4.3 Stage 3: The Safeguarding Enquiry

1. When should an Enquiry take place?

The local authority must make enquiries, or cause another agency to do so, whenever abuse or neglect are suspected in relation to an adult and the local authority thinks it necessary to enable it to decide what (if any) action is needed to help and protect the adult.

The scope of the enquiry, who leads it, its’ nature and how long it take will depend on the particular circumstances.

It will usually start with a designated professional asking the adult their view and wishes, which will often determine next steps.

Everyone involved in an enquiry must work together to focus on improving the adult’s wellbeing (see Promoting Wellbeing).

At this stage, the local authority also has a duty to consider whether the adult requires an independent advocate to represent and support the adult in the enquiry (see Independent Advocacy).

2. Objectives of an Enquiry

The objectives of an enquiry into abuse or neglect are to:

• establish facts;
• ascertain the adult’s views and wishes;
• assess the needs of the adult for protection, support and redress and how they might be met;
• protect from the abuse and neglect, in accordance with the wishes of the adult;
• 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.

The first priority should always be to ensure the safety and wellbeing of the adult.

The safeguarding process should empower and support the adult concerned (see Making Safeguarding Personal). Practitioners should wherever possible seek the consent of the adult before taking any action. However, there may be circumstances when consent cannot be obtained because the adult lacks the capacity to give it (see Mental Capacity), but it is in their best interests to undertake an enquiry.

Whether or not the adult has capacity to consent, action may need to be taken if others are or will be put at risk if nothing is done or where it is in the public interest to take action because a criminal offence has been committed.

It is the responsibility of all staff and members of the public to act on any suspicion or evidence of abuse or neglect and to pass on their concerns to a responsible person or agency.

3. What should an Enquiry take into Account?

The wishes of the adult are very important, particularly where they have capacity to make decisions about their safeguarding. The wishes of those who lack capacity are of equal importance (see Section 7, The Mental Capacity Act 2005). Wishes of the adult, however, need to be balanced alongside wider considerations such as the level of risk or risk to others including any children. All adults, regardless of whether they have capacity or not, may find some types of help quite intrusive, such as barring someone they know from their home, or a person they know being taken to court. Some may wish to be helped in less intrusive ways, such as providing advice about different options available to them and the risks and advantages of these various options.

Where an adult lacks capacity to make decisions about their safeguarding plans, a range of options should be identified which help them stay in control of their life as much as possible. Wherever possible, the adult should be supported to recognise what the risks are and how to manage them. Safeguarding plans should help the adult as far as possible to make choices, and develop their own capability to respond to the situation.

Any professional intervention in family or personal relationships needs to be carefully considered. While abusive relationships never contribute to the wellbeing of an adult, interventions which remove all contact with family members may also be experienced as abusive interventions. They risk breaching the adult’s right to family life if not justified or proportionate. Safeguarding adults work needs to recognise that the right to safety needs to be balanced with other rights, such as rights to liberty and autonomy, and rights to family life.

Action might be supportive or therapeutic, or it might involve the application of civil orders, sanctions, suspension, regulatory activity or criminal prosecution, disciplinary action or de-registration from a professional body.

It is important to approach reports of safeguarding incidents or allegations with an open mind.

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

• the adult’s needs for care and support;
• the adult’s risk of abuse or neglect;
• the adult’s ability to protect themselves or the ability of their networks to increase the support they offer;
• the impact on the adult and their wishes;
• the possible impact on important relationships;
• potential of action and increasing risk to the adult;
• the risk, actual or potential, of repeated or increasingly serious acts involving children or other adults being put at risk of abuse or neglect;
• the responsibility of the person or organisation that has caused the abuse or neglect;
• research evidence to support any intervention.

4. Who can carry out an Enquiry?

Although the local authority is the lead agency for making enquiries, it may require other organisations or professions to undertake them. The right person to begin an enquiry will depend on the specific circumstances. In many cases a professional who already knows the adult will be the best person. This may be a social worker, a housing support worker, a GP or other health worker such as a community nurse. The local authority holds the responsibility for ensuring that the enquiry is referred to the right professional or organisation and is acted upon.

