Standard 9: Managing safeguarding allegations involving members of staff
Managing allegations against a member of staff applies to cases where a staff member is alleged to have behaved in a way that suggests they are unsuited to working with people with care and support needs.
If any disciplinary action is about care and treatment towards anyone living in the care home, you should consider that this has potential to be a safeguarding concern that will need to be reported to the Multi-Agency Safeguarding Hub (MASH).
9a. Do you have a clear internal allegations management procedure setting out the process including timescales for investigations and what support and advice is available to individuals against whom allegations have been made?
Your organisation should have a clear policies reflecting those from the local Safeguarding Adults Board for dealing with allegations against people in positions of trust i.e. anyone working in either a paid or unpaid capacity, with adults with care and support needs. These policies should clearly distinguish between an allegation, a concern about the quality of care or practice or a complaint.
Responsible Manager (RM) to whom allegations or concerns should be reported. A deputy to whom reports should be made in the absence of the RM, or where the RM is the subject of the allegation or concern.
Care Quality Commission (CQC) CQC should be informed of any allegations or concern made against a member of staff in any regulated activity, including registered residential care or nursing home, or any domiciliary care agency or supported housing setting.
The provider needs to consider the support needed for any Staff member and Volunteers who are Subject to Concerns or Allegations such as:
- Be treated fairly, honestly and support must be given to help them understand the concerns expressed and processes involved.
- To ensure they are kept informed of the progress and any outcome of any investigation.
- Be guided through any disciplinary or related process.
- If suspended, be kept up to date about events in the workplace, offered a point of contact for advice during the time of suspension.
The organisation must have a mechanism for gaining assurance that the presenting risks have been appropriately assessed and responded to seeking evidence of the action taken as required.
The organisation must make a safeguarding referral.
9b. If a member of staff resigns while under investigation through a disciplinary process do you continue the investigation?
Where a member of staff resigns while subject to a disciplinary investigation it is important that the investigation process continues.
If the investigation involves the registered manager of the service, you must notify CQC.
Absences for the registered manager or a registered person
If a registered manager or a registered person is going to be absent for 28 consecutive days or more, you must submit a notification to the CQC 28 days before the absence starts.
CQC regulation 14 outlines the requirements of how the provider must inform CQC about any planned or unplanned absences from the service that are for a continuous period of 28 days or more. This includes information on how the service will be run while they are away and when they return from a significant absence.
The absence can be reported via email to HSCA_notifications@cqc.org.uk.
If 28 days’ notice is not possible, you must still contact the CQC.
9c. How can you support a member of staff who is subject to a safeguarding enquiry?
Your disciplinary policy should outline the support available to staff. Support could take the form of:
- providing information about any available Employee Assistance Programme
- informing them of professional counselling and occupational health services (if available)
- nominating someone to keep in touch with them throughout the enquiry (if they are suspended from work).
9d. If the outcome of the disciplinary process is dismissal does your safer recruitment policy stipulate that a referral to DBS and the Nursing and Midwifery Council (NMC) should be made?
It is paramount that the disciplinary procedure must state what actions managers have to take if the outcome of the investigation results in dismissal due to gross misconduct, even if they have already resigned.
A disclosure should be made to DBS and NMC if applicable.
For more information about DBS disclosures and NMC referrals, see standard 8.