The Section 5 Strategy Discussion/Meeting

Where appropriate the section 5 strategy discussion will take place with Police and any other appropriate agencies/partners and employers. As part of this process the LADO/DOS will consider informing any relevant regulatory body/inspectorate such as Care Inspectorate Wales (CIW), Healthcare Inspectorate Wales (HIW), Estyn and any relevant professional bodies as appropriate. If the criteria are met to proceed within the process, they must be invited to take part in any subsequent strategy meetings/discussions.

Focus & Purpose of the section 5 strategy discussion is as follows:

• Determine whether the matter meets the threshold for progressing to a formal Professional Strategy process – LADO/DOS is responsible for making this decision
• Identification of any activities or caring responsibilities for adults at risk or children that the individual is involved in outside of their paid employment
• Consideration of interim safeguards whilst further enquiries are made. - What risk assessments have already been made? Are they adequate to manage and mitigate potential risks?
• It is the responsibility of the employer to consider the suitability of the individual to continue working.
• Review adequacy of safeguards in place for both the alleged victim(s) (if there is one) and the individual referred into the process.
• Decisions about what information can be shared with the subject of the allegation, the adult at risk or child and their parent/carer.
• Decisions about employer involvement within the process.
• Agree any actions to be taken or any further information needed prior to the Section 5 Strategy Meeting
• Decide whether immediate briefings to senior management are required
• Identify criminal matters that requires investigation.
• Ensure that any immediate safeguards that are required have been put in place.

Section 5 Strategy Meeting:

The LADO/DOS will chair and be responsible for the convening of these meetings.

The main functions of the section 5 strategy meeting are to:

• Ensure the co-ordination of child, adult safeguarding, criminal and employment procedures in accordance with the Wales Safeguarding Procedures
• Share all relevant information about the allegation in question and consider any previous referrals, low level concerns and/or previous Section 5 processes (and their outcomes).
• Consider what action may be required to protect the adult at risk or child in question
• To consider/identify transferrable risks and actions required to mitigate those risks
• Consider the likelihood of harm to other adults at risk or children with whom the person has contact at work or other activities, and agree any actions that are required
• Consider and evaluate the risk of harm to the subject’s own children (if they have children), and agree any actions that are required
• Plan any enquiries needed and allocate tasks and set timescales
• Decide who is to be interviewed and lead agency
• Identify a lead contact manager within each agency
• Decide what information can be shared with whom, when and who will do this
• Agree timescales for actions and/or dates for further meetings
• Consider whether the individual’s suitability to continue working with adults at risk or children in their current position
• Consider whether there are disciplinary issues to be initiated.
  Note that it is for the employer to conduct any disciplinary procedures.
• Explore the need for referrals to any regulatory/professional bodies
• Consider any other factors that may affect the management of the case e.g. consideration of the need for a media strategy where there is likely to be press interest. (Note that disclosure of an individual’s identity to the press/media, or of material likely to reveal their identity, will rarely, if ever, be appropriate. It will often be a breach of the individual’s Article 8 rights, and a misuse of personal data and/or confidential information, and it could lead to a defamation claim. It might also prejudice a criminal investigation).
• Confirm arrangements regarding who will communicate with the person about whom there are concerns and ensure appropriate support is provided (normally the employers responsibility)
• Confirm arrangements for the appropriate referrals to be made to the Disclosure and Barring Service and/or registering bodies of the professional involved (this can be completed at any point throughout the process). See 'Four Threshold Criteria'.

More than one Section 5 Strategy Meeting/Discussion may be required to coordinate, monitor, review and conclude the process.

Who to invite to the Section 5 Strategy Meeting

The Section 5 Strategy Meeting will be chaired and convened by the DOS/LADO (see Section 5 Strategy Meeting).

In situations where an allegation is made about an individual who is employed under the auspices of Direct Payments, the employer has the challenge of fulfilling the role of both employer and the adult at risk/parent of the child who may have been harmed or at risk in association with the concern.

The chair in these cases should consider how the parent / employer will be supported in contributing to the process. There should be consultation with the parents/employer about the advantages of a third party who is informed about employment law duties/rights to represent parent as an employer at these strategy meetings.

Consideration should be given to inviting the following:

• Police
• Team Manager and Social Worker for the adult at risk or child.
• Fostering/Placements Manager
• Adult Placement Manager
• Registered Manager of Residential Unit where the allegation is against a foster carer or residential worker (including Voluntary sector or private agency)
• Registered manager for adult services provision, i.e. Care home, Home Care/Domiciliary provider, supported living and day services (including Voluntary sector or private agency)
• Employer (where the employer is already aware of concerns, or disclosure of concerns has taken place)
• NHS health board/Trust Corporate Safeguarding Team
• Regulators and Inspectorates: Care Inspectorate Wales (CIW); Health Inspectorate Wales (HIW); Estyn
• Contracts/Commissioning Officers (where appropriate)
• Education representative when the individual concerned is working within this agency,
• Estyn Safeguarding representative (independent education provisions)
• Chair of Governors if allegation is against a Head Teacher
• Human Resources or Personnel representative (who has authority to advise the employer about employment arrangements)
• Representative of Voluntary organisation
• Employment Agency representative if role is provided via an agency
• Monitoring Officer (Elected members)
• Safeguarding lead for places of Worship

This is not an exhaustive list and will be instances where it is appropriate to invite others not listed here.

LADO/DOS will determine who will be invited to support appropriate information sharing and decision making.

Pointers for Practice: Section 5 Strategy Meeting – Roles & Responsibilities; Good Practice