SAFEGUARDING ADULTS IN HALTON - Halton Borough Council

SAFEGUARDING ADULTS IN HALTON 

Inter-Agency Policy, Procedures and Guidance 

2010 

Page 1 of 185 (Version 7 Revised 2010) 

www.halton.gov.uk/safeguardingadults




CONTENTS 

Contents 

Page Nos. 

Safeguarding Adults Board Vision and Statement of Commitment 5 

Policy 7 

PROCEDURES AND GUIDANCE 

1. When and Where the Procedures Apply 17 

2. Abuse Definitions, Indicators and Risk Factors 19 

3. Roles and Responsibilities 33 

4. Referring Concerns, Allegations and Disclosures 

(Contact Details Section 4.14) 

5. Interagency Investigatory Framework 59 

6. Strategy Discussions and Initial Strategy Meetings 77 

7. Planning and Conducting the Interviews / Investigation 89 

8. Follow Up Strategy Meeting 97 

9. Safeguarding Adults Case Conference 101 

10. Conclusion of Case and Care Planning 105 

11. Monitoring and Care Planning 109 

12. Reviewing 111 

13. Record Keeping & Minutes of Meetings 113 

14. Capacity and Consent 119 

15. Confidentiality & Information Sharing 135 

16. Other organisations that can provide support, advice and information 141 

17. Legal Framework 145 

18. Glossary of Terms 169 

Other Safeguarding Adults documents referred to in this document are 

available on the website: 

• Interagency documents: 

www.halton.gov.uk/safeguardingadults 

37 

19. References 179 




CONTENTS 

LIST OF APPENDICES 

Page 

1 Appendix 1 Body Charts 183 

1(a). Body chart (Full body) 184 

1(b) Body chart (Head /shoulders) 185 




SAFEGUARDING ADULTS BOARD VISION AND STATEMENT OF 

COMMITMENT 

Agencies that adopt this Inter-agency Policy, Procedure and Guidance, relating to 

safeguarding adults in Halton, agree to work to the following principles. 

All adults have a right to: 

• Live their lives free from violence, fear and abuse. 

• Be protected from harm and exploitation. 

• Independence, which involves a degree of risk. 

HALTON SAFEGUARDING ADULTS BOARD VISION 

As a board our vision for adults who are vulnerable to abuse is encompassed in the 

following statement: 

 

“A Halton where vulnerable people are safe from abuse/harassment; empowered to 

make their own choices and choose risks. Where professionals are supported and 

developed to deliver this.” 

 

 

“The Safeguarding Adults Board will lead and co-ordinate Multi-agency strategy and 

direction, with energy and commitment, to achieve our shared vision.” 

“By working together with top-level commitment from all agencies, the board will raise 

awareness and inspire positive changes in people’s lives.” 






POLICY 

POLICY 

In this Section: 

• Introduction 

• Principles 

• Procedures for responding to individual cases 

• Confidentiality 

• Collaboration at all levels 

• Safeguarding Adults Board (SAB) 

• Operational Level 

• Supervisory Line Management 

• Senior Management Level 

• Chief Officer and Executive Level 

• Standards for Safer Service 




POLICY 

(*Note: numbers in brackets in policy refer to sections in No Secrets) 

Introduction (4.1) 

1. The abuse of vulnerable adults, by relatives, friends, neighbours, strangers and by 

those employed to protect them, has long been acknowledged. 

2. Adults may be more vulnerable to abuse at particular times during their life e.g. illness, 

frailty, disabilities and mental health. 

3. The Department of Health and Home Office issued No Secrets Guidance on 

developing Multi-agency Policies and Procedures to protect vulnerable adults from 

abuse in March 2000. This policy, procedures and guidance adhere to the content of 

No Secrets, which is currently under review. Future updates of this document will take 

into account any new national guidance and statute. 

4. Our primary aim is to prevent abuse where possible, but if the preventative strategy 

fails we will ensure inter-agency procedures are used to deal with incidents of abuse. 

(1.2) 

5. The following definitions apply throughout this document 

• “Adult” means a person aged 18 years or over. (2.2) 

• The broad definition of a vulnerable adult referred to in the 1997 Consultation 

Paper ‘Who Decides’, issued by the Lord Chancellor’s Department, is a person: 

“ Who is or may be in need of community care services by reason of mental or 

other disability, age or illness; and who is or may be unable to take care of him 

or herself, or unable to protect him or herself against significant harm or 

exploitation.” (2.3) “This includes individuals in receipt of social care services, 

those in receipt of services such as health care and those who may not be in 

receipt of services.” (The information Centre for Health and Social Care, 

February 2008). 

• “Community Care Services” will be taken to include all care services provided in 

any setting or context. (2.4) 

Abuse concerns the misuse of power, control and / or authority and can manifest itself 

as: 

• Domestic abuse, which includes psychological, physical, sexual, financial or 

emotional abuse. 




POLICY 

• Discrimination and oppression. 

• Institutional abuse. 

• Financial abuse. 

• Neglect 

Abuse can take place in any setting or location. Abuse may occur when an adult lives 

alone or with a relative, it may also occur within nursing, residential or day services 

settings, in hospital, custodial situations, support services into people’s own homes, and 

other places previously assumed safe. (2.14) 

• Abuse is a violation of an individual’s human and civil rights by any other 

person or persons. (2.5) 

• Abuse may consist of a single act or repeated acts. 

• Abuse can occur in any relationship. 

• May result in significant harm to, or exploitation of, the person subjected to it. 

(2.6) 

• Any adult can be abused. 

6. Incidents of abuse may be multiple, i.e. more than one person at a time, by more than 

one perpetrator and more than one kind of abuse. 

7. Neglect and poor professional practice may take the form of isolated or continuous 

incidents of poor or unsatisfactory professional practice to ill treatment or gross 

misconduct. Repeated incidents of poor care may be an indication of more serious 

problems, i.e. institutional abuse and neglect. (2.9) 

8. Who may be the abuser? 

Vulnerable adults may be abused by a wide range of people including relatives and 

family members, professional staff, paid care workers, volunteers, other service users, 

neighbours, friends and associates, people who deliberately exploit vulnerable people 

and strangers. We recognise that we may have a responsibility in relation to some 

perpetrators of abuse who may be our staff, volunteers, or others acting on our behalf 

and service users. (2.12) 

9. We will achieve the above by (4.3): 

• Actively working together within an Inter-agency framework based upon 

collaboration at all levels. 




POLICY 

• Ensuring that strategies, policies, procedures and services are commensurate 

with this policy, procedure and guidance. 

• Actively promoting the empowerment of those who may be at risk of being 

abused within our own services. 

• Acting in a way, which supports the rights of the individual to lead an 

independent life, based on self-determination and informed personal choice. 

• Supporting people who are unable to take their own decisions and / or protect 

themselves. 

• Supporting self-determination which can involve risk. 

• Ensuring that the law and statutory requirements are appropriately applied. 

• Ensuring staff have appropriate induction, training and supervision and access 

to information commensurate with their roles, responsibilities and needs. 

• Actively promoting and contributing towards Inter-agency safeguarding and 

related training. 

• Making our services accessible to all. 

Policy for responding to individual cases (6) 

10. The first priority should always be to ensure the safety and protection of vulnerable 

adults. It is the responsibility of all staff to act on any suspicions or evidence of abuse 

or neglect and to pass their concerns to a responsible person/agency. (6.2) 

11. Staff will follow the Inter-agency Procedures and will be supported in contributing 

appropriately in the investigation. 

12. Where there is any suggestion that a criminal offence may have occurred the Police 

will be contacted. Criminal Investigations by the Police take priority over all other lines 

of enquiry, including disciplinary investigations. If any organisation has any concerns 

about how its disciplinary procedures may affect a wider investigation they should 

consult the Police as a matter of priority. (No Secrets 2.8). 

