Decision Making

Agreeing actions to be taken

It is vital that the adult at risk be in control of decisions as to how risks they face in their life are managed. The desired outcomes are established at the point the concern was raised; however, people’s views and wishes can change throughout the process of the enquiry, so it is important that the desired outcomes are reviewed at all stages of the process.

The adult at risk should experience the safeguarding process as empowering and supportive. The response taken should reflect the nature and seriousness of the risk, and wherever possible and appropriate, support the person to achieve their desired outcomes.

Risk to others including children

Throughout any response within this procedure, it is necessary to consider the safety and wellbeing of others, this may be those people living in the same family home, those in the same care environment or members of the wider public.

Some risk management responses will focus on managing the risk to others. Consent is not required to take actions which are necessary to ensure the safety and well-being of others. However, it would be good practice to inform the person of actions being taken, unless to do so would place any person at further risk.

Where the risk involves a ‘person in a position of trust’ working with adults with care and support needs refer to the Darlington Safeguarding Partnership Managing Allegations Policy and Practice Guidance [PDF document] and report concerns to the local authority.

Concerns regarding risk to children should be reported in accordance with DSP Multi-Agency Child Protection Procedures [New window].

Review actions

The purpose of the review is to evaluate whether the safeguarding actions taken are effectively managing the risk, promoting wellbeing and responding to the desired outcomes of the adult at risk. A series of review meetings may be required.

The format of the review will reflect the course of action undertaken. If for example, a Care Act Assessment has been undertaken to respond to the risk of abuse, then a review should take the format usually required for such reviews.

Whichever format the review takes, it should include appropriate consideration of:
• the current risk to the adult concerned
• any ongoing risks to others, including children
• whether the desired outcomes of the adult are being met
• whether the actions are working to promote the overall individual wellbeing of the adult

The adult at risk should be supported to participate within any such review, receiving support of a representative or advocate. If any point during a risk management response, circumstances change or the views/wishes and desired outcomes of an individual, the process may change accordingly, for example, where there is an escalation of risk of wider risk, it may be appropriate to undertake a strategy discussion/meeting and instigate a formal enquiry.

A local authority safeguarding lead (Safeguarding Adult Manager - SAM) will oversee and coordinate a formal enquiry/investigation.

The SAM will always be a representative of Adult Social Care. The SAM in most cases will also chair the strategy discussion/meeting ensuring that minutes are taken and circulated.

Action to be taken if the person alleged to be causing harm is also an adult at risk

If the person causing abuse or neglect is also an adult at risk, it may be necessary to hold a separate meeting to address the needs of the person alleged to have caused the harm and the risks that they may present. It may be appropriate for a separate care manager/care coordinator to be involved in order to respond to these issues.

In all cases, the care manager, care coordinator or link/key worker representing the adult at risk and the relevant staff working with the person causing harm must be involved/kept informed throughout the safeguarding adults procedure.

Strategy Planning Meeting/Discussion

An Initial Safeguarding Strategy Planning Meeting will be held.

The Safeguarding Strategy Planning/Discussion Meeting should be arranged within 5 working days of the completion of the Initial Enquiry/Investigation.

Formal Enquiries/Investigations should be coordinated by the local authority, and they may cause other agencies to make enquiries on their behalf.

With the exception of cases involving a police investigation, where vital evidence gathering is required, the Strategy Meeting/Discussion should take place before any safeguarding Formal Enquiry/Investigation.

Multi- agency involvement is essential, and a Strategy Meeting is more likely to be needed when a multi-agency response/perspective is required to assess risk and determine the appropriate response as follows:

a multi-agency perspective is required to assess the risk, inform or contribute to the Safeguarding Plan or inform the Formal Enquiry/Investigation
there is a need to coordinate the Formal Enquiry/Investigation
a complex enquiry is being considered
there are concerns about the safety of the service or organisational abuse
a serious crime has occurred
a strategy meeting will assist the adult at risk/representatives to reach resolution and recovery from their experiences

It is important to listen to the adult at risk, both in terms of the alleged abuse and the desired outcomes and resolution they want. What they have to say must be taken seriously and taken into consideration. Individuals have a right to privacy and to be treated with dignity. These values must be respected throughout the Formal Enquiry.

It is also important to consider throughout the strategy meeting ALL risks to any individuals in a household and not just the risks identified in the referral of for a specific individual.

Who should be involved in the Strategy Meeting/Discussion?

The Safeguarding Adult Manager (SAM) will determine who to involve; multi-agency attendance is very important, but attendance should be limited to those who need to know or will be required to contribute to the process. This may include an appropriate representative of any organisation that has a specific role (for example the Safeguarding Adults Lead or the appropriate Safeguarding Adults Manager).

