When to Use These Procedures

These procedures must be considered when it has been alleged that a person who works (directly or indirectly) with adults at risk or children has:

• Behaved in a way that has harmed an adult at risk or child or has harmed an adult at risk or child.
• Possibly committed a criminal offence against or related to an adult at risk or child.
• Behaved towards an adult(s) at risk or child(ren) in a way that indicates they may pose a risk of harm to children or adults at risk.
• Behaved in a way in their personal life which indicates a potential risk to an adult at risk or children within their identified employment/volunteering.

Managing cases under these procedures applies to a wider range of allegations than those in which there is reasonable cause to believe an adult at risk or child has experienced abuse; or is suffering/likely to suffer harm. It also applies to allegations/concerns that might indicate that a person is unsuitable to continue to work with adults at risk or children in their present position or in any capacity.

Organisations and agencies working with children, families and adults at risk should have clear policies for dealing with allegations. These policies should make a clear distinction between a complaint, concern and/or allegation.

It can be difficult to determine what may fall into the category of "unsuitable to work with children or adults at risk". Below are circumstances where it may be necessary for the individual to be considered within the process:

• Person is the subject of criminal procedures (not against a child or adult at risk) that indicates a potential risk within their identified employment/volunteering.
• Caused or possibility of abuse, harm or neglect to an adult at risk or child and there is a transferrable risk in the working, volunteering, or caring environment
• Contravened or continued to contravene their agency’s Safeguarding Policy and Procedures and the potential impact of abuse harm, neglect could have on adults at risk/children.
• Failed to understand or comply with the need for clear personal and professional boundaries in the workplace.
• Behaved in a way that undermined the trust placed in them by virtue of their position
• Is parent of child(ren) who are subject to Care Proceedings/Child Protection procedures e.g. child protection registration.
• Has caring responsibilities for an adult who is subject to Adult Safeguarding Procedures
• An identification of transferrable risk, that calls into question their suitability to continue in their role

See 'Four Threshold Criteria'

Whilst the focus of these processes is to safeguard one or more identified adults at risk/children, there are occasions when incidents are reported that do not involve a adult at risk/child, but indicate, nevertheless, that a risk may be posed by a practitioner/person in a position of trust. This can be particularly relevant when an incident happens in a person’s private life.

When referrals/reports are received into the Section 5 process and the decision is made to not progress as they do not meet the threshold criteria, the LADO/DOS rationale and decisions must be recorded on the agreed electronic client record system, it is not sufficient to only record on the adult at risk/child record. The report/referral outcome decision must also be recorded against the employee/volunteer who the report has been made about.

Previous referrals must be taken into consideration when assessing risk and vulnerability against the threshold criteria. A culmination of low-level reported concerns that may not have previously met the threshold criteria, could indicate issues relating to suitability and risk and will need to be considered within the Section 5 process.

As with all elements of these procedures, a level of professional judgment will be applied by the LADO/DOS when making these decisions as it may not be clear or key information not known at the point reports are received.

Pointers for Practice: Decision Making Guidance