13. The Inter-agency Procedures will: 

• Encourage and enable anyone who hears an allegation or disclosure of abuse 

to respond in an appropriate way. 




POLICY 

• Encourage and enable anyone wishing to express a concern or make an 

allegation or disclosure of abuse to do so in the knowledge that they will be 

believed and supported. 

• Ensure a systematic and consistent inter-agency response to all concerns, 

allegations and disclosures of abuse. 

• Provide a decision-making framework for action. 

14. We will work together ensuring that evidence is shared, repeat interviewing is avoided 

this will cause less distress for the person who may have suffered abuse. No 

individual agency’s statutory responsibility can be delegated to another. Information 

sharing will conform to the law. (6.10) 

15. Social Services are identified as the Lead Agency for co-ordination, they will coordinate 

and monitor action and ensure that other agencies involved and the person 

making the initial referral receive updates on progress made unless it is inappropriate 

for them to do so. (3.2) 

16. All agencies will collect and collate data as agreed by the Safeguarding Adults board. 

Confidentiality 

17. We will co-operate in the sharing of appropriate information based on the principles 

defined below: 

• Information will be shared on a need to know basis, taking account of the best 

interests of the service user and any other vulnerable people. 

• Confidentiality will not be confused with secrecy. 

• Informed consent should be obtained but if this is not possible and other people 

are at risk it may be necessary to override any lack of consent. 

• It is inappropriate for agencies to give absolute confidentiality in cases where 

there are concerns about abuse, particularly when other people may be at risk. 

18. Any exchange or disclosure of information must be in accordance with the Data 

Protection Act 1998, the Human Rights Act 1998 and all other applicable legislation. 

19. We recognise that confidentiality must be designed to safeguard the best interests of 

the alleged victim and must not be confused with protecting the management interests 

of an organisation. (5.5 and 5.8) 




POLICY 

20. We will make staff aware that where it appears to an employee or person in a similar 

role, that confidentiality rules may be operating against the interests of vulnerable 

people a duty arises to make a full disclosure in the public interest. 

Collaboration at all levels 

A Multi-agency Safeguarding Adults Board (SAB) exists as a strategic decision 

making body, with Lead Officers from partner agencies that participate in safeguarding 

adults. 

The SAB reports to the Safer Halton Partnership. 

The remit of the SAB is stated in the Terms of Reference, which can be found on the 

website www.halton.gov.uk/safeguardingadults 

The SAB will undertake an annual audit to monitor and evaluate the way in which this 

policy and the Inter-agency procedures are working. Feedback on performance to all 

agencies should be a key feature of the audit process. The audit will include the 

following: 

• An evaluation of community understanding – the extent to which there is 

awareness of the Adult Protection Policy and Procedures. 

• Links with other systems and strategies for protecting those at risk, i.e. Child 

Protection, Domestic Abuse, Victim Support and Community Safety. 

• An evaluation of how agencies are working together and how far the policy 

continues to be appropriate. 

• The extent to which operational guidance continues to be appropriate, in 

general and in the light of reported cases of abuse. 

• The training of staff in all agencies. 

• The conduct and processing in individual cases. 

• The development of services to respond to the needs of adults who have been 

abused. 

• The performance and quality of services for the protection of adults at risk of 

abuse. 

• The above elements will provide outcome measures to be used by 

commissioners and providers of services to monitor and evaluate service 

provision. (3.18) 




POLICY 

• An effective response to the abuse of vulnerable adults will have effective interagency 

and inter- professional collaboration, and collaboration at all levels 

within all agencies. 

• Roles and responsibilities are clear. 

Operational Level 

Operational staff are responsible for identifying and responding to, and in some cases 

investigating, allegations of abuse. This will ensure that there is common 

understanding across agencies at operational level about what constitutes abuse and 

their role in agreed procedures. (3.10) 

Supervisory Line Management 

Responsible managers will ensure that: 

• All appropriate agencies are involved in the strategy for investigations 

• Provision of support 

• Maintain standards of practice 

• Provide the first line of negotiation, if differences arise between agencies. 

Senior Management Level 

Senior Managers in each agency will take a lead role with regard to: 

• the development of policy and strategy 

• issuing operational guidance 

• promote good practice 

• make recommendations to Corporate Management Groups 

• negotiation with other agencies to agree an inter-agency framework. The Lead 

Managers will have comparable discretion and authority to make strategic 

resource decisions. They will also have an understanding of the organisational 

frameworks within which colleagues in different agencies work. (3.12) 

Lead Officers from each agency will submit progress reports to the agency’s Executive 

Management Body or Group to ensure that adult protection policy requirements are 

part of the agency’s overall approach to service provision and service development. 

(3.13) 




POLICY 

Chief Officer and Executive Level 

Chief Officers and Chief Executives will be: 

• regularly briefed on Safeguarding/Adult Protection work within their agency 

• contribute to national developments. 

• respond to and support national policy proposals 

• raise the profile 

• support the policy 

• promote the development of adult protection. (3.14) 

Items on Safeguarding/Adult Protection will be included in the Annual Report that Chief 

Officers are required to submit to that Authority or Agency. (3.15) 

Chief Officers and Chief Executives will keep Authority Members aware of incidents of 

institutional and individual cases of abuse. (3.16) 

Standards for a safer service 

We have agreed to work towards a set of standards that will create safer services. All 

agencies / organisations will develop their own policies, procedures and guidelines 

which will address the following standards: 

• Rigorous recruitment and selection (7.2) procedures, including all appropriate 

forms of vetting, recruitment of the best staff, and should take all positive steps 

to prevent the recruitment of abusers. 

• Services that are person centred, reflective, pro-active and open to question, 

observation and change. 

• Safeguarding Adults becomes embedded in the culture of all organisations. 

• Response to allegations of abuse are immediate. 

• All policies and procedures are compatible with the responsibility to safeguard 

vulnerable adults. (6.27) 

• Procedures exist for reporting to the police when allegations of criminal 

behaviour are made including those made against staff or volunteers. 




POLICY 

References 

• Commissioners and purchasers of services will ensure that contract and 

specification standards provide for a service that protects vulnerable adults, 

adheres to contractual requirements and that appropriate action is taken in 

cases of non-adherence. (5.1. and 5.4) 

• A protected disclosure “whistle blowing policy”, that supports and protects staff 

making complaints, allegations or expressing concerns about abuse. (5.5) 

• Operational guidelines to maintain the best evidence-based practice in dealing 

with: 

• A Code of Conduct that sets unambiguous boundaries for staff / service user 

relationships and states that a sexual relationship which develops between a 

service user and a member of staff will always be regarded as abuse. (6.35) 

• Codes of Practice provided by professional bodies: Nursing and Midwifery 

Council and General Social Care Council. 

• Ensuring that service users, carers and the public are aware of the Policy, 

Procedure and Guidance through a variety of different communication 

mechanisms. (4.1, 5.1, 7.1, 7.7 and 7.8) 

• All staff to receive ongoing personal training and development and are 

appropriately supervised. (3.18, 5.1, 5.2 and 5.3) 

• All staff to receive specific training in relation to adult abuse and protection. 

The Inter-agency Safeguarding Adults Board will carry out an annual audit of the 

progress of organisations towards achieving the standards of safer services. (3.18) 

No Secrets: Guidance on developing Multi-Agency Policy and Procedures to protect 

vulnerable adults from abuse, Department of Health, March 2000. 

The Information Centre for Health & Social Care – Draft Definitions – February 2008. 






SECTION 1 

WHEN AND WHERE THE PROCEDURES 

APPLY 


• The circumstances in which these procedures should be used. 




SECTION 1: WHEN AND WHERE THE PROCEDURES APPLY 

The circumstances in which these Procedures should be used 

1.1 These procedures should be used when there is a concern, allegation, or disclosure of 

abuse against any adult who is a resident of Halton, by any person or persons. Refer 

to Abuse Definitions section. 

