The Process

These procedures establish the process for identifying, responding to, and managing situations where an adult may be at risk of abuse or neglect, including taking immediate action where necessary to ensure their safety.

They are a mechanism to help staff combine principles of protection and prevention with adults’ rights to self-determination and positive risk taking; respecting their views wishes, feelings and preferences in accordance with the principles of Making Safeguarding Personal, whilst balancing this with Public and Vital Interests matters and Duty of Care.

The Adult Safeguarding process facilitates multiagency partnerships that provide timely and effective responses to allegations of abuse and neglect.

It is important that procedures provide a framework within which professional skills and knowledge can be used to protect people from and prevent, abuse or neglect, in diverse circumstances and without over-standardising or dictating practice to the detriment of the adult. 

Pan Berkshire procedures have been built around a four-stage process:

Concerns

Following points (47 and 48) have been taken from: Understanding what constitutes a safeguarding concern: FAQs | Local Government Association

Any person or agency has the right to raise a concern. These are raised in relation to persons over the age of 18:

a. who appear to have care and support needs,

b. where there is a concern that they are or may be at risk of abuse or neglect

It is then the responsibility of the Local Authority to determine if the adult:

c. as a result of those care and support needs, is unable to protect themselves from the risk or experience of abuse or neglect

How to raise a concern

Concerns may be raised by anyone, including but not limited to:

• • active disclosure by the adult, where the adult tells someone that they are experiencing abuse and/or neglect
  • passive disclosure where someone has noticed signs of abuse or neglect, for example clinical staff who notice unexplained injuries
  • allegation by a third party, for example a family/friend or neighbour who have observed abuse or neglect or have been told of it by the adult
  • complaints or concern raised by an adult or third party who doesn't perceive it as abuse or neglect. Complaints officers and others should consider whether there are safeguarding matters
  • concern raised by staff or volunteers, others using the service, a carer or a member of the public
  • observation of the behaviour of an adult that gives rise for concern
  • observation of the behaviour of another that gives rise for concern
  • patterns of concerns that emerge through reviews, audits and complaints or regulatory inspections or monitoring visits (CQC etc.).

When responding to a person making a disclosure a range of best practice measures should be considered:

• • speak to the person in a private and safe place
  • assure them that you are taking them seriously
  • listen carefully to them, stay calm and get as clear a picture of the basic facts as you can, but avoid asking too many questions at this stage
  • do not be judgmental or jump to conclusions
  • ask them what they would like to happen and what they would like you to do. If there are concerns about their capacity to make these decisions, apply the Mental Capacity Act
  • do not give promises of complete confidentiality. Explain your Duty to tell your manager or other designated persons, and that the concerns may be shared with others who could have a part to play in protecting them
  • explain how the person will be involved and kept informed
  • explain they will be supported to make decisions to keep themselves safe from further abuse or neglect. Put in place any necessary care and support arrangements
  • if they have specific communication needs, provide support and information in a way that is most appropriate to them.
  • decide whether an advocate may be needed

When raising concerns, workers have a responsibility to act in a timely manner and concerns should be as soon as practicably possible from when the concern is identified.

All professionals raising concerns must ensure they are available for follow-up discussions to support effective decision-making and information sharing. It is essential that the referrer provides accurate contact details and remains contactable after submitting a concern. In cases where the original referrer is unavailable, they must identify an appropriate colleague who can be contacted in their absence to provide further information or clarification if required.

Concerns should be raised to the Local Authority where the abuse or neglect took or is suspected to have taken place. For further information please refer to the following guidance: Commissioning Out of Area Care and Support Services - ADASS

Concerns can be raised in a variety of ways. For professionals, please refer to your organisation’s safeguarding procedure.

For members of the public or adults themselves, concerns can be raised with each Local Authority (Bracknell, Reading, Slough, Windsor & Maidenhead, West Berkshire Council, Wokingham) or in any other way the individual chooses. Members of the public can also contact the Local Authority for advice if they are unsure whether a concern should be raised.

