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Initial Enquiries

The scope of the enquiry will depend on the particular circumstances.  It will usually start with asking the adult their views and wishes and this will often determine what next steps to take. Everyone involved in an enquiry must focus on improving the adult’s well-being and work together towards that shared aim.  (The Human Rights legislation balances the need to support people at risk of or experiencing abuse or neglect and respecting the person’s right to a private family life (art 8 HRA 1998).  At this stage the Local Authority has a duty to consider whether the adult requires the support and representation of an independent advocate. Liaising and consulting with relevant persons and partner agencies. To support the person to feel safer, whilst looking at risk in the context of the individual’s wellbeing and overall sense of safety. 

Timescales for approving contact is the responsibility of the practitioner leading on the concern (this is usually a manager or senior practitioner within adult social care). 

Advocacy and the Duty to Involve

  • MCA and best interest decision if a person lacks capacity to understand and consent to safeguarding procedures. 
  • Duty to refer to advocacy under safeguarding (Care Act) 
  • Check duty to cooperate in policy (generally and specifically) 

Local Authorities must involve people in decisions made about their care and support.  No matter how complex a person’s needs, Local Authorities are required to help people express their wishes and feelings, support them in assessing their options and assist them in making their own decisions. The adult at risk must be supported and enabled to contribute their views and wishes with consideration being given to their communication needs. An independent advocate must be provided when an adult at risk lacks mental capacity or has a substantial difficulty in being involved in the safeguarding process and there is no representative to support them. See  SCIE: Commissioning Independent Advocacy under the Care Act [external link].

Making Safeguarding Personal 

Establishing the views of the adult at risk and their desired outcomes must be considered at every stage of the safeguarding process.  Views and wishes and desired outcomes must be obtained from an advocate or family member/representative if the adult at risk is unable to provide these: What does safe look like for them? 

Objectives/actions of an Initial Enquiry

The objectives of an Initial Enquiry into abuse or neglect are to:

  • check whether consent has been given or if best interests, public interests or vital interests apply
  • establish facts by gathering information
  • ascertain the adult’s views and wishes
  • conduct an assessment of risk
  • consider whether capacity assessment(s) are required
  • protect the adult and others from abuse and neglect taking into consideration the views and wishes of the adult
  • establish the need for representation/advocate
  • make decisions as to what follow-up action should be taken with regard to the person or organisation responsible for the abuse or neglect
  • enable the adult to achieve resolution and recovery
  • decide whether the case needs to progress to a safeguarding strategy planning/discussion meeting or requires a risk management response
  • determine if S42 criteria no longer applies following receipt of further information, that the person is able to promote their own safety or protect them-selves from harm. 

The priority should always be to ensure the safety and well-being of the adult who should experience the safeguarding process as empowering and supportive.  Practitioners should wherever practicable seek the consent of the adult before taking action but be aware that it is sometimes necessary to proceed without consent. (See Step 2: The decision to raise a concern: SCIE: Responding without consent [external link]).  

Initial enquiries should be undertaken within 5 working days of the reported concern wherever possible. Any delays to meeting this timescale should be recorded. All parties should be kept informed of any progress.

Gathering information

Information gathering is a process of collecting enough information to enable a decision to be reached as to how the concerns should be responded to.  The person who raised the concern should be contacted where appropriate in relation to their concern in order to:

  • acknowledge the concerns and
  • clarify and/or gather more information about the allegation/concern

Consultation with the individual at risk and other agencies should take place where appropriate for example: 
•    a service providing care and support, for example the care home or housing provider
•    a GP or other health professional
•    a commissioner, Care Quality Commission or other regulator
•    the police
•    voluntary sector organisations
•    specialist services, for example Forced Marriage Unit
•    community safety partnerships
•    domestic abuse services and MARAC
•    relatives and unpaid carers of the adult at risk (where appropriate).

The information gathered will include that gained from a discussion with the individual at risk or their representative.

Local Authorities may choose to undertake safeguarding enquiries for adults where there is not a S42 enquiry duty in cases where the Local Authority believes it is proportionate to do so and will enable the Local Authority to promote the person’s wellbeing and reduce risk. 

Risk Assessment

In considering how to respond the following factors need to be considered:

  • the adult’s need for care and support
  • the adult’s risk of abuse or neglect
  • their wishes
  • the adult’s ability to protect themselves or the ability of their networks to in-crease the support they offer
  • the impact on the adult
  • the possible impact on important relationships
  • the potential increasing risk to the adult
  • the risk of repeated or increasingly serious acts involving children, or another adult at risk of abuse or neglect
  • the responsibility of the person or organisation that has caused the abuse or neglect actions required in the initial protection plan and those responsible for undertaking those actions within specific time scales
  • research evidence to support any intervention (see Practice Tool to aid decision making) [PDF Document]

Factors to consider in the decision-making process

Safeguarding is not a substitute for Provider’s responsibilities to provide safe and high-quality care and support.  In any instances where a commissioner or the Care Quality Commission (CQC) are taking action in relation to a concern, consideration should be given to whether these actions already form an appropriate and proportionate response to the concerns raised. If alleged abuse is identified including organisational abuse, the Local Authority will lead on those aspects. You should consult DSP Executive Strategy Process [new window].  