1.2 People who self fund their care and support 

People who fully fund their own care and support whether in a care home or other 

setting within the community, will be fully supported by these Safeguarding Adults 

procedures. 

1.3 Self Directed support 

People who direct their own care and support, under “personalisation” arrangements, 

e.g using Direct Payments, Individual Budgets and / or brokerage, will be fully 

supported by these Safeguarding Adults procedures. 




SECTION 2 

ABUSE DEFINITIONS, INDICATORS 

AND RISK FACTORS 


• Defining abuse 

• Types of abuse 

• Risk factors 

• Physical abuse 

• Sexual abuse 

• Financial abuse 

• Neglect 

• Psychological abuse 

• Institutional abuse 

• Domestic abuse 

• Bullying 

• Vulnerable Adult 




SECTION 2: ABUSE DEFINITIONS, INDICATORS & RISK FACTORS 

(see also ‘Definitions’ Aide Memoire – at www.halton.gov.uk/safeguarding) 

Defining abuse 

2.1 Vulnerable Adult 

A vulnerable adult is a person who is or may be in need of community care services by 

reason of mental or other disability, age or illness; and who is or may be unable to 

take care of him or herself, or unable to protect him or herself against significant harm 

or exploitation. This includes individuals in receipt of social care services, those in 

receipt of other services such as health care, and those who may not be in receipt of 

care services. 

2.2 Abuse is any behaviour toward a person that deliberately or unknowingly causes him 

or her harm, endangers their life or violates their rights. 

Abuse may by physical, sexual, financial, psychological or through neglect. Abuse 

may be perpetrated by an individual, a group or an organisation. 

2.3 Abuse concerns the misuse of power, control and / or authority and can manifest itself 

as: 

• Domestic abuse. 

• Racially or religiously motivated assaults. 

• Discrimination and oppression. 

• Neglect 

2.4 Institutional abuse. Harm is defined as follows: 

• Ill-treatment, both physical and emotional. 

• Impairment of physical or mental health 

• Avoidable deterioration in physical or mental health. 

• Impairment of physical, emotional, social or behavioural development. 

Sometimes, a single traumatic event may constitute significant harm, e.g. a violent 

abuse. Often, however, significant harm occurs as a result of a number of significant 

events, both acute and long-standing, which adversely affect physical and 

psychological health and well-being. 

These four categories may be very important to an individual’s ability to recover from 

an illness or have the best quality of life. 




SECTION 2: ABUSE DEFINITIONS, INDICATORS AND RISK FACTORS 

2.5 Types of Abuse 

Abuse can be: 

Discriminatory, physical, sexual, financial, psychological, institutional, neglect 

and bullying. 

Harassment is unwanted conduct, which affects an individual’s dignity. It may be 

related to age, sex, race, disability, culture, religion, sexual orientation, nationality or 

personal characteristic of the victim. Harassment and bullying does not always occur 

face to face – it can occur in written communication, phone calls or emails etc. There 

are various types of harassment and what they all have in common is that they 

represent behaviour which is unwelcome, unpleasant and offensive and results in the 

creation of a stressful or intimidating environment for the recipient, causing an adverse 

effect on self esteem, morale or health. 

Discriminatory and oppressive attitudes motivate this abuse. 

Discriminatory abuse manifests itself as: 

• Physical abuse / assault 

• Sexual abuse / assault 

• Financial abuse / theft etc. 

• Neglect: 

Active 

Passive 

• Psychological abuse / harassment 

2.6 Incidents of abuse may be multiple as follows: 

• Combinations of different types of abuse; 

• To one person in continuing relationship / service context; 

• To more than one person at a time; 

• By more than one perpetrator at a time; 





2.7 Within care service provision, abuse includes isolated incidents of neglect, or poor or 

unsatisfactory practice at one end of the spectrum, through to pervasive ill treatment 

and gross misconduct at the other. Abuse may be deliberate or unintentional, 

knowingly or unwittingly perpetrated. Abuse of a service user may be by another 

service user and may be unintentional or intentional. The intention of a perpetrator of 

abuse, or their capacity to recognise their abusive behaviour or its consequences 

must not affect decisions about what constitutes abuse. Continued abuse by service 

user(s) towards other service user(s) is likely to be an indication of neglect on those 

responsible for providing care and protection. 

2.8 Repeated incidents in institutional care may be an indication of more serious 

problems, i.e. institutional abuse and neglect. A failure to make adequate 

arrangements to protect a service user(s) from repeated acts of abuse by another 

service user is an act of neglect on the part of provider service carers and managers. 

2.9 Risk Factors 

There are certain risk factors and situations that may place people at particular risk of 

being abused. The presence of one or more of these factors does not automatically 

imply that abuse will result, but increases the likelihood. 

• Certain personal assistance needs may present more opportunity for abuse, 

especially where the support for such needs is inappropriate or non-existent. 

For example, where a person needs assistance in managing urinary or faecal 

incontinence or has difficulty in communication (e.g. hearing, vision, speech). 

• Role reversal and the need for intimate personal assistance, for example, 

daughter or son providing personal assistance for a parent may also present 

more opportunity for abuse. 

• Where abuse has occurred previously. 

• Living in the same household as a known abuser. 

• Where there is a history of family abuse. 

• Where an adult is dependent on others, or other are dependent on them. 

• Where there is an imbalance of power and control between an individual and 

others. 

• People with a history of alcohol, drug or other substance abuse. 





• Inappropriate or dangerous physical or emotional environment, for example, 

lack of personal space. 

• People who have independent support. 

• High stress levels. 

• Staff shortages. 

• Lack of awareness of the rights of a service user or of what constitutes abuse 

on the part of the service user and others. 

• Lack of staff awareness, training and supervision. 

• Lack of privacy and the facility to express concerns, in private. 

• Where there is a change in the lifestyle of a member of the household, for 

example, unemployment, employment, illness etc. 

• Cultural differences and language barriers 

• Emotional or social isolation, experienced by a member of the household or 

care setting. 

• Financial problems. 

• Differences in communication or a breakdown in communication. 

• Where the individual’s behaviour is challenging, unpredictable or difficult to 

manage. 

2.10 Discriminatory Abuse 

Discriminatory abuse is unwanted conduct based on a person’s social identity (i.e. 

age, sex, race, disability, culture, religion, sexual orientation, nationality or any 

personal characteristic of the individual), which affects the dignity of the victim. It 

may be persistent conduct or an isolated incident. The key issue is that the actions 

or comments are perceived as demeaning and unacceptable by the recipient. 





2.11 Physical Abuse 

The physical ill treatment of an adult, which may or may not cause physical injury. It 

includes pushing, shaking, pinching, slapping, punching, force-feeding, inappropriate 

manual handling and inappropriate physical or chemical restraint e.g. medication. 

Physical abuse can occur in situations where people are caused unjustifiable 

physical discomfort. This can be through the withholding of care, withholding of 

access requirement or the application of inappropriate techniques, interventions or 

treatments. It can include forced isolation and confinement, e.g. people being locked 

in their room and inappropriate methods of restraint. It also includes the improper 

administration of drugs/medicines or the denial of prescribed medications. 

2.12 Physical Abuse Indicators include: 

• The person discloses either fully or partially that physical abuse is occurring or 

has occurred in the past. 

• Injuries that are not explained satisfactorily. 

• Injuries with a non-accidental component e.g. could be caused by 

inappropriate manual handling or management of challenging behaviour, 

which might also be an issue of neglect or institutional abuse. 

• Person exhibiting untypical self-harm. 

• Unexplained bruising to the face, torso, arms, back, buttocks and thighs in 

various stages of healing. Collection of bruises that form regular patterns 

which correspond to the shape of an object, or which appear on several areas 

of the body. 