Professionals can contact the Local Authority for advice before raising a concern. Both the Local Authority and the referrer should document this interaction in line with their organisational procedures and ensure there is a legal basis for doing so.

Referrers should be transparent and discuss the concern with the adult (or their representative if lacking capacity), unless to do so would put the adult or others at increased risk.

At the time of identifying concerns of abuse or neglect, referrers should consider whether contact needs to be established with emergency services, including Where an allegation is believed to be of a possible criminal nature, early engagement with Police is vital to preserve evidence and to support the criminal investigation.

Checklist for referrers to consider at time of raising concern:

• • immediate safety issues addressed
  • initial conversation with the adult
  • emergency services contacted and recorded
  • medical treatment sought
  • consent sought
  • Mental Capacity considered
  • Best Interests Decisions made and recorded
  • Public and vital interest thresholds considered and recorded
  • Police report made and evidence preserved
  • referred to Children Services if there are child concerns

Staff contact with the police will fall into four main areas:

• • Reporting a crime – if an individual witnesses a crime, they have a Duty to report it to Police
  • Third Party reporting of a crime – if an individual is made aware of a crime, they should support the adult to report to the Police, or where capacity is lacking, they should make a best interest’s decision to do so. Workers should be mindful of laws surrounding information sharing (below) and should also refer to Information Sharing Protocols.
  • Consultation with Police – seeking advice. This should include communicating where an adult does not want action to be taken but where information is being shared due to the criminal nature of it and/or the public/vital interest thresholds being met.
  • Sharing intelligence and managing

Reminder on Information Sharing:

• • Care Act 2014 share information at an early stage; information sharing agreements or protocols should be in place.
  • Common Law Duty of Confidentiality Right to confidentiality is not absolute: does the public interest served by disclosure of personal information outweigh the public interest served by protecting confidentiality? Could your action prevent a serious crime?
  • Human Rights Act 1998, Article 8 (right to respect of private and family life): Article 8 is not an absolute right and can be overridden if necessary and in accordance with the Interference must be justified and be for a particular purpose. Decision and reasoning should be recorded.
  • Data Protection legislation: lawful basis for processing data: consent, contract, legal obligation, vital interests, public interests, legitimate interests. Vital interests, permits sharing of information where it is critical to prevent serious harm or distress, or in life-threatening situations.
  • Crime & Disorder Act 1998: sec 115 “where disclosure is necessary or expedient for the…reduction and prevention of crime or disorder”.

See Appendix 1 for flowchart on raising concerns.

Response by Local Authority

On receipt of the concern the Local Authority will review the actions already taken by the referrer and address any immediate risk of harm if this has not already been done.

They will then apply the Care Act 2014 s42 (see section 19) to determine whether their statutory duty to undertake an enquiry has been met, where appropriate, they will share this decision with the referrer.

The outcome of the decision may be:

• • That based on the information provided, the concern meets the statutory duty for a enquiry
  • That it is more appropriate for the concern to be addressed through another process, pathway or framework
  • That further information is required in order to make this decision

Local Authorities have the powers under 14.44 in the Care and support statutory guidance - GOV.UK (www.gov.uk) to undertake safeguarding enquiries for people where there is not a section 42 enquiry duty, if the local authority believes it is proportionate to do so, and will enable the local authority to promote the person’s wellbeing and support a preventative agenda.

Alternative Frameworks

The graphic below shows that even when the criteria for a enquiry under s42 of the Care Act is not met, effective work can happen within other processes for example:

• • People being supported to live safely through good quality assessment and support planning.
  • People’s right to live free from crime can be supported through police interventions, and to recover from the experience of crime through victim support services.
  • People health and wellbeing, and experience of safe services, can be promoted through patient safety approaches in the NHS and good quality responses under clinical governance processes.