Where the allegation/concern involves abuse occurring within a regulated or contracted service the following must be invited to the Strategy Meeting:

Care Quality Commission
Contract and Commissioning Services
when the support/placement is funded by the Integrated care board (ICB), Continuing Health Care (CHC) they must be invited to the Strategy Meeting, and this includes out of area ICB/CHC/Local Authority teams

The Strategy Meeting participants must provide and consider all relevant and non-recent information (including information from multiple referrals) in the decision-making process.

In circumstances where it is suspected that a criminal offence has been committed in order to ensure that the police investigation is not compromised the Chair must seek advice from the Detective Sergeant prior to the Strategy Meeting to agree who should be invited to attend the Strategy Meeting. In certain circumstances it may not be appropriate to invite the adult at risk or those who have been involved in the care of the adult at risk.

It may be necessary to convene a separate professional only meeting to allow for professional conversations and the Chair of the Strategy Meeting should make this decision in advance.

Participants should have sufficient knowledge of the individual and be able to make decisions concerning the organisation’s role within the Formal Enquiry/Investigation and the resources they may contribute to the safeguarding plan. Any organisation requested to participate in a Strategy Meeting should attend. If no one from the organisation can attend a meeting, they should provide information as requested and make sure it is available to the SAM in advance. Actions may be aligned in the organisation’s absence, so it is crucial information is provided, and any proxy attendees are communicated to the chair in advance of the meeting. The SAM may also wish to plan ahead for a Safeguarding Planning Meeting which should take place 8 weeks from the decision to undertake a Formal Enquiry/Investigation. An urgent strategy could be convened sooner if immediate action may need to be taken.

If the person invited to attend the Strategy Meeting requires the attendance of another person or feels someone else may be appropriate to attend they must obtain permission from the Chair of the meeting who will check with the individual if required.

Should it be determined during the Strategy Meeting that there is someone present who has been involved in the allegation then the meeting must be stopped immediately, and the chair must ask them to leave.

Involving the adult at risk in the Safeguarding Strategy Planning/Discussion Meeting

Whenever possible the adult at risk should be invited to attend the Strategy Meeting (or to part of it) to contribute their views and needs directly to the meeting. It is vital that decisions about safeguarding arrangements are made in partnership with the adult at risk. However, it is also important that the safeguarding process is fair and objective to all concerned and it may not be appropriate for the adult at risk to be present at meetings.

In the event that the adult at risk is not able or does not wish to attend, or it is not appropriate for them to attend, every effort should be made to explain its purpose to the adult at risk, to find out their concerns, what they want to happen, how they want to be involved and the support they feel they need in order to be safe. The desired outcomes of the adult at risk should inform decision making.

In circumstances where an adult at risk does not attend a meeting then an advocate/representative/family member should attend on their behalf unless the adult at risk has capacity to make this decision and says they do not want anyone else to attend on their behalf.

Role of legal representatives at a Safeguarding Strategy Planning/Discussion Meeting

If the adult at risk, their representative or another interested party wishes to bring a legal representative with them to a Safeguarding Strategy Planning Meeting, the Chair of the meeting should be advised of this in advance. Other invitees may need to be informed of the proposed attendance.

legal representatives attending should be advised before the meeting by the chair or SAM that they are a ‘silent supporter’
legal representatives will not actively participate or comment during this type of meeting
Adult social care legal representatives may attend to advise the chair on the legislative requirements and legal duties.

Where the attendee who has requested that legal representative attend does not agree with the above the Chair should liaise with Local Authority Legal Services.

Safeguarding Enquiry/Report

Safeguarding concerns that progress to strategy will not always require a formal enquiry report under Section 42 of the Care Act 2014. The local authority requires all involved to contribute and share their relevant information within the strategy, however if there are occasions where further information is needed from different sources the chair of the strategy can request a formal section 42 enquiry report to be undertaken usually by the local authority social worker / Occupational therapist (safeguarding enquiry officer). The local authority can cause other agencies to make enquiries, however this would inform the strategy meeting and not constitute a formal Section 42 enquiry report on its own.

The Safeguarding Enquiry Officer (SEO- person appointed to carry out the enquiry will draw together relevant information from various activities and produce a Safeguarding Formal Enquiry Report for the Safeguarding Planning Meeting. There is a specific template for this report which is available from the Safeguarding Adults Team at Darlington Borough Council.

The instruction to instigate a safeguarding enquiry will be given by the chair of the safeguarding strategy meeting. The scope of the report will also be stated by the chair but may be contributed to by the participants of the strategy meeting.