• Unexplained burns or bruising on unlikely areas of the body, e.g. soles of the 

feet, palms of the hands and back, immersion burns, rope burns, burns from 

an electrical appliance. 

• Unexplained or inappropriate fractures at various stages of healing to any part 

of the body. 

• Unexplained cuts or scratches to the mouth, lips, gums, eyes or external 

genitalia. 

• Medical problems that go unattended. 





• Sudden unexplained urinary and faecal incontinence. 

• Evidence of over or under medication. 

• Person flinches at actual or expected physical contact. 

• Person appears frightened or subdued in the presence of particular people. 

• Person asks not to be hurt. 

• Person may repeat what perpetrator has said, e.g. ‘shut up or I’ll hit you’. 

• Reluctance to undress part of the body. 

• Person wears clothes that cover all parts of their body or specific parts of their 

body. 

2.13 Sexual Abuse 

Sexual abuse is any form of sexual activity that the adult does not want and to which 

they have not consented, or to which they cannot give informed consent. 

Any sexual relationship that develops between adults where one is a position of trust, 

power or authority in relation to the other will be regarded as sexual abuse. 

Sexual abuse includes, rape (vaginal, anal / or oral), buggery, incest and situations 

where the perpetrator touches the abused person’s body, (e.g. breasts, buttocks, 

genital area), unwanted kissing or exposing his or her genitals (possibly encouraging 

the abused person to touch them), or coercing the abused person into participating in 

or watching sexual acts, pornographic videos or photographs. It is not necessary for 

either the victim or perpetrator to recognise the activity as sexual, for it to constitute 

abuse. 

2.14 Sexual Abuse Indicators include: 

• The person discloses either fully or partly that sexual abuse is occurring or has 

occurred in the past. 

• Person has urinary tract infections, vaginal infections or sexually transmitted 

diseases that are not otherwise explained. 

• Person appears unusually subdued, withdrawn or has poor concentration. 





• Person exhibits significant change in sexual behaviour or outlook. 

• Person experiences pain, itching or bleeding in genital / anal area. 

• Person’s underclothing is torn / stained or bloody. 

• A woman who lacks the mental capacity to consent to sexual intercourse 

becomes pregnant. 

2.15 Financial / Material Abuse 

Financial / material abuse is where the exploitation, inappropriate use, or 

misappropriation of a person’s financial resources or property. 

This includes the withholding of money or unauthorised or improper use of a person’s 

money or property, usually to the disadvantage of the person to whom it belongs. 

2.16 Financial / Material Abuse Indicators include: 

• Lack of money especially after benefit payments. 

• Inadequately explained withdrawals from accounts. 

• Inadequately explained inability to pay bills. 

• Lack of money. 

• Disparity between assets and income and living conditions. 

• Power of Attorney obtained when the person lacks capacity to make this 

decision. 

• Recent changes of deeds / title of house. 

• Recent acquaintances expressing sudden or disproportionate interest in the 

person and their money. 

• Personal possessions being systematically removed from the home. 

• Repeat victimisation by ‘rogue traders’ who are not part of a recognised 

validation system. 





2.17 In addition there are certain factors which may increase the risk of a person being 

financially abused: 

2.18 Neglect 

• Person has guaranteed high benefit income. 

• Person is unable to administer their own money, due to lack of capacity or 

numeracy skills. 

• Person is dependent on people to administer money. 

• Person has several people managing their money. 

• Carers becoming financially dependent on a person / service user. 

• Person who is isolated or lonely being exposed to financial pressure, e.g. from 

loan firms / illegal money lenders / loan sharks. 

• Person known as being isolated or is regarded as vulnerable within the 

community. 

• Person has no independent advocate. 

Neglect is the deliberate withholding or unintentional failure to provide help or 

support which is necessary for the adult to carry out activities of daily living. 

Neglect also includes a failure to intervene in situations that are dangerous to the 

person concerned or to others particularly when the person lacks the mental capacity 

to assess risk. 

Self Neglect 

Self neglect would be dealt with under these Safeguarding Adults procedures only if 

it occurred in the context of abuse or neglect by another party e.g. if it occurred in an 

abusive situation or if it was allowed to occur or continue to occur because of 

neglect. 





2.19 Neglect indicators include: 

• Person has inadequate heating and or lighting. 

• Person’s physical conditions or appearance is poor, e.g. ulcers, pressure 

sores, soiled or wet clothing. 

• Person is malnourished, has sudden or continuous weight loss, or is 

dehydrated. 

• Person cannot access appropriate medication or medical care. 

• Person is not afforded appropriate privacy or dignity. 

• Person and or carer has inconsistent or reluctant contact with health and 

social services. 

• Callers / visitors are refused access to the person. 

• Person is exposed to unacceptable risk. 

2.20 Psychological Abuse 

Psychological abuse may involve the use of intimidation, indifference, ignoring, 

hostility, rejection, threats, humiliation, shouting, swearing or the use of 

discriminatory and / or oppressive language, which results in: 

• The victim’s choices, opinions and wishes being negated. 

• The victim becoming isolated or over dependent. 

Psychological abuse includes: 

• The denial of a person’s human and civil rights including choice and opinion, 

privacy and dignity and being able to follow one’s spiritual and cultural beliefs 

or sexual orientation. 

• Preventing the victim from using services that would otherwise support them 

and enhance their lives. 

• The intentional and / or unintentional withholding of information, e.g. 

information not being available in different formats / languages etc. 





2.21 Psychological abuse Indicators include: 

• Ambivalence, deference, passivity, resignation. 

• Person appears anxious or withdrawn, especially in the presence of the 

alleged perpetrator 

• Person exhibits low self-esteem. 

• Person rejects his or her own beliefs, values or principles, cultural background, 

racial origin or sexual orientation or emotions. 

• Untypical changes in behaviour, e.g. continence problems, sleep disturbance, 

displays of anger, self harm. 

• Person is not allowed visitors, phone calls or other correspondence. 

• Person is locked in a room in their home. 

• Person is denied access to aids or equipment, e.g. glasses, hearing aid, aids 

to mobility. 

• Person’s access to personal hygiene and toilet is restricted. 

• Person’s movement is restricted by use of furniture or other restraints, 

including equipment or medication. 

2.22 Every other category of abuse will almost inevitably involve elements of 

psychological abuse. Signs of psychological abuse may be indicative of other forms 

of abuse taking place. 

2.23 Institutional Abuse 

Institutional abuse can be defined as abuse or mistreatment by a regime as well as 

by individuals within any building where care is provided. 

No Secrets says: 

‘ Neglect and poor professional practice need to be taken into account. This may be 

in the form of isolated incidents of poor or unsatisfactory professional practice, at one 

end of the spectrum, through to pervasive ill treatment or gross misconduct at the 

other. Repeated instances of poor care may be an indication of more serious 

problems’ 





2.24 Institutional Abuse Indicators include: 

• Lack of flexibility / choice / options. 

• Lack of opportunity for drinks or snacks. 

• Lack of choice or consultation over meals. 

• Pressure sores. 

• Skin tears. 

• Dehydration. 

• Person is unkempt and smells. 

• Inappropriate use of communal items and use of communal personal toiletries. 

• Inappropriate restraint. 

• Lack of satisfactory procedures for financial management. 

• Staff member has a history of moving job. 

• Lack of privacy, including editing mail, restricting visits, control of phone. 

• Derogatory remarks overheard. 

• Public discussion of personal matters. 

• Inadequate or delayed response to medical requests or requests for 

assistance or support. 

• Missing documentation. 

• Entering rooms without knocking / seeking permission. 

• Staff overly controlling relationship with service users and service users 

activities. 

• Service users abusive to staff and other service users. 