Enquiry

Multi-agency Meetings/Discussions

1. When progressing from a concern into an enquiry, the process will be proportionate to the level of risk and need, as determined by the principles of Making Safeguarding Personal (MSP). A discussion or meeting may be the most effective way to ensure coordinated action across agencies, particularly where aspects of the enquiry directly relate to the adult or involve decisions that affect them. These meeting, commonly referred to as strategy discussions, planning meetings, or safeguarding meetings, support a shared understanding and collaborative planning to promote the adult’s wellbeing and desired outcomes.

Meetings must be chaired by an appropriate representative of the Local Authority.

Factors that may inform a decision to convene a meeting/discussion include:

• • The adult (or their advocate/representative) asks for a meeting
  • The nature of the concerns is multi-faceted and/or high risk and/or complex
  • There are multiple people and/or agencies or organisations involved
  • There are different views and opinions

Meetings/discussions may be needed throughout the enquiry.

Enquiry process

The purpose of an enquiry, under s42 (2) Care Act 2014 is to decide whether or not the local authority or another organisation, or person, should do something to help and protect the adult.

The combined effect of s42 and s79 of the Care Act is that the Local Authorities Safeguarding responsibility cannot be delegated. The Duty on the Local Authority under s42 is to “make (or cause to be made) whatever enquiries it thinks necessary to enable it to decide whether any action should be taken…”. The Local Authority does not have to undertake the actual enquiry itself, it has to coordinate, and quality assure the response, including the quality and outcomes of the enquiry.

There are three stages to the process of an enquiry: 

a. Planning the enquiry
b. Undertaking the enquiry
c. Deciding what action to take in light of the enquiry.

The Local Authority can ‘cause to be made’ the undertaking of the enquiry. Stages a) and c) must be undertaken by the Local Authority itself.

Whether it is the Local Authority or another agency undertaking the enquiry, the objectives are to:

• • Establish the facts.
  • Ascertain the adults views, wishes and desired outcomes.
  • Protect the adult from abuse or neglect, in accordance with their wishes.
  • Assess the needs of the adult for protection, support and redress, and how these might be met.
  • Make decisions as to what action should be taken with regard to the person or organisation thought to be the cause of risk.
  • Enable the adult to achieve resolution and recovery.

Professional curiosity means there must be a genuine inquisitive interest in the narrative and facts that are presented and also the ability to question information and objectively evaluate it rather than optimistically accept accounts at face value. All parties should be alert to risk of unconscious bias and be trauma informed.

It will be important to ensure engagement with the adult the earliest It should be considered what conversations have already taken place with the adult, and whether they are sufficient or whether there is more to discuss. The Local Authority should ensure they are aware of the adults views, wishes, feelings and desired outcomes and they should ensure dialogue is maintained to be clear whether these are changing as the enquiry progresses.

During the course of the enquiry, the adult or their representative or advocate should be given information about the steps in the process, and they should be supported to participate as fully as possible

If the adult has capacity for all relevant decisions during the course of the enquiry, in line with Care Act requirements it should be considered whether the adult will have substantial difficulty participating in the process – if they will or they lack capacity they will require an The Local Authority has a Duty to ensure they are supported by an advocate in either of these circumstances. It is acceptable to use informal advocates from the adults network, if there is no conflict of interest and this is agreeable to the adult. In the event of conflict of interest, or no such person being available, a referral should be made to the contracted advocacy provider.

One An outcome of the enquiry may be the formulation of a person-centred safeguarding plan for the adult. This will be the responsibility of the relevant agencies to implement and should be overseen by an appropriate individual or organisation. The purpose of the plan is to ensure a person-centred approach to manage risk that is sustainable and only involves those who need to be involved or those that the adult chooses to be involved.

At the conclusion of the enquiry, the Making Safeguarding Personal objectives should be revisited with the adult and/or their This should consider the views, wishes, feelings they expressed at the start of the intervention and throughout (mindful that people’s views can change dynamically) and explore whether they have been achieved or not and why. This is important not only because it keeps the adult truly at the centre of the intervention, but it also helps us to consider strategically what adjustments we need to make to policy and practice to work in an empowering and strengths-based way.

