SAFEGUARDING OPERATIONS UNIT ELIZABETH BRASS

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SAFEGUARDING OPERATIONS UNIT ELIZABETH BRASS

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List 99

• What is List 99?
• What is the purpose of List 99?
• How does List 99 work?
• Who is on List 99?

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List 99 Criteria for referral

• Where a relevant employer has ceased to use the
  services of an individual (i.e. dismissed)
  because they are considered unsuitable, following
  misconduct or because of a health condition.
• Where a relevant employer might have ceased to
  use a persons services had that person not ceased
  to provide their services (i.e. resigned)
• Where an individual working with children in the
  education sector is convicted or receives a
  caution.

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List 99 - Department process following receipt of
a referral.

• Automatic barring
• An individual will be automatically included on
  List 99 if they are
• convicted of a specified offence against a child
  under 16, including sexual offences, offences
  involving child pornography and murder, and were
  aged 18 or over and have worked in relevant
  employment
• subject to a disqualification order
• included on the Protection of Children Act List.

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List 99 - Department process following receipt of
a referral (cont.)

• Discretionary barring.
• Check whether there is a record of previous
  convictions or behaviour
• Request supporting evidence from police,
  employers or other appropriate body
• If we are considering any action will invite the
  individual to make representations.
• If appropriate will seek independent risk
  assessment report.

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PoCA

• What is PoCA?
• What is the Purpose of PoCA?
• How does PoCA work?
• Who is on PoCA?

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PoCA who can refer?

• All child care organisations (as defined by the
  Act) have a statutory duty to refer names of
  those individuals that occupied a child care
  position that they consider to be guilty of
  misconduct which harmed or placed at risk of harm
  a child.
• Any other organisation may refer names for
  possible inclusion on the list.
• Childcare organisations must, and other
  organisations, e.g. voluntary organisations,
  sports clubs, religious organisations are
  encouraged to check names against the PoCA List
  and List 99 of anyone they propose to employ in
  posts involving regular contact with children.

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PoCA Criteria for Referral

• Where a worker (in a child care position) has
  been dismissed, resigned, or moved away from work
  with children, on grounds of misconduct which
  harmed a child or placed a child at risk of harm.
• Where an individual has resigned, retired or
  transferred to a non child care position where
  information that demonstrates misconduct which
  harmed a child or placed a child at risk of harm,
  not available at the time has since become
  available.
• Where a organisation has formed the opinion that
  if the individual had not resigned, retired or
  transferred the organisation would have
  dismissed, or would have considered dismissing
  them for misconduct which harmed a child or
  placed a child at risk of harm.
• On receipt of referral decision taken on
  provisional listing.

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PoCA - Confirmation

• In order for the Secretary of State for Education
  to confirm a person on the PoCA List he must form
  the opinion that
• the employer reasonably considered the individual
  to be guilty of misconduct (whether or not in the
  course of his employment) which harmed a child or
  placed a child at risk of harm and
• that the person is unsuitable to work with
  children.
• The Secretary of State for Health must form an
  opinion on whether they are also unsuitable to
  work with vulnerable adults and if so confirm
  them to the PoVA List.

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Implications of Inclusion

• List 99
• Individual is barred from work to which Section
  142 of the Education Act 2002 applies.
• PoCA
• Requirement that regulated childcare
  organisations do not employ individuals included
  on the PoCA List and cease to employ such
  individuals in a child care position if they
  discover that they are included on the PoCA List.
• If confirmed on the PoCA List the individual will
  be committing an offence under Section 35 of the
  Criminal Justice and Court Services Act 2000 if,
  while included on the List the person knowingly
  applies for, offers to do, accepts, or does any
  work in a child care position.
• The Act also ensures that any person included on
  the PoCA List is also included on List 99 and is
  therefore also barred from working in the
  education sector.

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Reviews and Appeals

• The Secretary of State can review an individuals
  inclusion in the Lists if
• - new information is made available
• - evidence of a material change
• Individuals have the right of Appeal to Care
  Standards Tribunal.
• For PoCA the onus is on the Secretary of State
  for Education to confirm that on the balance of
  probabilities misconduct was committed and that
  the individual is unsuitable to work with
  children and/or vulnerable adults.
• For List 99 the Secretary of State is required to
  defend his decision to include a person on List
  99.

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• Questions?

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Contact details

• Telephone
• List 99 01325 392112
• PoCA Advice Line 01325 392030
• Fax [phone]
• E-mail
• List 99 tsm.casework_at_dfes.gsi.gov.uk
• PoCA mailbox.poca_at_dfes.gsi.gov.uk
• Mail
• The Manager (List 99 or PoCA), Safeguarding
  Operations Unit, GF Area E, Mowden Hall,
  Staindrop Road,
• Darlington, Co Durham, DL3 9BG.