2.25 Domestic Violence / Domestic Abuse 

The Government defines domestic violence as: 

Any incident of threatening behaviour, violence or abuse (psychological, physical, 

sexual, financial, or emotional) between adults who are or have been intimate 

partners or family members, regardless of gender or sexuality. 

(Family members are defined by Government Association of Chief Police Officers 

(ACPO) and Crown Prosecution Services (CPS) as mother, father, son, daughter, 

brother, sister and grandparents, whether directly related, in-laws or step-family). 

This definition is also applied where there are issues of concern to same sex 

marriages and black and minority ethnic (BME) communities such as so called 

‘honour killings’ and forced marriages. 

Domestic violence is a pattern of abuse and controlling behaviour through which the 

perpetrator seeks to exert power over the victim. 

2.26 Bullying 

Bullying behaviour is a form of abuse and may be defined as ‘the unjustified display of 

verbal or physical aggression on the part of one individual or group towards another’. 

Anyone can bully – friends, partners, family members, members of staff, members of 

the public. 

Bullying tends not to be a one-off incident. It is something that happens again and 

again over a period of time. 

Bullying involves some form of hurtful abuse of power and sometimes involves hitting or 

kicking, but threats and taunting are more common and can be more damaging. 

Bullying can be categorised as: 

• Verbal, e.g. name- calling, swearing or making abusive comments. 

• Indirect, e.g. ignoring or excluding another person 

• Material, e.g. when possessions are stolen or damaged or extortion takes 

place 





• Emotional / Psychological, e.g. when intimidation is used or pressure to 

confirm is applied. 

• Physical, e.g. when a physical assault is made 

Some people know that they are bullying others and they mean to bully, i.e. there is intent. 

However, some people bully others without knowing that what they are doing is bullying. 

• Indirect, e.g. ignoring or excluding another person 

• Material, e.g. when possessions are stolen or damaged or extortion takes place 

• Emotional / Psychological, e.g. when intimidation is used or pressure to 

confirm is applied. 

• Physical, e.g. when a physical assault is made 

Some people know that they are bullying others and they mean to bully, i.e. there is intent. 

However, some people bully others without knowing that what they are doing is bullying. 




SECTION 3 

ROLES AND RESPONSIBILITIES 

In this Section : 

• Provider Agencies and Services 

• Referrers 

• Investigators 

• Those who might be involved in investigations 

• Managers 

• Safeguarding Adults Co-ordinator 




SECTION 3: ROLES AND RESPONSIBILITIES 

3.1 Provider Agencies and Services 

It is essential all individuals and agencies in every sector, understand their roles and 

responsibilities within safeguarding adults. These include ensuring internal guidelines 

are: 

• devised in accordance with the content of this document. 

• available to staff and volunteers working in the agency / service. 

and: 

3.2 Referrers 

• Staff and volunteers are fully informed of their responsibilities and are 

adequately trained, supported and supervised in fulfilling them. 

Every agency and every individual in every sector (public, private and voluntary) must 

regard themselves as a potential referrer. 

This includes the following but the list is not exhaustive. 

• General Practitioners, District Nurses, Health Visitors, Hospital Staff, Nurse 

Agency Staff, Community Psychiatric Nurses, Health Workers including 

Occupational Therapists, Physiotherapists, Chiropodists, Clinical Psychologists, 

speech therapists, counsellors etc. 

• Domiciliary Care Workers including Independent Sector, Local Authority and 

NHS staff. 

• Care Home Staff (this includes staff in what were previously known as nursing 

sector and / or residential care homes). 

• Day service staff. 

• Support Workers, supported living staff and supported housing staff. 

• College /Adult Education Staff. 

• All Social Services staff. 

• Supported employment / employers. 

• Police. 




SECTION 3: ROLE AND RESPONSIBILITIES 

• Staff and volunteers working with children and young people. 

• Benefits Agency and Pensions Service Staff. 

• Leisure service staff. 

• Managers in statutory, voluntary or private sector and organisations. 

• Care Quality Commission (CQC) 

• Service users and other people vulnerable to abuse 

• Unpaid carers 

• Concerned members of the public. 

• Service users’ family members. 

• Housing Workers. 

• Volunteers. 

• Advocates. 

• Communities and the general public 

3.4 Investigators 

• Police. 

• Social Workers and Managers 


• Employers and Provider Service managers, in some instances (e.g. disciplinary 

investigation). 

• NHS designated investigation officers, in case of concerns, allegations and 

disclosures made about abuse occurring in NHS Hospital Trust services / 

facilities. 




SECTION 3: ROLE AND RESPONSIBILITIES 

3.5 Those who might be involved in enquiries allied to Safeguarding investigations: 

• Human Resource / Personnel Sections. 

• Benefits Agency. 

• National Health Service Trust, Nursing and Midwifery Council, (NMC), General 

Medical Council and other related medical professional bodies. 

• General Social Care Council. 

• Others as agreed in Strategy Discussions and Strategy Meetings 

3.6 Managers in all organisations 

Managers’ responsibilities include: 

• Ensuring that this document (and updates) are available to staff and volunteers. 

• Ensuring that these procedures are implemented. 

• Providing for staff and volunteers to receive appropriate induction, training, 

supervision and support in preventing abuse responding to concerns, 

allegations and disclosures, and in implementing these procedures. 

• Ensuring appropriate support for staff and volunteers who raise concerns, 

allegations or disclosures abuse. 

• Ensuring that internal safeguarding procedures and arrangements / templates 

for recording are effectively implemented. 

• Ensuring that safeguarding arrangements within their team or service area are 

audited and monitored and corrective action taken where necessary. 

• Ensuring that other procedures arrange for the safeguarding of vulnerable 

adults – for example, recruitment, disciplinary and confidential and reporting 

procedures. 

3.7 Safeguarding Adults Co-ordinator 

• Supports the work of the Safeguarding Adults Board and sub-groups. 




SECTION 4 

REFERRING CONCERNS, 

ALLEGATIONS AND DISCLOSURES 


 

 

 

 

 

 

Referring or raising a concern about abuse means … 

PROCEDURE TO BE FOLLOWED ON SUSPECTING ABUSE OR HEARING AN 

ALLEGATION, DISCLOSURE OR CONCERN IN ANY SETTING 

Method of referral 

Information that you will be expected to give to Social Services and the Police 

IT IS IMPORTANT THAT…. 

Contact Details for Referral 

Good Practice Guidelines : 

• Recognise signs of abuse 

• Respond to disclosure 

• If someone discloses abuse to you 

• Recording a concern, allegation or disclosure 

• Dealing with immediate incident 

• Protecting or preserving evidence 

• Recording the incident 

• Reporting a concern, allegation or disclosure 

• Reporting concerns about a paid carers, volunteer or manager 

• Flowchart 

• Aide Mémoire 




SECTION 4: REFERRING CONCERNS, ALLEGATIONS AND DISCLOSURES 

(see also Flowchart and Aide Mémoire – Making a Referral later in this section and on 

the website) (see Section 15 – Confidentiality and information sharing if there are 

concerns about disclosing information or confidentiality) 

4.1 As a referrer you are not being asked to verify or prove that information is true. You 

are being asked to – and must - record your concerns and information that comes to 

your notice and report them to the appropriate authorities. The Police have 

responsibility for establishing any criminal offence. (See Section 15 Information 

Sharing and ‘Confidentiality’ if there are concerns about sharing/disclosing 

information) 

4.2 Referring, or raising a concern about abuse, means: 

• Recognising signs of abuse or signs that might indicate abuse. 

• Responding to disclosures. 

• Stepping in, where appropriate, to protect an adult and preserve evidence in 

the immediate aftermath of an incident. 

• Recognising ongoing bad practice. 

• Reporting a concern, disclosure or allegation. 

• Collating and recording initial information. 

• Working strictly in accordance with anti-discriminatory practice. 

