4.3 Stage 3: The Safeguarding Enquiry

1. When should an Enquiry take place?

A Section 42 Safeguarding Enquiry is triggered when the following criteria are met:

• The person is 18 years and older, and
• Has care and support needs (whether or not the local authority is meeting any of those needs) and;
• Is experiencing, or at risk of, abuse or neglect, including some aspects of self-neglect; and;
• As a result of those care and support needs is unable to protect themselves from either the risk of, or the experience of abuse or neglect

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 Wellbeing Principle).

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 the Safeguarding Enquiry

Whether it is Buckinghamshire Council or another agency undertaking the enquiry, the objectives are to:

• Establish the facts;
• Ascertain the adults views, wishes and desired outcomes and gain consent / or make a best interests decision;
• Reduce, contain or manage the risk of abuse or neglect in accordance with the wishes of the adult;
• Assess the risks and support needs of the adult and how they might be met;
• Consider at this stage whether the adult has ‘substantial difficulty’ in taking part in the enquiry. Where there is no other suitable person available such as a relative, friend or carer to represent and support them, an independent advocate must be offered, and if accepted, must be provided in accordance with the Care Act 2014. See Independent Advocacy.
• Make sound decisions by assessing the adult’s emotional, physical, intellectual and mental capacity in relation to self-determination and consent and signs of intimidation, misuse of authority or undue influence;
• Make decisions as to what follow-up action should be taken with regard to the person or organisation responsible for the abuse or neglect;
• Make decisions as to what course of action will be taken to 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.

If the adult does not consent to the safeguarding enquiry, 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.

3. What should an Enquiry take into Account?

The wishes of the adult are central, particularly where they have mental capacity to make decisions about their safeguarding. The wishes of those who lack mental capacity are of equal importance. 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 mental capacity or not, may find some types of help quite intrusive. 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 does not have mental 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 far as is 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 have a detrimental effect on the wellbeing of an adult, interventions which remove all contact with family members can 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.

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 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.

4. Who can carry out an Enquiry?

Although the local authority is the lead agency for making enquiries, it can 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.

5. After the 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