Stage 3: Safeguarding Response

Strengths based approach

Wherever possible, every conversation with the adult at risk (or their representative) should be from a strengths based perspective. This means that before you talk about external solutions to help achieve an outcome or manage a risk you must support the adult at risk to explore whether there is:

1. Anything within their own power that they can do to help themselves; or
2. Anything within the power of their family, friends or community that they can use to help themselves.

A strengths based approach is empowering for the adult at risk and gives them more control over their situation and how best to resolve any issues in the best way for them. The end result may still be that the local authority or another organisation intervenes, but this decision will have been reached knowing that it is the most proportionate response available.

Adopting a strengths based approach involves:

1. Taking a holistic view of the adult at risk's needs, risks and situation in the context of their wider support network;
2. Helping the adult at risk to understand their strengths and capabilities within the context of their situation;
3. Helping the adult at risk to understand and explore the support available to them in the community;
4. Helping the adult at risk to understand and explore the support available to them through other networks or services (e.g. health);
5. some of the less intrusive or intensive ways the local authority or other organisations may be able to help (such as through prevention services or signposting).

Good information and Advice and Prevention

The duty to provide good information and advice and to consider ways to prevent, reduce or delay needs for care and support applies at all times.

It is vital that you understand your duties in relation to the above. Please use the links below to access further information as required.

• Preventing Needs for Care and Support for information about the duty to prevent, reduce or delay needs;
• Providing Information and Advice for information about the duty to provide good information and advice, including the duty to make sure that information and advice is accessible to the person receiving it.

The objectives of a statutory enquiry under s42 of the Care Act are to:

1. Establish facts (determine what has actually happened/may happen);
2. Ascertain the adult's views and wishes;
3. Assess the needs of the adult for protection, support and redress and how they might be met;
4. Protect from the abuse and neglect, in accordance with the wishes of the adult;
5. Make decisions as to what follow-up action should be taken with regard to the person or organisation responsible for the abuse or neglect; and
6. Enable the adult to achieve resolution and recovery.

When having direct conversations with the adult at risk and others, a professional that knows the adult at risk already may be best placed to do so.

When the abuse or neglect is alleged to be taking place within a family or informal relationship, the local authority will normally be the most appropriate to lead. This is because personal relationships can often prove complex and difficult to assess and intervene in.

The analysis of specialist records, such as ABC charts and Treatment Plans should be undertaken by a professional with relevant knowledge and experience (e.g. a Clinical Psychologist, Psychiatrist, or Community/District Nurse).

Where a service provider is alleged to have caused harm, any analysis of their internal records should normally be undertaken by the Manager of that service (or another appropriate person if concerns relate to the Manager). This is the case unless there is known to be a conflict of interest, there is a history of similar concerns, previous enquiry action by the provider has been inadequate or the police are investigating.

Independent advocates should not be asked to make enquiries, unless that enquiry is to ascertain the views and wishes of the adult at risk about a particular matter, or to support them to understand an action being undertaken by others.

The table below sets out further examples about who may be best placed to carry out particular types of enquiry action:

Under the Care Act, any professional or organisation asked to co-operate in the enquiry has a duty to do so.

If the local authority has asked someone else to make enquiries, it is able to challenge the organisation/individual making the enquiry if it considers that the response and/or outcome are unsatisfactory. In exceptional cases, the local authority may undertake an additional enquiry, for example, if the original enquiry fails to address the safeguarding concern(s). 

Note: Where the approach involves another professional or organisation in making enquiries, the local authority still remains the lead agency, with responsibility for monitoring progress of enquiries made by others and coordinating the safeguarding process. Refer to your local Safeguarding Adults Board for any local guidance.

There is a statutory duty of co-operation and in most cases, there will be an expectation that an enquiry will be made as requested. The statutory duty does not apply if cooperation would be incompatible with an organisation’s own duties, or would have an adverse effect on its own functions.

If an organisation declines to undertake an enquiry or if the enquiry is not done, local escalation procedures should be followed. The key consideration of the safety and wellbeing of the adult must not be compromised in the course of any discussions or escalation, and it is important to emphasise that the duty to co-operate is mutual.

Co-operation between organisations to achieve outcomes is essential and that actions are coordinated to ensure the safety of the adult is paramount. Information sharing should comply with all legislative requirements and be timely.

As the name suggests, single-agency approaches involve one agency. This may be the local authority, but could also be another agency instructed by the local authority to make enquiries.

A single agency approach is appropriate when it is a disproportionate response to involve multiple agencies.

Depending on the information gathered by the single-agency it may be deemed necessary to change to a multi-agency approach, or contact the police when information comes to light which may indicate that a crime has been committed.