You must report any concerns, allegations or disclosures of abuse through formal 

channels, no matter who the alleged perpetrator is, even if he or she is another 

vulnerable adult or a service user. 

People hearing of/receiving concerns, allegations or disclosures should not agree to 

keep things in confidence and will need to explain to the individual concerned that they 

(i.e. the recipient of the information) may need to share information given. 

When a concern, allegation or disclosure of abuse is raised against an institution or a 

paid or volunteer caregiver, there may be other procedures that also have to be 

followed, including: 

• procedures on discrimination, harassment and bullying. 

• complaints procedures. 

• disciplinary procedures. 

• criminal investigations. 





• regulatory procedures (e.g. notification to the Care Quality Commission) 

• Support alternative, care arrangements, legal representation or advocacy for 

the alleged victim of abuse. 

• Support to the alleged abuser, if he or she is a service user. 

Referring through formal channels will ensure that all of these processes are 

effectively co-ordinated. 

If you raise a concern about an organisation or an individual and, you are acting in 

good faith, you will be supported whatever the outcome. Each organisation, agency or 

company should have a protected disclosure or “whistle blowing” policy, but if not, the 

responsibility to report concerns, allegations and disclosures, and to support staff who 

do so remains. 

You may be criticised, or disciplined, for not following the procedure unless you have a 

good reason. If the procedures are not followed this must be recorded, together with 

the reasons, and the manager or senior manager must validate and be able to justify 

it. 

4.3 Not reporting concerns may be regarded as colluding with the abuse. 

4.4 These procedures are designed to ensure that the response to any abusive situation 

is at an appropriate level and happens in the least intrusive way for the adult 

concerned. 

PROCEDURE TO BE FOLLOWED ON SUSPECTING ABUSE OR HEARING 

AN ALLEGATION, CONCERN OR DISCLOSURE IN ANY SETTING 

4.5 Method of Referral 

• Contact details for the Police, Social Services, NHS Trusts and Care Quality 

Commission (CQC) are in Section 4.38 of this document. 

• Referrals should always be made without delay, by telephone, to the 

appropriate agency / agencies. 

4.6 In all cases of an allegation, or concern of abuse, your manager must be informed as 

soon as possible. If your manager is the alleged abuser, you must inform another 

manager, preferably one who is senior to your manager. 

4.7 You should always refer to the Good Practice Guidelines in this document. 





4.8 These are the agencies to contact when making referral 

• In emergency: contact the Emergency Services 

• If the concern, allegation or disclosure is about any setting other than an NHS 

Hospital Trust contact Halton Borough Council Adult Social Care 

• If the concern, allegation or disclosure are about abuse in NHS Hospital Trust 

services / facilities contact the trust and Care Quality Commission (CQC). 

• If the concern, allegation or disclosure is about a Regulated Service e.g. care 

home, domiciliary care or nurse agency or an adult placement scheme, contact 

the Care Quality Commission (CQC). 

• In all cases if you suspect a crime may have been committed, contact the 

Police. A police investigation will take precedence over any other investigation. 

WHAT TO DO 

If you suspect a serious crime has been committed, for example, a sexual assault or 

rape, or a physical assault with a weapon, reasonable steps must be taken to protect 

any possible evidence for the Police to examine. (See also, Protecting and 

Preserving Evidence in this document). 

Make a record of the incident in factual terms as soon as possible. Describe what 

the whole scene looked like. 

4.9 If someone is expressing a concern, disclosing or alleging abuse to you, make a 

record, as soon as possible, of what they are saying, using their own words – (See 

Good Practice on Responding to and Recording Concerns, Allegations and 

Disclosures of Abuse in this document. 

• Tell the alleged victim that your manager will be informed of the allegation of 

abuse. 

• The alleged victims opinions/wishes will be sought to inform the decision 

making process. 

• If the alleged victim cannot make an informed choice, if they are in a life 

threatening situation or other people are at risk you must inform your manger 

4.10 Tell your manager what has happened, as soon as possible, and discuss with them 

whether the concern, incident, allegation or disclosure is to be reported to the Police, 

Social Services and Care Quality Commission (CQC). If your manager is not 

available within the day tell another manager or supervisor. 





4.11 Information that you will be expected to give to Halton Borough Council Adult 

Social Care and the Police: 

• Details of the alleged victim (name, date of birth, address, special needs, 

racial origin, language spoken, current whereabouts). 

• Who you are, how you are involved and your contact details. 

• What happened, where and when. 

• Details of the alleged abuser (name, address, date of birth, relationship to the 

person being referred, special needs, language spoken, current whereabouts). 

• Details of any witnesses to the alleged abuse (name, contact details and how 

they are connected to the situation e.g. colleague). 

• Whether there are any other people involved, including children, who may be 

at risk. 

• Details of other agencies involved and the nature of their involvement. 

• Whether the alleged victim, carers and alleged perpetrator are aware that you 

are making this referral. 

• The alleged victims wishes/opinions regarding the referral 

• The likely movements of the alleged victim, and the alleged perpetrator within 

the next 24 hours. 

• Ensure that adequate steps are taken to protect the alleged victim and any 

other vulnerable people. 

You may not have all of this information but give the Adult Social Care worker and / 

or the Police all the information you do have when making a referral. 

• You must ensure that adequate steps are taken to protect the alleged victim 

and any other vulnerable people, within the day upon which you receive the 

concern, allegation or disclosure. This must involve: 

- Risk assessment 

- Actions that will afford adequate protection to vulnerable people – for 

example, suspension from duty of the alleged abuser, working in a 

different capacity or setting under the full, observed suspension of a 

more senior employee. 





• An early strategy discussion/meeting with Social Services and, where 

appropriate, the Police must also consider whether there is a need and 

justification to share information with others, such as other employers of the 

alleged abuser, Social Services Child Protection Section and registering body 

(e.g. Nursing and Midwifery Council (NMC) or another local authority. 

You must record all of your actions. 

4.12 You will be expected to co-operate with the investigations. You may be required to 

provide a statement, attend strategy meetings, and case conferences, possibly take 

part in interviews and contribute towards the future plans for the adult’s care and / or 

protection. 

IT IS IMPORTANT THAT…. 

• You never ‘go it alone’. Do not start investigating the incident(s) 

yourself. 

• If you receive a disclosure, you confine your questioning to ‘TED’ : 

• Tell me … 

• Explain … 

• Describe … 

• You protect and preserve evidence 

• If the alleged perpetrator contacts you, you do not talk to them about 

the incident. Do not give them any information about the alleged victim, 

including his / her whereabouts. 

• You do not discuss what has happened with carers or relatives of the 

alleged victim of abuse or with other workers at this time. 

4.13 Role of Manager /Supervisor 

• If you have been told of concerns, allegations or disclosures of abuse against 

paid volunteer carers from your own organisation, you or your senior manager 

must consider contacting other professionals/agencies with whom you need to 

share the information. 

• You must report all concerns, allegations and disclosures of abuse against any 

of your colleagues or employees to your senior manager. If you do not have 

this management structure within your agency or organisation, you should 

report directly to the Adult Social Care, Halton Borough Council / or the Police 

and to Care Quality Commission (CQC) in the case of regulated services. 





• If a concern, allegation or disclosure is about abuse in NHS Hospital Trust 

service / facilities these must be referred and dealt with within the Trust’s 

safeguarding procedures and the Care Quality Commission informed. 

• When you make an initial referral to Social Services regarding a concern (as 

opposed to an allegation of disclosure) of abuse you should tell Social Services 

that you are requesting a strategy discussion or a strategy meeting to discuss 

your concerns. 

The protection of vulnerable people must always be a prime concern when taking 

decisions about whether a member of staff continues to work, pending investigation of 

concerns, allegations or disclosures against him / her as an alleged perpetrator of 

abuse. 