Alleged abuse by relatives/friends and unpaid carers

  • consider outcomes that supports or offers opportunity to develop/maintain a private life including who the adult at risk wishes to maintain/develop or continue relationships
  • consider the specific circumstances nature of the issues and appropriate proportionate response, for example a Care act assessment
  • consider where initial enquiries indicate unintentional harm or deliberate acts and whether a formal response is required to establish what has happened, what does the person want to happen, are there any issues in relation to the individuals understanding of the alleged abuse. 

It may also be appropriate to consider whether the demands exceed the carer’s ability or capacity, whether the adult’s care and supports needs are unmet, as well as any factors that may increase their vulnerability for example, social isolation, communication or financial difficulties. Other factors to consider may include:

  • whether the carer has a lasting power of attorney or appointeeship
  • a personal or family history of violent behaviour, substance or alcohol issues or mental health concerns
  • Risk of carer breakdown impacting on their physical and mental health and well-being

Unpaid carers sometimes have care and support needs of their own. However, sometimes unpaid carers will only have support needs. In these circumstances this Multi-Agency Policy and Procedure may still be used as a proportionate response to the concerns where appropriate, using its duty to promote wellbeing. This may be appropriate if an unpaid carer experiences intentional or unintentional harm from the adult they are trying to support.

Abuse by another individual with care and support needs

Where the person alleged to have caused harm is also an adult with care and support needs, the safety of both individuals needs to be considered and appropriately risk assessed.  

Out of Area Placements/placements by another commissioning body 

When an individual is placed in Darlington from another commissioning body, such as a local authority or ICB, the manager dealing with the safeguarding concern should inform the commissioning body of the concern raised and remain involved in the ongoing communication and protection plan.  

Organisations may also have responsibilities towards the person alleged to have caused harm if they are together in a residential care setting or have contact because they attend the same setting. The person alleged to have caused harm may be eligible for an assessment or require a reassessment of need. In this situation it is essential that the needs of the adult at risk of harm is addressed separately from the needs of the person alleged to have caused the harm.

When an assessment of need or reassessment is required, this could involve a meeting to consider; if the personal alleged to have caused harm is able to understand his/her actions, reoccurring risk, evidence of targeting behaviour, and wider safety implication to other vulnerable people or the individual themselves.

If the alleged abuse or neglect involves a potential criminal offence the matter must be reported to the police.

Alleged abuse and neglect when the adult does not have care and support needs

Where an initial enquiry has taken place and the individual is not an adult with care and support needs, but there are concerns that there is an issue of alleged abuse or neglect (including self-neglect) consideration should be given to the most appropriate support in relation to the concern. In some instances, the Local Authority may deem it necessary and proportionate to undertake a safeguarding enquiry. Local Authorities may choose to progress further with their enquiries for adults where there is not a S42 enquiry duty in cases where the Local Authority believes it is proportionate to do so and will enable the Local Authority to promote the person’s wellbeing and reduce risk 

Repeat concerns

Concerns of a similar nature should be looked at both individually and in the context of other concerns to ensure a full picture of any potential issue and these concerns should not be disregarded due to the similar nature, this may be indicative of other needs or pressures for that person. 

  • each concern must be considered in its own right
  • wide scope of evidence to be taken into consideration, including reports from police, ambulance, NHS and fire service. An accumulation of concerns which have not progressed may need to be considered fully to ascertain risks and needs of the people involved, for example multiple Vulnerable adult reports (VARs) or multiple peer on peer incidents. 
  • each incident must be recorded and reported appropriately, please see DSP Practice Tool to Aid Decision Making [PDF Document] 
  • organisations should have procedures for responding to such concerns. These will involve an assessment of risk, ensuring the rights of the individual are respected, while also meeting their duty of care to staff members and other individuals.

Abuse by children

If a child is causing harm to an adult with care and support needs this should be dealt with under the Darlington Safeguarding Adults Multi-Agency Policy and Procedures. It is essential that Darlington Borough Council Children’s Services are always informed, and intelligence shared about the child with a view to assessing whether the child is at risk of abuse or neglect and whether a multi-agency response is required, and children’s social care should be involved in the case and attend meetings as required.  

Children and adult services to ensure information sharing processes are in place and robustly used to promote the safety of both children and adults with needs with care and support. 

Medical treatment and examination

In cases of physical abuse, it may be unclear whether injuries have been caused by abuse or as a result of an accident. Medical advice may need to be sought. In all cases if there is the potential to obtain forensic evidence or photographic evidence of abuse the police should always be contacted and there will be the opportunity for a Forensic Medical Examiner (FME) to be involved. 

