4.2 Stage 2: Screening and Initial Decision Making

1. Introduction

The Care Act 2014 sets out the local authority’s responsibility for adult safeguarding: responsibility to ensure enquiries into cases of abuse and neglect. Local authorities must make enquiries, or cause others to do so (see Section 6, Who can carry out an Enquiry), if they reasonably suspect an adult is at risk of, being abused or neglected.

There are a number of steps that should be taken when responding to safeguarding concerns in individual cases including:

• information gathering;
• decision making;
• carrying out an enquiry;
• taking action / developing a safeguarding plan.

2. The Role of the Local Authority

Under the Care Act 2014 all local authorities must make enquiries, or ensure others do so, if they reasonably suspect an adult is experiencing, or at risk of, abuse or neglect (see Safeguarding: What is it and why does it Matter?)

An ‘enquiry’ is the action taken or instigated by the local authority in response to a concern that abuse or neglect may have, or may be taking place.

An enquiry could range from a conversation prior to initiating a formal enquiry with the adult, through to a much more formal multi-agency plan or course of action.  Where the adult lacks capacity or has substantial difficulty in understanding the enquiry, discussions will take place with their representative or advocate.

Whatever the course of action decided, the professional concerned should record the concern, the adult’s views and wishes, any immediate action which is taken and the reasons for those actions.

2.1 Purpose of the Enquiry

The purpose of the enquiry is to decide whether or not the local authority (or another organisation, or person), should act in order to help and protect the adult.

If the local authority decides that another organisation should make the enquiry, for example a care provider, the local authority should be clear about timescales, the need to know the outcomes of the enquiry and what action will follow if this is not done.

2.1.1 Support and involvement of the adult in enquiries

Action that is taken as a result of an enquiry should reflect the adult‘s wishes wherever possible, as stated by them or by their advocate. If they lack capacity, the outcome should be in their best interests if they are not able to make the decision, and be proportionate to the level of concern.

The adult should always be involved from the beginning of the enquiry, unless there are exceptional circumstances that would increase the risk of abuse. If the adult has substantial difficulty in being involved, and where there is no one appropriate to support them, then the local authority must arrange for an independent advocate to represent them (see Independent Advocacy).

2.1.2 Professional roles and responsibilities in enquiries

See also Supervision

Professionals and other staff need to handle safeguarding enquiries in a sensitive and skilled manner to ensure any potential distress to the adult is minimised.

It is likely that the majority of safeguarding enquiries will require the input and supervision of a social worker, particularly more complex situations.

Social workers involved in enquiries should support the adult to realise the outcomes they want and to reach a resolution or recovery. Where abuse or neglect is suspected within a family or informal relationship, for example, it is likely that a social worker will be the most appropriate lead.

Personal and family relationships within community settings can prove both difficult and complex to assess and intervene in. The dynamics of personal relationships can be extremely difficult to judge and rebalance.

Whilst work with the adult usually requires the input of a social worker, other professionals may be involved who have specialist skills and knowledge. For example, health professionals should undertake enquiries and treatment plans relating to medicines management or pressure sores.

3. Information Gathering

3.1 Who to consult

The following is a diagram of who should be consulted when a safeguarding referral has been received (taken from Chapter 14, Care and Support Statutory Guidance). This should also include the adult’s carer and / or family, where appropriate and where it would not put the adult at any further risk or abuse or neglect.

Following information gathering and consultation, if the issue cannot be resolved or the adult remains at risk of abuse or neglect (actual or suspected), the local authority’s duty to enquire (under section 42) continues until it decides what action is necessary to protect the adult and by whom and it can ensure that this action has been taken.

3.2 Principles for local decision making process

The following principles should be applied during the decision making process:

• empowerment: presumption of person led decisions and informed consent;
• prevention: it is better to take action before harm occurs;
• proportionate and least intrusive response appropriate to the risk presented;
• protection: support and representation for those in greatest need;
• partnership: local solutions through services working with their communities;
• communities: have a part to play in preventing, detecting and reporting neglect and abuse;
• accountability and transparency in delivering safeguarding;
• feeding back whenever possible.

3.3 Decision making diagrams

4. Mental Capacity

See also Mental Capacity

Safeguarding enquiries can potentially involve decision making at a number of different stages of the process. Mental capacity must be assessed when decisions are being made or action taken on behalf of a adult.

An assessment of mental capacity should be considered in all safeguarding cases where:

• the adult has a formal diagnosis of cognitive impairment;
• a neuro-psychological assessment testing suggests they are cognitively impaired;
• there are concerns about their capacity, which have been raised by others;
• there are discrepancies in their own evaluation of their abilities;
• there is evidence to suggest they may be undergoing a change in personality;
• they fail to learn from their mistakes;
• they repeatedly make risky or unwise decisions.

For information about the test for mental capacity see Section 4, Determining Capacity, Mental Capacity chapter.

See Stage 3: The Safeguarding Enquiry