Each case needs to be considered on its own merits, whilst maintaining consistency 

where appropriate. 

Every case must be considered thoroughly, a comprehensive risk assessment 

undertaken, decisions taken on the basis of all relevant, available information and a 

risk management plan formulated. This may be part of the multi-agency strategy 

discussion or meeting. However, decisions about whether to suspend staff or other 

means of ensuring the safety of vulnerable people may need to be taken earlier. 

Decisions must be appropriate in the circumstances, taking into account all relevant 

factors including information available (e.g. nature and seriousness of the allegation, 

possible consequences, level of risk). 

A decision or authorisation about suspension will rest with the service’s manager, 

senior manager (Operations Director, in the case of a Social Services employee) or 

proprietor. 

Halton Borough Council’s Personnel section must be informed and should be invited 

to strategy meetings when a concern, allegation or disclosure is made against Social 

Services staff, to enable them to offer advice and inform decisions made by managers. 

In some cases it could be appropriate to move the person against whom the allegation 

is made, to a non-care position or another location, under full supervision pending 

investigation. If this is appropriate, full supervision must be provided at a level where 

the alleged perpetrator is not and cannot be alone with vulnerable people and cannot 

pose any risk of abuse to them. This course of action as an option will depend on the 

circumstances of the case. This action must never be simply the result of concerns 

about resources and lone working is not an option for an alleged perpetrator. 





If an alleged perpetrator is not suspended, managers must be able to justify this 

decision on the basis of risk management, not just as a response to staff 

shortages, and demonstrate that risk is managed effectively. 

Decisions about how to ensure the safety of vulnerable people, including decisions 

about suspension, should be reviewed in line with agreed procedures, when 

indicated as appropriate, during course of an investigation. 

All decisions must be comprehensively recorded, giving the reasons for those 

decisions. 

It is good practice that investigations should be timely, whilst thorough. This will 

avoid staff being suspended for a protracted period, pending decisions about the 

outcome of the investigation. 

4.14 Contact Details for Referral 

• Police 

- In emergency: phone 999 

- Non-emergency: 0845 458 0000 

Cheshire Constabulary 

Public Protection Unit (PPU) 

Runcorn Police Station 

Halton Lea 

Runcorn 

WA7 2HG 

• Halton Borough Council Adult Social Care 

Phone: 01244 613955 

or 

0845 458 000 

OR 

Halton Borough Council’s 

24 hour Contact Centre 

Halton Direct Link – Halton Lea 

Concourse Level 

Rutland House 

Halton Lea Shopping City 

Runcorn 

Cheshire WA7 2ES 

Phone: 0151 907 8306 

Safe Haven Fax : 0151 907 8342 

or 2300 (NB : Any fax sent should be 

accompanied by a phone call) 

Near Halton Lea Library 





Halton Direct Link – Widnes 

7 Brook Street 

Widnes 

Cheshire WA8 6NB 

Halton Direct Link – Runcorn 

Church Street 

Runcorn WA7 1LX 

Near Widnes Market 

Near Bus Depot 

Halton Direct Link – Ditton 

Ditton Library 

Queens Avenue 

Widnes 

WA8 8HR 

(Office hours 8.30am – 5pm Monday to Thursday, Friday 8.30am – 4.30pm) 

Emergency Duty Team (Social Services) operates when day offices are closed. 

Phone: 0845 050 0148 

e-mail : EDT@halton.gov.uk (any e-mail sent should be accompanied by a phone 

call) 


Care Quality Commission 

Citygate 

Gallowgate 

Newcastle upon Tyne 

NE1 4PA 

Phone: 03000 616 161 

Fax: 03000 616 171 

Email : enquiries@cqc.org.uk 

• Five Boroughs Partnership NHS Foundation Trust 

Hollins Park House 

Hollins Lane 

Winwick 

Warrington 

WA2 8WA 

Phone: 01925 664000 





• Warrington and Halton Hospitals NHS Foundation Trust 

Halton General Hospital 

Hospital Way 

Runcorn 

WA7 2DA Phone: 01928 714567 

(Outside of office hours: Phone: 

01925 635911) 

• St Helens & Knowsley Teaching 

Hospital NHS Trust 

Whiston Hospital 

Warrington Road 

Prescot 

Liverpool 

L35 5DR Phone: 0151 426 1600 

GOOD PRACTICE GUIDELINES 

4.15 Recognise Signs of Adult Abuse 

You should also refer to Section 2 - Abuse Definitions Indicators and Risk Factors but 

remember that these lists are not exhaustive. 

Being alert to abuse means: 

• Thinking about what you see and hear and asking if it is acceptable practice. 

• Taking seriously what you are told. 

• Responding to the stresses behind requests for help or other presenting 

problems. 

• Being alert to hints / signals / non-verbal communication that could indicate 

abuse which is being denied, overlooked or hidden. 

• Working strictly in accordance with anti-racist, anti-sexist, anti-ageist and 

anti-discriminatory practice. 





4.16 Respond to Disclosure 

• If a person indicates to you that they want to talk to you in either: 

- In confidence 

- To tell you something but doesn’t want you to tell anyone else 

- Or start to tell you something that you think may be about abuse 

You must not make any promises or undertaking to keep the information 

confidential. You must tell them that you will have to inform your manager. 

(See Aide Memoire ‘Making a Referral’). 

• Incidents of abuse or crimes may only come to light because the abused 

person tells someone. 

• You must be aware that the person may not appreciate the significance of 

what they are sharing, i.e. they may not realise that they or others are being 

abused. 

• Disclosure may take place many years after the actual event or when the 

person has left the setting in which they were afraid. 

• Even if there is a delay between the actual event and the disclosure – you 

must take the person seriously and you must do something about it. 

4.17 If someone discloses abuse to you 

DO : 

• Stay calm and try not to show shock 

• Listen carefully rather than question directly 

• Be sympathetic 

• Be aware of the possibility that medical evidence might be needed 

• If you need to ask for more information, confine your questions to; TED’: “Tell 

me…” “Explain…” “Describe…” 

• Tell the person that: 

- They did right to tell you 





• If : 

- You are treating this information seriously 

- It was not their fault 

- You must inform the appropriate manager 

- The alleged victim or any other persons are at risk of serious harm or 

- A crime is alleged to have been committed action will need to be taken 

with or without the alleged victims consent. 

This will include the manager referring the matter to Halton Borough Council Social 

Care and the Police. 

To ensure the appropriate outcome, the alleged victims wishes will always be sought, 

shared with other agencies and acted upon where possible. 

• Write down, as soon as possible and as far as you are able, what the person 

making the disclosure said (see Section on Recording a Concern, Allegation 

or Disclosure and Record-keeping). 

• Where appropriate record, on a body chart, the location of any bruises, cuts, 

skin tears or abrasions (see Appendix 2 – Body Chart) 

• Ensure that the information is noted in the case file 

DO NOT : 

• Keep concerns, allegations, disclosures or your own worries to yourself. 

• Press the person for more details, although you will need enough information 

for an initial report and assessment. 

• Stop someone who is freely recalling significant events, as they may not tell 

you again. 

• Ask leading questions, e.g. “Did she / he hit you?” 

• Promise to keep secrets; explain that the information will be kept confidential, 

as far as possible i.e. information will only be passed to those people who 

have a “need to know”; the need to know may be in order to safeguard others 

as well as the individual in question. 





• Make promises that you can’t keep (such as “this won’t happen to you again” 

or “It will be alright”). 

• Contact the alleged abuser or enable them to access any information about 

the disclosure. 

• Be judgemental (e.g. “why didn’t you leave?”) 

• Jump to conclusions or make any assumptions. 

• Pass on information to anyone who doesn’t have a “need to know” i.e. do not 

gossip. (See also Section on information sharing and Confidentiality) 

4.18 Recording a Concern, Allegation or Disclosure of Abuse 

When recording a disclosure or an allegation you should: 

• Note what the person has said, using the person’s own words and phrases. 