Compiling the safeguarding Formal Enquiry report

The Safeguarding Enquiry Officer (SEO) will write a Formal Enquiry Report. This report should provide a summary of enquiry activities and evidence obtained. The report may need to collate information from a range of sources and activities as follows:

the report should be based upon the facts established within the Formal Enquiry/Investigation
any opinions expressed within the report should be referenced
The individual adult at risk’s views and desired outcomes should be clearly referenced within the report and areas that promote the individual’s wellbeing and safety included. Ensuring practitioners are mindful and aligned to the government priorities of ensuring local authorities and partners are ‘making safeguarding personal’ in line with the principles of the Care Act 2014 and Care and sup-port statutory guidance.
the Formal Enquiry report should be focused on the experience of abuse and what actions can safeguard the adult at risk from future harm. The scope of the report will be outlined by the chair of the safeguarding strategy meeting.
if any person could not be interviewed or if certain records could not be ac-cessed, the Formal Enquiry Report should record this and the reasons why
the Formal Enquiry Report should make clear where evidence is taken from dif-ferent sources and when it is contradictory
the report should provide conclusions and recommendations stating how they have been reached, with reference to the burden of proof being the ‘Balance of probabilities’
the report may contain information that relates to different individuals. It may be necessary for reports to be written in a way that enables particular sections to be shared as appropriate or be anonymised through use of initials or removal of names
the Formal Enquiry Report should be signed off by the Chair of the safeguarding strategy meeting prior to Safeguarding Planning Meeting
the report should include details of evidence gathered and the sources of this.
at times sensitive interview minutes may not be included within the report such as HR processes. Salient shared points will be considered as an ongoing part of the enquiry however specific personal details may not be appropriate to be included within the report, executive summaries or references to information can be agreed with the chair as appropriate.
details of records/care plans and other documents examined
details of any reports received

The Safeguarding Enquiry Officer’s (SEO) final report should be sent to the Chair 7 working days prior to the meeting.

The Chair should consider:

Local information sharing protocols and guidance
Chair to consider if it is appropriate to share the report with the attendees in ad-vance of the Safeguarding Strategy Planning Review Meeting. It may not be ap-propriate to share the report with attendees, and the chair may feel it is more appropriate for the safeguarding enquiry officer to give a summary of information to be included within the minutes due to the sensitive information within the report.
The Chair to look at an agreed communication plan to decide how and when feedback is given to the individual attendees, such as sharing with the individual first prior to the meeting
At times the Chair may identify it appropriate to consider having one meeting in different parts to share the information with different attendees. This is around sensitivity in sharing information and minutes will be redacted accordingly.
All decisions, actions and disagreements should be clearly recorded. In line with DSP Professional Challenge Procedure [New Window].
The chair may consider adjournment if the relevant information is not available. This needs to be considered with an appropriate timescale for convening the meeting. This should be escalated through the DSP if information is consistently not provided within identified timescales without just cause.

Principle of Fairness

In undertaking the Formal Enquiry, it is important that it is carried out impartially and with fairness to all concerned:

a Formal Enquiry should be conducted without prejudice. Article 6 The Human rights Act 1998 stipulates that everyone is entitled to a fair and public hearing within a reasonable time
the Formal Enquiry should be undertaken objectively, based upon the finding of facts
a Formal Enquiry should always be sufficiently thorough to ensure a holistic perspective is obtained in relation to the incident occurring (or alleged to have occurred)
the adult at risk should have the opportunity to give their account of what has happened to them and express their desired outcome in regard to the concern
wherever appropriate a person or organisation alleged to have caused harm should be able to respond to allegations and the enquiry findings, in respect to their actions/conduct. However, there will need to be consideration as to when and how the person is informed, so as not to prejudice any other enquiry required or place any person at risk.

Amendments to the Safeguarding Enquiry

The SEO should immediately inform the Chair if during the course of a Formal Enquiry: new information comes to light that suggests new sources of evidence should be considered or additional interviews should be undertaken, however the scope of the enquiry report should be set out by the Chair and any further / additional enquiry should be considered in the context of the wellbeing and safety of the adult at risk of harm.

The chair may then need to review the Safeguarding Enquiry Plan. A Safeguarding Planning Review Meeting can be convened to review the information and any implications for the safeguarding arrangements. A new Safeguarding Enquiry may be required if substantially new concerns or allegations emerge, or any other people are found to be at risk of harm.

