolved.
Whilst it’s the manager who makes this decision, it is entirely reasonable for the SAMA to request a risk assessment where it has been decided NOT to suspend.
The manager should also make arrangements to keep the individual informed about developments in the workplace.

18. Review of working arrangements (2)
Suspension may not be required if risks can be managed through changes to working arrangements such as:
Not working with a particular patient/service user
Working in a non-patient/service user contact role whilst the allegations are being investigated.
If a person is suspended, they are entitled to know in broad terms the reasons for this.
Whilst an individual must be afforded the right to respond, this must be at an appropriate time.
Care should be taken to ensure information is not shared at the point of suspension that may prejudice a subsequent enquiry/investigation or place any person at additional risk.

19. Grounds for suspension
Suspension should be considered in any case where there is cause to think:
an adult with care and support needs is at further risk of abuse or neglect, or
the allegation warrants investigation by the Police, or
is so serious that it might be grounds for dismissal, or
the presence of the person in the work place will interfere with the enquiry/ investigation process

20. Support for the person
Alongside the duty of care towards the adult at risk, is the duty of care to the employee.
The employer need to provide support to minimise stress associated with the process, this may need to include:
Support for them to understand the procedures being followed
Updates on developments
Opportunity to respond to allegations/concerns
Support to raise questions or concerns about their circumstances.

21. Data collection and monitoring
SAMAs should:
Maintain appropriate records of cases in line with the Data Protection Act 1998 requirements and individual organisational policies around information governance and record retention.
Establish systems to enable allegations against staff to be tracked across the organisation.
Collate/analyse information about the number and nature of allegations made and their outcomes
Produce an annual report to be shared with relevant boards, committees and leadership teams to inform on-going service improvement and development.

22. LSAB Support
Information on respective websites about how and to whom to report concerns about possible abuse or neglect
Awareness raising with non commissioned or funded voluntary organisations and charities can access information about their responsibilities to act upon concerns about abuse or neglect.
SAL network for non commissioned or funded community, voluntary organisations and charities
SAMA network comprised of professionals within statutory organisations to facilitate all essential networking and information sharing across agencies.
Regular updating of SAMAs via 6 monthly network meetings.

23. Next steps?

24. Learning gained from the DASM role and using this going forward?