4.1 Stage 1: Initial Safeguarding Actions

1. What is a Concern?

It is the responsibility of all staff (professionals and volunteers) to act on any concerns or evidence of abuse and neglect and to share these with the responsible person in their organisation or the local authority safeguarding adults team.

Staff working in a wide range of agencies need to be vigilant for adult safeguarding concerns and act appropriately when dealing with such concerns.

A concern may be:

• a direct disclosure by the adult themselves;
• raised by staff or volunteers, others using the service, a carer or a member of the public;
• an observation of the behaviour of the adult (including any changes in behaviour or appearance), of the behaviour of another person(s) towards the adult or of one adult using services towards another adult who is using the service.

It should never be assumed that someone else will pass on information which may be critical to the safety and wellbeing of the adult. All staff have a duty of care to pass on their concerns and therefore would be failing in this duty if they did not do so.

2. Taking Immediate Action

Anyone who has concerns about abuse or neglect should first ensure the safety and wellbeing of the adult concerned and then:

• make an immediate evaluation of the risk and take steps to ensure that the adult is in no immediate danger;
• where appropriate, dial 999 for an ambulance if there is need for emergency medical assistance;
• contact the police if a crime has been or may have been committed;
• take care not to move or disturb articles that could be used in evidence, and secure the scene, for example by locking the door to a room;
• contact children’s social care if there are concerns that a child is also at risk;
• if possible, making sure that any other adults are not also at risk.

All staff should be authorised to call emergency services, without referral to a manager, to ensure that there is no delay.

Although staff should do what they can to ensure the immediate safety of an adult, they must not put themselves in risky or dangerous situations.

Staff should contact their line manager, or safeguarding adults lead, to inform them of the situation and seek further advice.

3. Preserving Evidence 

The police will always be responsible for gathering and preserving evidence to pursue criminal allegations against people causing harm, and should be contacted immediately if a crime may have been committed.

The first concern is always to ensure the safety and wellbeing of the alleged victim. However, in situations where there has been or may have been a crime and the police have been called it is important that forensic and other evidence is collected and preserved. The police will attend the scene, and agencies and individuals can ensure evidence is not contaminated by:

• disturbing a ‘scene’ as little as possible, sealing off areas if possible;
• discouraging washing / bathing / eating / drinking / smoking and use of the toilet in cases of sexual assault;
• not cleaning or allowing further use by others of a toilet used by the victim since the alleged incident in cases of sexual assault;
• not handling items which may hold DNA evidence;
• putting any bedding, clothing which has been removed, or any significant items given to you (weapons etc) in a safe, dry place in bags (for example bin liners) if practical.

Staff can contribute to evidence by making a note of their observations in relation to the condition and attitude of the people involved and any actions taken.

4. Responding to Disclosures

Disclosures by the adult themselves should be listened to and recorded carefully as soon as possible, using their own words where possible. Staff should also:

• give assurances that they are taking the concerns seriously;
• listen carefully to what they are saying, staying calm, getting as clear a picture as possible, and avoid asking leading questions;
• not give promises of complete confidentiality;
• not be judgemental or jumping to conclusions.

The adult should not be questioned in detail at this stage, to avoid creating unnecessary stress through repeatedly describing events or creating a perception that they are not believed. Such questioning can also risk the contamination of evidence. This should not detract from the initial seeking of information to establish basic facts.

5. Contact with the Alleged Perpetrator

The alleged perpetrator should not be contacted, unless this is part of an emergency action to safeguard the adult or others (for example, suspending a member of staff following allegations of abuse or neglect).

6. Responding to Abuse or Neglect in a Regulated Setting

See also Framework for the Management of Allegations against People in Positions of Trust (PiPoT).

It is important that all partners are clear where responsibility lies where abuse or neglect is carried out by employees or in a regulated setting, such as a care home, hospital, or college.

The first responsibility to act must be with the employing organisation as provider of the service. However, social workers or counsellors may need to be involved in order to support the adult to recover.

When an employer is aware of abuse or neglect in their organisation, they are under a duty to address this and protect the adult from harm as soon as possible.

Where a local authority has reasonable cause to suspect that an adult may be experiencing or at risk of abuse or neglect, it is under a duty to make (or cause to be made) whatever enquiries it thinks necessary to decide what if any action needs to be taken and by whom (see Stage 1: Initial Safeguarding Actions).

The local authority may well be reassured by the employer’s response so that no further action is required. However, a local authority would have to satisfy itself that an employer’s response has been sufficient to deal with the safeguarding issue and, if not, to undertake any enquiry of its own and any appropriate follow up action (for example referral to the Care Quality Commission and / or professional regulators).

The employer should investigate any concern (and provide any additional support that the adult may need) unless there is compelling reason why it is inappropriate or unsafe to do this. For example, this could be a serious conflict of interest on the part of the employer, concerns having been raised about non-effective past enquiries or serious, multiple concerns, or a matter that requires investigation by the police.

An example of a conflict of interest where it is better for an external person to be appointed to investigate may be the case of a family-run business where institutional abuse is alleged, or where the manager or owner of the service is implicated. The circumstances where an external person would be required should be set out in the local multi-agency procedures. All those carrying out such enquiries should have received appropriate training.

There should be a clear understanding between partners at a local level when other agencies such as the local authority, CQC or the Integrated Care Board (ICB) need to be notified or involved and what role they have. The focus should be on promoting the wellbeing of those adults at risk (see Wellbeing Principle chapter). It may be that additional training or supervision will be the appropriate response, but the impact of this needs to be assessed.

Commissioners of care or other professionals should use safeguarding procedures in a way that reflects the principles above not as a means of intimidating providers or families.

Transparency, open mindedness and timeliness are important features of fair and effective safeguarding enquiries.

CQC and commissioners have alternative means of raising standards of service, including support for staff training, contract compliance and, in the case of CQC, enforcement powers.

7. Recording Concerns

See also Case Recording

It is vital that a written record of any incident or allegation is made as soon as possible after the information is obtained.

Written records must reflect as accurately as possible what was said and done by the people initially involved in the incident either as a victim, suspect or potential witness. The notes must be kept safe as it may be necessary to make records available as evidence and to disclose them to a court.

The record should include:

• date and time of the incident;
• exactly what the adult said, using their own words (their account), where possible, about 
the abuse and how it occurred or exactly what has been reported to you;
• appearance and behaviour of the adult including any changes noticed;
• any injuries observed;
• any actions taken (for example contacting police or other emergency services);
• name and signature of the person making the record.

If the member of staff witnessed the incident, they should write down exactly what they saw.

The record should be factual. However, if the record does contain opinion or an assessment, it should be clearly stated as such and be backed up by factual evidence. Information from another person should be clearly attributed to them.

See Stage 2: Safeguarding Screening and Initial Decision Making