The local authority should assure itself that the enquiry satisfies the duty it has to decide:

• what action (if any) is necessary to help and protect the adult;
• by whom;
• to ensure that such action is taken when necessary.

The local authority is able to challenge the body making the enquiry if it considers that the process and / or outcome is unsatisfactory.

4.1 Police

Where a crime is suspected, the police must lead the criminal investigations, with the local authority’s support where appropriate. The local authority’s duty to promote the wellbeing of the adult continues in these circumstances through the assessment and organisation of care and support to ensure the wellbeing of the person; meeting their needs and ensuring their safety. See Safeguarding Case Studies.

4.2 Employers

Employers must ensure that their staff, including volunteers, are trained in recognising the symptoms of abuse or neglect, how to respond and where to go for advice and assistance. They should have shared policy documents that can be easily understood and used by all their staff.

Employers must also ensure all staff keep accurate records, stating the facts and opinions of professionals and others. When completing case records the difference between fact and opinion should be clearly documented.

It is vital that the views of the adult are sought and recorded. These should include the outcomes that the adult wants, such as feeling safe at home, access to community facilities, restricted or no contact with certain individuals or pursuing the matter through the criminal justice system (see Case Recording).

5. The Mental Capacity Act 2005

See also Mental Capacity

People must be assumed to have capacity to make their own decisions and be given all practicable help before anyone treats them as not being able to make their own decisions. Where an adult is found to lack capacity to make a decision then any action taken, or any decision made for, or on their behalf, must be made in their best interests.

Mental capacity is frequently a central issue in adult safeguarding. Applying the Mental Capacity Act 2005 in adult safeguarding enquiries challenges many professionals. It requires great care and consideration, particularly where it appears an adult has capacity for making specific decisions but that puts them at risk of being abused or neglected.

5.1 Ill treatment and wilful neglect

The MCA created the criminal offences of ill treatment and wilful neglect in respect of people who lack the ability to make decisions. The offences can be committed by anyone responsible for that adult’s care and support – paid staff, but also family carers as well as people who have the legal authority to act on that adult’s behalf (that is someone with power of attorney or Court appointed deputies; see Section 7.2 Attorneys and deputies below). These offences are punishable by fines or imprisonment.

Ill treatment covers both deliberate acts of ill treatment and also those acts which are reckless and which result in ill treatment.

Wilful neglect usually means that a person has deliberately failed to carry out an act that they knew they had a duty to perform; such acts would be a serious departure from required standards of treatment

5.2 Attorneys and deputies

If someone has concerns about the actions of an enduring power of attorney (EPA), a lasting power of attorney (LPA) or a deputy appointed by the Court of Protection, they should contact the Office of the Public Guardian (OPG). The OPG can investigate the actions of a deputy or attorney and can also refer concerns to other relevant agencies.

When it makes a referral, the OPG will make sure that the relevant agency keeps it informed of the action it takes. The OPG can also make an application to the Court of Protection if it needs to take possible action against the attorney or deputy.

Whilst the OPG primarily investigates financial abuse, it is important to note that that it also has a duty to investigate concerns about the actions of an attorney acting under a health and welfare lasting power of attorney or a personal welfare deputy. The OPG can investigate concerns about an attorney acting under a registered EPA or LPA, regardless of the adult’s capacity to make decisions.

6. What happens after an Enquiry?

Once the wishes of the adult have been understood and an initial enquiry undertaken, discussions should be undertaken with the adult as to whether further enquiry is needed and what further action could be taken.

That action could take a number of courses including:

• disciplinary action;
• complaints;
• criminal investigations; or
• work by contracts managers and CQC to improve care standards.

Those discussions should help the adult to understand what their options might be and how their wishes might best be achieved.

Social workers must be able to set out all options that are open (including action in the civil and criminal courts) as well as other support that might help to promote their wellbeing, such as therapeutic or family work, mediation and conflict resolution, peer or circles of support.

In complex domestic circumstances, it may take the adult some time to gain the confidence and self-esteem to protect themselves and take action, and it should be noted that their wishes may change over time. The police, health service and others may need to be involved to help ensure these wishes are realised.

See Stage 4: Safeguarding Outcomes and Stage 5: The Safeguarding Plan