Effective from: 24 October 2016 Review date: July 2018

Disclosure & Barring Service/Disclosure Scotland:

Referrals Policy & Guidance

What is the purpose of this document?

The purpose of this document is to set out how the GPhC will be transparent, efficient

and effective in making referrals to the, ‘barring’, bodies. This will enhance public

protection as the GPhC meets its obligation to refer relevant individuals.

This policy sets out the GPhC’s approach to referring information about individuals to

either the Disclosure & Barring Service (England & Wales) or Disclosure Scotland. It

outlines the process we will follow and the criteria we will apply. It will ensure that the

right referrals are considered and made.

What version is this document?

The GPhC produces a range of documents as part of upholding standards and public

trust in pharmacy. Some of these are documents that change over time, being updated

on a regular basis or as required. In order to make sure that you have the most up to

date versions, we have created the simple table below. It lets you know the web page

where the document can be found, the version of the document you have so you can

check to see if newer versions have been made, and also the date of publishing.

Version Changes Published Review Date

1.0 First Published Version February 2013 October 2013

2.0 Second Published Version October 2013 December 2014

3.0 Third Published Version March 2015 March 2017

4.0 Fourth published version July 2016 July 2018

4.1 Minor amendment October 2016 July 2018

Hugh Simpson, Director, Policy & Communications is responsible for the content of the policy

Claire Bryce-Smith, Director, Inspection & Fitness to Practise is responsible for the implementation, and assuring the quality, of the policy.

Reference: GP/2016/134

Effective date: 24 October 2016

Review date: July 2018

Agreed by: Director of Strategy, October 2016

Disclosure & Barring Service/Disclosure Scotland: Referrals Policy & Guidance Ref: GP/2016/134

Effective from: 24 October 2016 Review date: July 2018

Disclosure & Barring Service and Disclosure Scotland:

Referrals Policy & Guidance

Introduction

1. This document sets out the policy and guidance1 for considering whether to refer an

individual to the Disclosure and Barring Service (DBS) and Disclosure Scotland (DS).

Purpose of this Policy

2. The policy and guidance ensures that appropriate referrals are made in a transparent

manner and at the appropriate stage of the fitness to practise process. It ensures the

right tests and principles are considered and applied when making a referral. This will

contribute to public protection as the GPhC meets its obligation to make appropriate

referrals.

Policy Statement

3. This policy and guidance should be considered alongside the relevant components of

the Memorandum of Understanding (MoU) between the GPhC and DBS. Different

considerations apply to the referral of individuals depending on the jurisdiction.

4. Referrals to the DBS are governed by the MoU and working principles jointly

developed by the health and social care professional regulators, Department of Health

(England) and the DBS. Individuals in Scotland are covered by the Protecting

Vulnerable Groups (PVG) scheme2, and the requirements of that scheme will apply

when considering relevant cases.

5. Referrals can be made at any stage of the fitness to practise process, but usually:

During an investigation, or3

Once a decision or determination in relation to a case has been made, for example following the imposition of an Interim Order or once a case has been concluded

6. The GPhC will consider making a referral where the criteria set out in Appendix 2 of

Appendix A (in relation to the DBS) or the criteria in Appendix B (in relation to the DS)

are met.

7. Cross-border and cross-list arrangements apply to avoid duplicate referrals. This

means that an individual who is barred from working with children and/or vulnerable

adults in Scotland will also be barred throughout the rest of the UK. Similarly, an

individual who is on one, or both, of the DBS barring lists will also be barred from

working with children and/or vulnerable adults in Scotland.

8. The fact that an individual has been considered for referral remains confidential

regardless of whether they are referred or not.

1 Appendix A & B

2 http://www.disclosurescotland.co.uk/pvg/pvg_index.html

3 http://www.pharmacyregulation.org/raising-concerns/registrants/what-happens-if-complaint-made-against-

me/investigation-procedure

Disclosure & Barring Service/Disclosure Scotland: Referrals Policy & Guidance Ref: GP/2016/134

Effective from: 24 October 2016 Review date: July 2018

Guidance on making Referrals

9. Referrals can be made at any stage of the fitness to practise process. Guidance on the

decision making process and the process for referrals is set out below. Referrals to a,

‘barring body’, will generally follow a five stage process, including:

Initial identification of information which might justify referral of an individual;

Initial screening of cases by the Referral Officer (RO);

referral recommendation made by the Referral Panel;

CE (or delegate) decision to refer;

Referral to the DBS or DS.

10. Referrals are subject to regular quality assurance and audit. A referral should take no

more than 7 weeks from identification of the case until referral to the relevant

organisation is made by the RO.