Planning interviews

The interventions aligned to the formal safeguarding adults report need to be conducted in a way that is consistent with Darlington Borough Council’s values and the values and ethics of the professional bodies of the practitioner. SEO should ensure that they are considering the needs and wellbeing of those interviewed and consulted.
Always ensure:

the purpose of the interview is fully explained
the venue for the interview is appropriate and private
the person is aware of how the information they are sharing will be used
that the individual understands what is taking place throughout the interview
the interview is conducted at the individual’s own pace; this may involve breaks or more than one interview to be conducted
the adult at risk is not interviewed in the presence of the person alleged to have caused harm
that everything is recorded as fully and accurately as possible
that interviews are carried out sensitively and without pre-judgement of the issues
to avoid wherever possible repeat interviews

Delays with the Formal Enquiry

The Formal Enquiry should be concluded as soon as possible aiming for eight weeks of the strategy discussion/meeting being held and the Safeguarding Enquiry Officer (SEO) must keep the Chair informed of the progress of the Formal Enquiry. This should not impact on the protection plan for the individual and is not aligned to immediate protective measures. If the Formal Enquiry is delayed, any necessary action(s) must be agreed with the Chair and communicated to other relevant organisations. This needs to be clearly recorded with a rationale. Revised target timescales will ordinarily be communicated to the adult at risk and the person alleged to have caused harm if appropriate.

Distribution of minutes

Safeguarding Strategy Planning/Discussion minutes or Safeguarding Planning Review minutes should be circulated as soon as possible, and any delays communicated to the participants of the meeting. Feedback should be provided in an accessible format for the adult at risk or representative. If there is a delay in circulating the minutes the actions should always be circulated within 5 working days so as not to delay progress. Redactions should be approved by the chair.

Meetings which are recorded by the local authority for the purpose of accuracy will be stored in a secure location and this will be permanently deleted following agreement by all participants that the minutes are a true and accurate reflection of the meeting. This is in line with GDPR principles and data retention policies.

Participants and attendees are not permitted to record the meeting, and the local authority will not share the recording unless legally obliged to do so. Minutes of the strategy meetings pertaining to individuals who are within the court area may be shared for the purposes of transparency in circumstances such as section 21a proceedings (The Mental Capacity Act 2005).

Safeguarding Planning Review Meeting

The purpose of the Safeguarding Planning Review Meeting is to review the actions and findings within a formal safeguarding enquiry if one has been undertaken Safeguarding procedures should be concluded when safe to do so, multiple meetings may be required to address areas of risk.

The Safeguarding Planning Review Meeting involves:

• working towards wishes and desired outcomes of the adult at risk where possible
• reviewing the formal enquiry report
• determining whether abuse or neglect has occurred
• assessing the level of any ongoing risk
• agreeing a Safeguarding Plan where required
• agreeing further actions to be taken
• deciding how any Safeguarding Plan is reviewed and monitored

The decision to hold a Safeguarding Planning Review Meeting is made by the Chair of the Safeguarding process.

A Safeguarding Planning Review Meeting will ordinarily be required where:

a multi-agency perspective is required to review the findings of the Formal Enquiry and or advise on the Safeguarding Plan.
a large-scale enquiry has been undertaken
there are concerns about the safety of the service or organisational abuse
formal actions may be required in relation to a ‘person in a position of trust’ e.g. referral to professional or the Disclosure and Barring Service (DBS)
the Formal Enquiry findings are detailed or complex or indicate a significant difference of opinion about the outcome
a Safeguarding Planning Meeting will assist the adult at risk/representatives to reach resolution and recovery from their experiences
a serious crime has occurred

It is the responsibility of the Chair in any instances of decisions to hold/not hold meetings to ensure that:

decisions are always recorded.
consultation with the adult at risk or relevant parties takes place and is record-ed (inclusive of any best interest decisions)
decisions are communicated

The same considerations should be given as for a Safeguarding Planning/Discussion meeting.

Role of legal representatives at a Safeguarding Planning Review Meeting

The same considerations apply as in the role of legal representatives at a Safeguarding Strategy Planning Meeting/Discussion Meeting.

Reviewing and assessing risk for Safeguarding Plans

Routine review of the risks should take place throughout the process and include feedback from the adult at risk, their representative or advocate. If a decision that abuse has occurred has been reached the risks must be reviewed and included in the Safeguarding Plan. The Chair will need to ensure that agreed safeguarding plans are implemented. Any party that is unable to complete an agreed action should notify the Chair at the earliest opportunity.

Agreeing a Safeguarding Plan with the Adult at Risk

Once enquiries are completed the Local Authority should then determine with the adult what further action (if any) is necessary and acceptable.

any safeguarding plan that impacts on the welfare of the adult at risk should be devised in partnership with them; this may include actions the adult at risk is taking, as well as the actions of the Local Authority and other organisations.
the response taken should reflect the nature and seriousness of the risk, sup-porting the person to achieve their desired outcomes.
any intervention regarding family or personal relationships need to be carefully considered and how to support the adult.
where a person lacks capacity, decisions should be considered in their best interests, or delays to decisions should be considered if the person is likely to re-gain capacity in this area and it is safe to do so.
any risks to others should always be considered, in such instances, consent is not required.