The consent of the adult at risk should be sought for medical examination or the taking of photographs. Where the person does not have mental capacity to consent to medical examination or the taking of photographs, a decision should be made on the basis of whether it is in the adult’s best interest.

Should it be necessary as part of the investigation/enquiry to arrange for a medical examination to be conducted, the following points should be considered:
•    the rights, issues of capacity and consent
•    the need to preserve forensic evidence
•    the need for support/representation from family members or unpaid carers
•    the need for independent advocacy
•    views and wishes of the adult at risk

Decisions and outcomes of the Initial Enquiry

Upon completion of the Initial Enquiry the Local Authority should determine with the adult what further action is necessary and acceptable.

The outcomes of each Initial Enquiry will differ and will depend upon a range of factors and the complexity of the reported concern.  The views and wishes of the adult and their desired outcomes where achievable should be considered and where able balanced with other issues such as the level of risk to the adult at the centre of the investigation and to others and public interest considerations particularly when criminal offences have been committed. The possible outcomes of the Initial Enquiry are:

  • Closure of concern – Advice, information and signposting to community resources or other agencies
  • Care act assessment / Continuing health care (CHC) checklist 
  • Referral to outward agencies: Occupational health, falls services, carers services etc
  • Communication with referrer about closure of concern
  • The concern could cease at the individuals request - when risks are low, consideration for section 11 refusal of assessment (the Care Act 2014) 
  • Communication with relevant people involved in the persons support and treatment (GP, CPN, Social worker). 
  • Consider further safeguarding referrals for other individuals
  • Consideration for Executive Strategy Procedure [New Window]
  • Consideration for Adult Managing Allegation Procedure [New Window]
  • Progression to safeguarding strategy.

Recording

All actions and decision making undertaken during the Initial Enquiries should be recorded including the rationale for the decisions made and action taken. This is recorded in the Safeguarding Initial Enquiry in Liquid Logic.

Feedback

The outcomes of the initial enquiry should be notified to the relevant people. This must include:

  • the Safeguarding Reporting Manager or person raising the concern. Where the person raising the concern is a member of the public no details of the subsequent action should be shared without the consent of the adult at risk or in their best interests if they lack capacity to consent
  • the adult at risk/representative/advocate
  • if the adult at risk is from out of the area, then the placing authority/funder should be informed

Care Management and Response

This response refers to those circumstances where there is or has been an issue of abuse or neglect, but this would be best managed outside the formal safeguarding process with the persons current support structure, whether that is their community psychiatric nurse (CPN) social worker or care manager from continuing health care (CHC) care manager. The risk should be reflected in the persons care plan and risk assessments with clear responses to the presenting need / risk if appropriate. 

At any time during the Care Management Response the individual can be referred back to safeguarding should the concerns escalate. The decision to use a Care Management Response can be made either at the end of the Initial Enquiry or at any point during the safeguarding process.  This is a proportionate response in keeping with the safeguarding principles and Making Safeguarding Personal (MSP) and considering the views/wishes of the adult at risk and their desired outcomes which may change throughout the process. 

When an individual has been assessed as lacking capacity to understand the safeguarding concern and give a desired outcome, a best interest decision should be made regarding completing the enquiry or closure of the concern. 

Consider advocacy in this situation – see SCIE Commissioning independent advocacy under the Care Act [external link] 

(i)  Issues resolved after Initial Enquiries

This outcome refers to those concerns where there is or has been an issue of alleged abuse or neglect, but no further enquiries are needed, and no further action is required to safeguard the adult at risk or others.  This may be because the Initial Enquiries have satisfied the Local Authority that all the necessary safeguards are in place.  Any agreed actions from the Initial Enquiry should be recorded and it will be the responsibility of the relevant agencies to implement their assigned actions, signposting or care act assessment – outcomes/closure points. 

(ii) Safeguarding Strategy Planning/Discussion Meeting

A meeting will convene to determine what type of response is necessary and whether a formal enquiry/investigation is required. This multi-agency meeting will look at the risks and concerns in respect of the individual, the persons views, and desired outcomes should be gathered and championed within this meeting in accordance with Making Safeguarding Personal. The person should be offered the opportunity to attend the meeting or have someone attend on their behalf like a family member, friend or advocate. 

(iii) Formal Enquiry report (S42 Enquiry)

Whether or not a Formal Enquiry/Investigation (S42 Enquiry) is required will be decided at the first Safeguarding Strategy Planning/Discussion Meeting or review meetings if appropriate. A Formal Enquiry/Investigation is usually required in more complex situations where there is insufficient information available to make a decision on how to proceed, or when it is deemed inappropriate for another agency to make enquiries on behalf of the local authority.

The purpose of a Formal Enquiry report is to: 

  • formally establish the facts regarding an incident or an allegation
  • establish the evidence on which to base interventions particularly those in rela-tion to a person alleged to have caused harm
  • Make recommendations to the chair
  • devise a Safeguarding Plan