The LADO and the DSM should discuss whether internal disciplinary investigation is appropriate in cases where;
- it is clear at the outset or when decided by initial considerations that a Police investigation or Social Care enquiry is not necessary; or
- the employer or the LADO is informed by Police or the Crown Prosecution Service (CPS) that a criminal investigation and any subsequent trial is complete or that an investigation is to be closed without charge or a prosecution discontinued; or
- the Police and CPS formally agree to a disciplinary investigation running concurrently with their own investigations.
The discussion should consider any potential misconduct and/or suitability issues on the part of the member of staff and take account of;
- information provided by the Police and/or Social Care;
- the result of any investigation or trial;
- the different standard of proof in disciplinary and criminal proceedings.
The options for action will range from no further action to summary dismissal or not using the person’s services in the future.
If formal disciplinary action is not required, the employer should institute appropriate action within 3 working days. If a disciplinary hearing is required and further investigation is not required, the hearing should be held within 15 working days.
If further investigation is needed to decide upon disciplinary action, the employer and the LADO should discuss whether the employer has appropriate resources or whether the employer should commission an independent investigation because of the nature and/or complexity of the case and in order to ensure objectivity.
The aim of the an investigation is not to prove or disprove the allegation but to obtain, as far as possible, a fair, balanced and accurate record in order to consider the appropriateness of disciplinary action and/or the individual’s suitability to work with children. All possible steps must be taken to avoid repeated interviewing of children.
The investigating officer should aim to provide a report within 10 working days. On receipt of the report the employer should decide within 2 working days whether a disciplinary hearing is needed. If a hearing is required it should be held within 15 working days.
If, at any stage, new evidence emerges which make a referral to Children’s Social Care and/or the Police necessary under the safeguarding procedures, the investigation should be adjourned and only resumed if the Police and/or Children’s Social Care indicate that it will not interfere with any child protection enquiries or criminal investigation. Consideration should again be given as to whether suspension is appropriate in light of the new information.
Sharing information for Disciplinary Purposes
If a LADO Strategy Meeting is to be held or if Children’s Social Care or the Police are to make enquiries, the LADO should canvas views on suspension and inform the employer.
Only the employer, however, has the power to suspend an accused employee and they cannot be required to do so by the Local Authority or Police.
The Police and Children’s Social Care should, during the course of their investigations and enquiries, obtain consent to provide the employer and/or regulatory body with statements and evidence for disciplinary purposes.
If the Police or Crown Prosecution Service decide not to charge, or decide to administer a caution, or the adult is acquitted, the Police should pass all relevant information to the employer without delay.
If the adult is convicted, the Police should inform the employer straight away so that appropriate action can be taken.
Suspension
Suspension is a neutral act and should not be automatic. However, it should be considered in any case where;
- there is a cause to suspect a child is at risk of significant harm; or
- the allegations warrant investigation by the police; or
- the allegations are so serious that it might be grounds for dismissal;
- there is evidence/information to indicate that the adult might/has interfered with the investigation or intimidated witnesses
The possible risks should be evaluated and managed in respect of the child/young person involved and any other child in the accused member of staff/volunteer’s home, work or community life. In some cases this will require the employer suspending the person.
The decision to suspend rests with the employer. The employer should, however, make an informed decision by seeking advice from the LADO and from investigative agencies where they are involved.
Record Keeping
Employers should keep a clear and comprehensive record of the allegation, investigation and decisions reached on a person’s confidential personnel file and give a copy to the individual. It should be kept at least until the person reaches normal retirement age or for 10 years if this is longer.
Resignations and ‘Compromise Agreements’
Every effort should be made to reach a conclusion in all cases even if;
- the individual refuses to cooperate, having been given a full opportunity to answer the allegation and make representations
- it may not be possible to apply any disciplinary sanctions if a person’s period of notice expires before the process is complete
‘Compromise Agreements’ must not be used. A ‘Compromise Agreement’ is where a member of staff agrees to resign provided that disciplinary action is not taken and that a future reference is agreed.
Supply, Contract and Volunteer Workers
In the case of Supply, Contract and Volunteer workers, normal disciplinary procedures may not apply. In these circumstances, the LADO and employer should consider jointly with the providing agency, if any, whether to continue to use the person’s services, or to provide future work with children, and if not whether to make a report for consideration of barring or other action.