How the process will operate

Part 1 – Initial identification

11. During a fitness to practise investigation we may receive information about an

individual which indicates that they may present a risk of harm to vulnerable adults or

children.

12. Once we receive information the Monitoring Concerns Manager (MCM) will refer

information to the RO where:

an individual has been cautioned or convicted for an autobar offence; or

there may be safeguarding concerns.

13. The MCM, once aware, will immediately forward the information to the RO.

14. A Professionals Regulation Manager (PRM) is responsible for referring information to

the RO during an investigation, where:

an individual has been cautioned or convicted for an autobar offence; or

an application for an IO is being considered; or

there may be safeguarding concerns.

15. The PRM, once aware, will as a priority forward the information to the RO.

16. Once a decision or determination on a case has been reached at either an

Investigating Committee or Fitness to Practise Hearing, the Scheduling and Hearings

Manger is responsible for :

Identifying cases that should be considered by the Referral Panel on, as a minimum, a monthly basis; and

Forwarding relevant cases to the RO.

17. The information, once collated, will be forwarded as a priority to the RO.

18. Screening criteria for considering cases after a hearing:

Disclosure & Barring Service/Disclosure Scotland: Referrals Policy & Guidance Ref: GP/2016/134

Effective from: 24 October 2016 Review date: July 2018

If any of the following screening criteria apply, the case must be referred to the Referral Officer4 where:

- the outcome is removal; - the nature of the case is a caution or conviction for an offence of a

sexual or violent nature; - the case involved harm to a child or vulnerable adult; - the conviction is an autobar offence; - there is a significant component of the case that involved harm, or

suspected harm, to a child or vulnerable adult; - safeguarding concerns are identified; or - an interim order has been imposed.

If there is any doubt as to what action to take the case should be referred to the

officer for consideration.

Part 2 - The Referral Officer

19. The Director of Inspection and Fitness to Practise will nominate a Referral Officer (RO)

and a Deputy Referral Officer (DRO).

20. The Referral Officer is responsible for:

receiving information about individuals to be considered for referral to the Referral Panel (RP);

making an initial assessment about any referral using the criteria set out in Appendix 2 of Appendix A for the DBS, and the criteria in Appendix B for the DS;

forwarding cases to the RP to consider;

convening meetings of the RP;

sitting with the RP and explaining their initial assessment;

ensuring the RP is aware of the appropriate criteria to apply;

where relevant forwarding cases along with the RP’s recommendation to the CEO (or delegate) to enable the decision about referral to be made;

making any referral to the DBS or DS;

recording all relevant decisions; and

ensuring proper maintenance, management and security of the protected referral folder.

21. The Deputy Referral Officer (DRO) will deputise for the RO, and be responsible for

undertaking all tasks to be undertaken the RO when necessary, and to provide such

support to the RO when required.

Part 3 – Referral Panel

22. A Referral Panel (RP) will consist of at least two GPhC Heads of Function.

23. A RP must consider cases on a monthly basis. However, the RO may convene a RP on more than one occasion in a given month should the need arise. . The cases for consideration will be forwarded by the RO in advance of the meeting.

4 Those that are under consideration for referral will be recorded in the protected folder

Disclosure & Barring Service/Disclosure Scotland: Referrals Policy & Guidance Ref: GP/2016/134

Effective from: 24 October 2016 Review date: July 2018

24. A RP will not include the Head of Quality, Monitoring and Concerns given the audit and assurance function which this role undertakes.

25. The RP is responsible for:

considering cases forwarded by the RO;

applying to each case the criteria for the relevant referral scheme;

making a recommendation about referring, or not, an individual to the DBS or DS.

If the panel is in any doubt as to whether a case should be recommended for referral

then it should recommend a referral.

Part 4 – Sign Off

26. The RO will provide the CE (or delegate) with the RP recommendation and reasons to refer within 5 working days of the panel meeting. The referral recommendation will be agreed or rejected by the CE (or delegate) within 5 working days of receiving the information. Once the CE (or delegate) has notified the RO that a referral to the DBS or DS is to be made, the RO will make the referral) within 5 working days.

Part 4 – Refer

27. Following a decision to refer an individual being made, a referral form supported by relevant information must be sent to the DBS or DS by the RO.

Quality assurance of decisions

28. To ensure consistent and quality decision-making regular quality assurance must take place. Decisions recorded in the protected folder will be quality-assured to ensure the process is effective and that appropriate cases are being considered for referral. The Head of Quality, Monitoring and Concerns is responsible for the quality assurance and audit of decisions related to this Policy and for implementing a process to do this.