A multi-agency approach involves more than one agency, depending on the nature and scope of the enquiries to be made.

A multi-agency approach can be adopted when there are a large number of enquiries to be made, but can equally be deemed appropriate when just a single enquiry action is needed, if a multidisciplinary approach to that action would be beneficial. For example, a joint assessment of need or risk between the local authority and a health professional when the person has complex health needs. 

A multi-agency approach must be co-operative and collaborative in its nature. Information that may impact on enquiries being made by another professional or agency should be shared with the Enquiry Officer at the earliest opportunity to prevent duplicated or enquiries that are no longer relevant being made.

A police-led criminal investigation only takes place when a criminal offence may have been (or is likely to be) committed.

Examples of offences include:

1. Physical assault;
2. Sexual assault or rape;
3. Psychological abuse;
4. Hate crime;
5. Wilful neglect;
6. Unlawful imprisonment; and
7. Theft or fraud.

The above list is not exhaustive.

The Code of Practice to the Criminal Procedure and Investigations Act 1996 (CPIA) defines a criminal investigation as:

"An investigation conducted by police officers with a view to it being ascertained whether a person should be charged with an offence, or whether a person charged with an offence is guilty of it".

Further information about criminal investigations, including the investigation process itself can be found in the College of Policing Authorised Professional Practice.

Deciding whether a criminal investigation is required

The police are responsible for deciding whether a criminal investigation should take place.

The local authority is not responsible for deciding whether a police-led criminal investigation should take place.

The local authority is responsible for supporting the police decision by providing relevant information about the concerns that have been raised.

Making enquiries when there is a criminal investigation

Other enquiries can run alongside a criminal investigation but the criminal investigation will always take precedence.

Where a police investigation is already taking place (or will be) the Enquiry Officer must establish from the investigating officer any potential other enquiry actions that may/may not be carried out.

In particular, any planned conversations with the adult at risk, the person alleged to have caused harm or witnesses should never take place unless the Investigating Officer has agreed to this. When they do take place, they should be done in line with any boundaries set by the officer, so as to prevent anybody being 'tested' prior to any formal police interview.

Any information gathered during other enquiries must be provided to the police to aid their investigation.

Note: Although the Enquiry Officer may have to put investigative enquiry actions on hold, any resilience and recovery actions to support the adult at risk to deal with what has happened and reduce future risk should still take place.

It may be appropriate to instigate a large scale/organisational approach. A large scale/organisational approach should be considered when there a pattern of abuse or neglect allegations relating to a single service provider or person.

Each local authority area has its own mechanism and protocol for responding to organisational safeguarding concerns, which may indicate that an organisational safeguarding enquiry is required. These concerns are likely to be complex and require a more strategic response. Refer to your Local Safeguarding Adults Board for any guidance.

All enquiries need to be planned and coordinated and key people identified. No agency should undertake an enquiry prior to a planning discussion or meeting, unless it is necessary for the protection of the adult at risk or others; however, a planning meeting could be just a discussion with the adult at risk or their representative and the Enquiry Officer.

Dependent upon the complexity of an enquiry the Enquiry Officer/Safeguarding Coordinator may wish to convene a multi-agency planning meeting.

Enquiries are proportionate to the particular situation. The circumstances of each individual case determine the scope and who leads it. Enquiries should be outcome focused, and best suit the particular circumstances to achieve the outcomes for the adult at risk.

There is a statutory duty of co-operation and in most cases there will be an expectation that an enquiry will be made as requested. The statutory duty does not apply if cooperation would be incompatible with an organisation's own duties, or would have an adverse effect on its own functions.

If an organisation declines to undertake an enquiry or if the enquiry is not done, local escalation procedures should be followed. The key consideration of the safety and wellbeing of the adult must not be compromised in the course of any discussions or escalation, and it is important to emphasise that the duty to co-operate is mutual.

When planning an enquiry, a review should be made of:

• The adult’s mental capacity to understand the type of enquiry, the outcomes and the effect on their safety now and in the future;
• Whether consent has been sought;
• Whether an advocate or other support is needed;
• The level and impact of risk of abuse and neglect;
• The adults’ desired outcome;
• The adults own strengths and support networks.

It may be helpful to agree the best way to keep the adult at risk and relevant parties informed. Where the enquiry is more complex and requires a number of actions that may be taken by others to support the outcome, it may be appropriate for a planning meeting to be held. Where enquiries are single agency enquiries, it may not be necessary to hold a meeting. Action should never be put on hold, due to the logistics of arranging meetings. Proportionality should be the guiding principle.

If the adult at risk wishes to participate in a meeting with relevant partners, one should be convened. If the adult at risk does not have the capacity to attend, then an advocate should represent their views. If it is appropriate consideration should be given to notifying Commissioners.