All agencies involved in safeguarding adults must take proactive steps to ensure that the adult is meaningfully involved in the safeguarding process. This includes making reasonable adjustments to accommodate the Adult’s communication, cognitive, cultural, and sensory needs. Such adjustments may include, but are not limited to, the provision of interpreters, advocates, accessible formats (e.g., large print, Braille, or easy-read materials), assistive technology, and culturally appropriate support. These measures should be tailored to the adults preferences and circumstances, ensuring their voice is heard and respected throughout the process.

Safeguarding Plan and Review

The safeguarding plan should have a primary focus on the safety and wellbeing of the adult. This will involve discussion and planning with the adult. The development of this should be coordinated by the Enquiry Officer.

A Safeguarding Plan is separate to an adult’s support plan, and it is possible an adult could have one or both. However, they should inform each other.

Providing care and support can play a key role in reducing the risk of abuse or neglect. However, if this is the intended purpose, the safeguarding plan must clearly outline how the intervention will achieve this goal. The plan should focus specifically on the elements of care and support that help prevent abuse or neglect, or that contribute to the adult’s recovery or resolution.

The safeguarding plan should set out:

• • The steps that are to be taken to assure the future safety of the adult
  • The provision of any support, treatment or therapy, including on-going advocacy
  • Any modification needed in the way services are provided for the adult
  • How best to support the adult through any action they may want to take to seek justice or redress
  • Any ongoing risk management strategy as appropriate
  • In some circumstances it may be appropriate for safeguarding plans to be monitored through other processes. These will usually be business as usual for one or more organisations involved, such as ongoing care management, provision of health or social care services, or support from a voluntary sector service.  Some actions may be for the adult with care and support needs and their family, friends or other support networks to take forward. In other situations, a specific safeguarding plan review may be required.

Reviewing the safeguarding plan

• • Reviews of adult safeguarding plans, and decisions about plans should be communicated and agreed with the adult with care and support needs or their representative. Following the review process, it may be determined that:
  • The adult safeguarding plan is no longer required; or
  • The adult safeguarding plan needs to continue.
  • Any changes or revisions to the plan should be made, new review timescales set (if needed) and agreement reached regarding the lead professional who will continue monitoring and reviewing;

Closing the Enquiry

The enquiry can be closed at any stage. Individuals should be advised on how and who to contact with agreement on how matters will be followed up with the adult if there are further concerns.

Closure records should note the reason for this decision and the views of the adult to the proposed closure. The enquiry officer should ensure that all actions have been taken, building in any personalised actions:

• • Agreements with the adult to closure; 
  • Referral for assessment and support; 
  • Advice and information provided;
  • All organisations involved in the enquiry updated and informed;
  • Feedback has been provided to the referrer; 
  • Action taken with the person alleged to have caused harm; 
  • Action taken to support other service users; 
  • Referral to children and young people made (if necessary); 
  • Outcomes noted and evaluated by adult; 
  • Consideration for a SAR.
  • Any lessons to be learnt.
  • Rationale for decision-making clearly documented, including how risks were assessed and balanced, and how the adult’s views and desired outcomes were taken into account.

Closing enquiries when other processes continue

The enquiry may be closed but other processes may continue, for example, a disciplinary or professional body investigation. These processes may take some time. Consideration may need to be given to the impact of these on the adult and how this will be monitored.

Where there are outstanding criminal investigations and pending court actions, the adult safeguarding process can also be closed providing that the adult is safeguarded.

All closures, no matter at what stage, are subject to an evaluation of outcomes identified by the adult. If the adult disagrees with the decision to close the enquiry their reasons should be fully explored and alternatives offered.

At the close of each enquiry there should be evidence of:

• • Clear closure records as reference in sec 90-91.
  • Enhanced safeguarding practice ensuring that people have an opportunity to discuss the outcomes they want at the start of safeguarding activity.
  • Follow-up discussions with people at the end of safeguarding activity to see to what extent their desired outcomes have been met.
  • Recording the results in a way that can be used to inform practice and provide aggregated outcomes information for Safeguarding Adults Boards.