Training

29. All staff involved in implementing this policy and guidance must undertake relevant training. All staff will have relevant training included in their induction. Training will be provided for those in the I&FTP directorate who have specific responsibility for identifying potential referrals and those who are involved in the delivery of the DBS/DS process. Training will also be provided if there are legal or policy changes that impact on the role or decisions that a member of staff needs to make with regard to referrals.

Disclosure & Barring Service/Disclosure Scotland: Referrals Policy & Guidance Ref: GP/2016/134

Effective from: 24 October 2016 Review date: July 2018

Appendix A: Disclosure & Barring Service All DBS referrals should be considered against the tests and principles set out in the agreed MoU.

Appendix B: Disclosure Scotland Overview The PVG Scheme is established by the Protection of Vulnerable Groups (Scotland) Act 2007. The Act aims to provide a robust system by which unsuitable people are prevented from doing regulated work with children or protected adults, and by which people who become unsuitable are identified. For it to work effectively, it is necessary for organisations to pass on information to Disclosure Scotland that indicates an individual may be unsuitable to do regulated work so that it can be properly evaluated and appropriate action taken. The GPhC is one of those organisations.

When we should refer

A prerequisite for any organisation to make a referral is that at least one of the referral grounds set out at section 2 of the PVG Act has been met. First of all, the individual must:

Be doing regulated work;

Have been doing regulated work; or

Have been offered or supplied for regulated work. The PVG Act1 places a duty on organisations and personnel suppliers to make a referral when certain criteria are met. The criteria are that:

An individual doing regulated work has done something to harm a child or protected adult; and

The impact is so serious that the organisation has (or would) permanently remove the individual from regulated work. The first of these criteria is known as the referral ground.

The individual must then have done something harmful or inappropriate in respect of a child or protected adult. The harmful or inappropriate behaviour does not have to have taken place in the workplace, or be connected with that person’s work in any way. The referral grounds for those doing regulated work with children and referral grounds for those doing regulated work with adults mirror each other. The subject of the referral must have done one or more of the following:

Harmed a child or protected adult,

Placed a child or protected adult at risk of harm,

Engaged in inappropriate conduct involving pornography,

Engaged in inappropriate conduct of a sexual nature involving a child or protected adult,

Given inappropriate medical treatment to a child or protected adult.

Meaning of ‘harm’

The meaning of the word harm is key to the first two grounds for referral. Harm includes:

1 http://www.legislation.gov.uk/asp/2007/14/contents

Physical harm;

Psychological harm (causing fear, alarm or distress); and

Unlawful conduct which appropriates or adversely affects another person’s property, rights or interests (for example: theft, fraud, embezzlement or extortion).

The Act also provides a meaning for ‘risk of harm’ which includes:

Attempting to harm another;

Trying to get someone else to harm another;

Encouraging someone to harm themselves; or

Conduct otherwise causing, or likely to cause, another to be harmed.

Examples of harmful behaviours include:

Emotional abuse, perhaps by controlling a child with extreme verbal threats

Neglecting a person’s needs, for example by inappropriate feeding or failing to provide appropriate sanitation

Inappropriate physical restraint

Failing to attend to whatever health and safety requirements may be in force

Supplying illegal or unauthorised drugs.

Appendix C: During an InvestigationC

EO o

r D

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FtP

Re

ferr

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lR

efe

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s O

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er

Po

licy/

Op

era

tio

ns

Team

Information received/discovered about an allegation at triage or during an investigation

Apply Criteria and Tests to

consider whether

referral is required

Decision made to Refer?

Criteria applicable/

Escalate to CE or his delegate

Yes

Update Protected

Folder

Review against advised criteria and action as

required

Routine Quality

Assurance of decisions

No

Information to Referral Officer

(RO)

Consider for referral

Pass to FtP Referral Panel

Do not Refer

Confirm Decision to

Refer?

No

Make referral to DBS/DS

Yes

Appendix D: Once a case has been concludedC

EO/D

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Re

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(No

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of

He

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)

FtP

Re

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Co

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ead

of

He

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Po

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Op

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Team

Investigating Committee Outcome

FtP Panel Determination

Consider for Referral

No

Pass to FtP Referral Panel

Apply Criteria and Tests to

consider whether

referral is required

Initial screening. Pass Cases to

Referral Officer (RO)

Decision made to Refer?

Do not Refer

Update Protected

Folder

Criteria applicable/

Escalate to CE or his delegate

Review against advised criteria and action as

required

Yes

Confirm Decision to

Refer?

No

Yes

Routine Quality

Assurance of decisions

Make referral to DBS/DS