Where one agency is unable to progress matters further, for example a criminal investigation may be completed but not necessarily achieve the adult’s desired outcome (e.g. criminal conviction), the local authority in consultation with the adult and others will/may decide whether further action is needed and if so, what action is needed.

Where the person alleged to have caused harm is also an adult who has care and support needs, organisations should consider what support and actions may help them not to abuse others. For example, enquiries may indicate that abuse was caused because the adult’s needs were not met and therefore a review of their needs should be made.

Where the person alleged to have caused harm is a carer, consideration should be given to whether they are themselves in need of care and support.

Checks might be made whether staff were provided with the right training, supervision and support. Whilst this does not condone deliberate intentions of abuse, prevention strategies to reduce the risk of it occurring again to the adult or other people should be considered.

People who are known perpetrators of domestic violence may benefit from Domestic Abuse Prevention Programmes.

When considering action for people who abuse, prevention and action to safeguard adults should work in tandem.

An evaluation should be carried out as to whether it is safe to share information about the safeguarding concern with the person alleged to have caused harm. The adult at risk should give their informed consent before sharing information with the person alleged to have caused harm. However, where the sharing of information to prevent harm is necessary, lack of consent to information sharing can be overridden.

A record of all actions and decisions must be made. Good record keeping is a vital component of professional practice.

Records may be disclosed in courts in criminal or civil actions. All organisations should audit safeguarding concerns and outcomes as part of their Quality Assurance.

Supervisors should ensure that recording is addressed in supervision and that staff are clear on their responsibilities.

Safeguarding Adults Boards should regularly review the quality of recording, as part of its performance and quality data scrutiny.

Quality recording of adult safeguarding not only safeguards adults at risk, but also protects members of staff and practitioners by evidencing decision-making based on the information available, at the time.

All information gathered during enquiries should be recorded. This includes telephone calls, emails, text messages, letters, face-to-face conversations and meeting, and any other form of communication.

This should take place in line with local recording requirements.

Partner agencies should refer to their own internal policies and procedures as necessary.

The following must be clear from the record:

• What is fact and the evidence for this rationale;
• What is professional opinion;
• What is a view or wish of the adult or their informal network.

Any external documents (including hard copy notes) gathered during enquiries must be stored in line with Data Protection legislation and local recording policy. They should also be stored in a logical manner so they can be easily accessed should the information be requested by legal services or the police.

In some cases, it may be necessary for a report to be collated and written by the Enquiry Officer.

In some more complex enquiries, there may be a number of actions taken by staff from different partner organisations that support the enquiry. Where there are such contributions from other partner organisations, these should be forwarded within agreed formats and timeframes, so that there is one comprehensive report, that includes all sources of information.

An Enquiry Report is likely to be needed only in cases where there is on-going risk and the report is required to aid decision making on continuing risk management action.

Reports need to be concise, factual and accurate. Reports should be drafted and discussed with the adult at risk or their representative. The Enquiry Report needs to address general and specific personalised issues. They should cover:

• Views of the adult at risk;
• Whether the adult at risks desired outcome(s) were achieved;
• Identified risk and actions taken to manage them;
• Whether any further action(s) is required and if so by whom;
• Who supported the adult at risk and if this is an on-going requirement for support;
• Views of the person alleged to have caused harm and their response to any allegations made.

In some enquiries, there will be a disciplinary investigation. The disciplinary investigation is the responsibility of the employer and whilst linked, it remains a separate procedure to the safeguarding enquiry, the focus of which is to help the adult at risk develop resilience and recover from the abuse. It is not appropriate to have sight of any disciplinary investigation report but it could be recorded that the employer had taken appropriate action under disciplinary procedures.

Agencies are responsible for carrying out the recommendations which might be included in future safeguarding plans. Recommendations should be taken forward monitored, and reviewed.

The Enquiry Report should be evaluated so that it meets the standards above, and analysed to assess whether there are gaps or contradictions and that information has been triangulated, i.e. is the report evidence based, and is there sufficient corroboration to draw conclusions.

The Enquiry Report should be discussed with the adult at risk or their representative, who may have a view about whether it has been completed to a satisfactory standard. The adult at risk or their representative must consent before the report can be shared with others. Any Enquiry Report completed and presented as part of any Outcome Review meeting must be fair and balanced to comply with the principles of natural justice.

The local authority should decide if the enquiry is completed to a satisfactory standard. In reaching this decision, the local authority may wish to consult partner organisations involved in the enquiry.

If another organisation has led on the enquiry, the local authority may decide that a further enquiry should be undertaken by the local authority. The exception to this is where there is a criminal investigation and in this case, the local authority should consider if any other enquiry is needed that will not compromise action taken by the Police.