HCS145-Referral to the PVG Barring List Policy

Registration Number: {{org_field_registration_no}}

Referral to the PVG Barring List Policy

1. Purpose

{{org_field_name}} is committed to safeguarding the welfare of people we support by ensuring that all employees, volunteers, and contractors meet the highest standards of professional conduct. This policy outlines the legal and procedural requirements for referring individuals to the Protection of Vulnerable Groups (PVG) Barring List in accordance with the Protection of Vulnerable Groups (Scotland) Act 2007. It ensures compliance with Care Inspectorate Scotland regulations and the Scottish Social Services Council (SSSC) Codes of Practice. Our objective is to ensure that individuals who pose a risk to vulnerable adults or children are appropriately identified and barred from working in regulated roles where they may pose harm.

2. Scope

This policy applies to all employees, agency workers, contractors, volunteers, and any other individuals engaged in regulated work within {{org_field_name}}. It extends to situations where concerns arise regarding an individual’s conduct, including cases of serious misconduct, harm, or failure to uphold professional standards. The policy is also applicable when an employee is dismissed, resigns, or is removed from their role due to concerns relating to safeguarding and the potential risk they pose to vulnerable people.

3. Legal and Regulatory Framework

This policy aligns with the following statutory and regulatory frameworks:

Protection of Vulnerable Groups (Scotland) Act 2007
The Disclosure (Scotland) Act 2020
The Care Inspectorate Scotland Regulations
Scottish Social Services Council (SSSC) Codes of Practice
Data Protection Act 2018 and GDPR Regulations
Public Interest Disclosure Act 1998 (Whistleblowing Legislation)

4. Referral Criteria

A referral to the PVG Barring List must be made when {{org_field_name}} dismisses, removes, or chooses to discontinue an individual’s engagement due to concerns regarding their suitability to work with vulnerable people. The key grounds for referral include:

Harm or Risk of Harm: Any action or omission that causes harm, puts individuals at risk of harm, or fails to prevent harm.
Serious Misconduct: Conduct that violates professional, ethical, or safeguarding standards, including neglect, abuse, or exploitation.
Criminal Convictions: Any conviction related to offences against vulnerable adults or children, including sexual, physical, or financial abuse.
Breach of Professional Duties: Failure to adhere to Care Inspectorate standards, SSSC Codes of Practice, or internal safeguarding policies.
Resignation during Investigation: If an individual resigns while under investigation for potential harm or serious misconduct.

5. Referral Process

Gathering Information: When a concern arises, an internal investigation is conducted under the supervision of the Registered Manager or Nominated Individual. Evidence must be gathered, including witness statements, incident reports, and relevant documentation.
Decision Making: If the investigation concludes that the individual poses a risk, the decision to make a referral must be approved by the Registered Manager in consultation with senior leadership.
Submission of Referral: The referral is submitted to Disclosure Scotland using the official referral form, detailing the reasons for the referral and supporting evidence.
Notification to Regulatory Bodies: In addition to Disclosure Scotland, referrals may also need to be reported to the Care Inspectorate, SSSC, and Police Scotland if applicable.
Employee Notification: The individual must be informed of the referral decision and provided with information about their right to appeal.

6. Managing the Process Efficiently

To ensure an efficient and compliant referral process, {{org_field_name}} adheres to the following best practices:

Clear Safeguarding Policies: All staff are made aware of their responsibilities through robust safeguarding training and induction.
Effective Reporting Mechanisms: Staff, people we support, and family members are encouraged to report concerns through clear reporting procedures, including the Whistleblowing Policy.
Prompt Investigations: All concerns are investigated swiftly to determine whether a referral is required, ensuring that vulnerable individuals remain protected.
Dedicated Safeguarding Lead: A Safeguarding Lead oversees investigations and ensures compliance with referral obligations.
Record Keeping: Detailed and confidential records of all investigations, decisions, and referrals are maintained in line with GDPR requirements.
Multi-Agency Collaboration: We work closely with the Care Inspectorate, SSSC, local authority safeguarding teams, and Police Scotland to ensure transparency and adherence to safeguarding responsibilities.

7. Consequences of Referral

Once a referral is made, Disclosure Scotland will assess the evidence and determine whether to bar the individual from working in regulated roles. If an individual is barred, they are legally prohibited from engaging in any regulated work with vulnerable groups. Employers, including {{org_field_name}}, are required to comply with barring decisions and must not employ or contract barred individuals. The following actions will be taken:

Immediate Removal: If an employee is barred, they must be removed from all duties involving vulnerable individuals with immediate effect.
Notification to Relevant Bodies: The decision will be communicated to the Care Inspectorate, SSSC, and local safeguarding teams.
Updating Internal Records: The individual’s personnel file will be updated to reflect the barring decision, ensuring compliance with employment law.
Review of Safeguarding Procedures: Following a referral, an internal review will be conducted to assess any gaps in safeguarding policies and practices to enhance future safeguarding efforts.

8. Staff Responsibilities

All employees have a responsibility to ensure the safeguarding of vulnerable individuals by adhering to this policy. Staff must:

Report any concerns about colleagues or others engaged in regulated work.
Cooperate fully with investigations and provide truthful and accurate statements.
Uphold professional and ethical standards at all times, as outlined in the SSSC Codes of Practice.
Attend regular safeguarding training to stay informed about referral requirements and best practices.

9. Related Policies

This policy should be read in conjunction with:

Safeguarding and Protection Policy – for ensuring the welfare of vulnerable people.
Whistleblowing Policy – for reporting concerns anonymously.
Disciplinary and Grievance Policy – for managing misconduct cases.
Recruitment Policy – for ensuring safer recruitment practices.

10. Policy Review

This policy is reviewed annually or sooner if legislative changes or operational needs arise. The Registered Manager is responsible for ensuring that all referrals are managed in compliance with legal requirements and best practices. Regular audits and reviews of safeguarding measures are conducted to identify areas for improvement.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.