• Describe the circumstances in which the expression of concern, allegation or 

disclosure came about. 

• Note the setting and anyone else who was there at the time. 

• Where appropriate, use a body map/chart to indicate the location of cuts, 

bruises, skin tears and/or abrasions (see Appendix 2 – Body Chart). 

• Ensure the information you write is factual. If you include your own opinion or 

third party information ensure this is made clear. 

• Use a pen or biro with black ink if possible, so that the report can be 

photocopied. 

• Sign and date the report and print your name legibly. 

• Be aware that the report may be required later as part of the legal action or 

disciplinary procedure. 

• Note the time of day, date and location. 

• Ensure that your writing is legible. 

If you have any difficulties in recording a disclosure or an allegation you must tell 

your manager as soon as possible. 





4.19 Dealing with Immediate Incidents 

Contact the Police immediately if: 

• A physical or sexual assault has just happened. 

• Where violence is continuing. 

• You believe that any crime may have been committed. 

Remember that other people may also need immediate protection including yourself. 

Contact your manager or senior manager as soon as possible. 

In the immediate aftermath of an incident, steps must be taken to: 

• Look after and reassure the abused person. 

• Protect anything that may appear to be evidence of a crime. 

• Write a record of what happened as soon as possible. 

• Ensure Social Services is informed if the alleged perpetrator is a service user 

or other vulnerable adult. 

4.20 Protecting or Preserving Evidence (See also Section 5.15 of this document - 

Contacting the Police) 

Your first concern is the safety and welfare of the abused person. However, your 

efforts to preserve evidence may be vital. 

When Police involvement is required they are likely to be on the scene quickly. 

Preservation of evidence is crucial if the Police investigation is to be effective. What 

you do or do not do, in the time whilst you are waiting for the Police to arrive, may 

make all the difference. 

4.21 The following checklists aim to help you to ensure that vital evidence is not 

destroyed 

In situations of physical and / or sexual assault: 

• If the abused person has a physical injury and it is appropriate for you to 

examine, always obtain their consent first. 





• Do not touch what you do not have to touch. Wherever possible leave things 

as they are. Do not clean up, do not wash anything or in any way remove 

fibres, blood etc. If you do have to handle anything at the scene, keep this to 

a minimum. 

• Do not touch any weapons unless they are handed directly to you. If this 

happens, as before, keep handling to a minimum. Place the Items / weapons 

in a clean, dry place until the Police collect them. 

• The abused person should not bathe, shower or wash. 

• Preserve the abused person’s clothing and footwear, do not wash or wipe 

them. Handle them as little as possible. 

• Preserve anything that was used to comfort the abused person, e.g. blanket. 

• Secure the room, do not allow anyone to enter unless strictly necessary to 

support you or the abused person and / or the alleged perpetrator, until the 

Police arrive. 

Following allegations of physical and / or sexual assault, consideration will be given 

to organising a medical examination of the abused person and the alleged 

perpetrator. Any examination will be carried out by a Forensic Medical Examiner who 

will be contacted by the Police. 

In these circumstances 

• Ensure that no one has physical contact with both the abused person and the 

alleged perpetrator as cross contamination can destroy evidence. It is 

acknowledged that if you are working there alone, you may have to comfort 

both the abused person and the alleged perpetrator, e.g. if the alleged 

perpetrator is a service user. You need to be aware that cross contamination 

can easily occur. 

• Where appropriate, protect bedding and do not wash it. 

• Preserve any items that have blood or other bodily fluids on them. 

In situations of theft / financial abuse: 

• Ensure that receipts, bank books, bank statements, benefit books are 

secured. 





Methods of preservation 

• For most things use clean brown paper, if available, or a clean brown paper 

bag or a clean envelope. If you use an envelop, do not lick it to seal. 

• For liquids use clean glassware. 

• Do not handle items unless necessary to move and make safe. 

It is acknowledged that completion of all of the above tasks may not be possible in a 

traumatic situation. You are urged to do the best that you can. 

4.22 Recording the Incident 

Refer also to Section on Record-keeping 

You should make a written account of what has happened as soon as possible, 

including: 

• What you saw/heard/ were told. 

• The exact wording used. 

• How the incident occurred – do not speculate. 

• The time. 

• The place. 

• The names of the people involved, or who have seen or heard anything 

including other potential witnesses. 

• Any obvious evidence, e.g. weapon, blood, other bodily fluids. 

• The state of the clothing of the abused person and perpetrator 

• Any injuries that either the alleged victim or the alleged abuser have received. 

• The behaviour and attitudes of the people involved in the incident. 

Record the facts. If stating something other than a fact, record that this is the case. 





4.23 Reporting a Concern, Allegation or Disclosure 

You may hesitate to report concerns, allegations or disclosures of abuse for a 

number of reasons: 

• You may not feel that you have enough information. 

• You are not sure if your concerns are valid. 

• You may believe that action taken in response to possible abuse might be 

worse, for the alleged person, that the initial incident. 

• You may fear that you are over-riding the wishes and / or interests of the 

abused person. 

• You may be afraid if repercussions for yourself, the alleged victim or alleged 

abuser. 

Despite any fears you may have, you must report all concerns, allegations and 

disclosures of abuse. 

Reporting is a necessary first stage in the process of keeping people safe and 

empowering them for the future. 

There may have been other previous concerns. When you report through the formal 

channels, you will enable information to be collated and assessment / investigation to 

take place. 

4.24 Reporting concerns about a paid Carer, Volunteer or Manager 

If you see an incident, hear a disclosure or have a concern about bad practice, you 

must inform your manager or senior manager. 

You should receive confirmation from a senior manager that your report is being 

acted upon. If this does not happen you should report the incident directly to that 

senior manager. If you have not received confirmation it should be requested, failure 

to provide is would mean that the incident and lack of response would need to be 

reported to a more senior manager. 

If your manager, or his or her manager, is the abuser, or is colluding in the abuse, 

you may need to find someone you can trust outside your immediate agency. 





The purpose of the Public Interest Disclosure Act 1998 is to protect employees from 

victimisation if they raise concerns in the interest of the public, in good faith and in a 

specified way. The popular term for such employees is ‘whistleblowers’. The Act, 

however, refers to ‘qualifying disclosures’ made by ‘workers’. The Act directs workers 

to raise the matter internally in the first place and to use the internal whistle blowing 

procedure, if there is one. 

There are exceptional circumstances in which the Act will protect workers where they 

make an external disclosure in a specified way. You must exhaust all of your internal 

reporting and complaints mechanisms. If a worker chooses not to disclose 

information in a way that is covered by the Act, she / he will lose it’s protection. 

You should refer to your agency’s “Whistleblowing Procedure” or contact Public 

Concern at Work on 02078-404-6609. 

If you are concerned about a number of aspects of care, keep a diary of your 

concerns. Also keep a diary of the responses you have received when you have 

raised these concerns. 



Halton Inter-agency Safeguarding Adults Procedures 

Making a Referral – R1 

Concern, suspicion, allegation, or 

disclosure of abuse received 

Not sure whether concern, suspicion, 

allegation as about abuse 

Senior person on duty/on the premises 

alerted 

Person[s] in immediate danger 

No one in immediate danger 

Phone 999 – call 

appropriate emergency 

services 

Take immediate action to 

safeguard anyone at risk 

and secure any evidence 

Yes/not 

sure 

Contact Police immediately 

Does allegation, concern, disclosure 

imply a criminal act has or may have 

been committed? 

No 

Check that you have referral details ready - See referral checklist R2 

Allegation/concern/disclosure about event[s] occurring 

in community i.e. any setting except hospital 

Allegation/concern/disclosure about 

event[s] occurring whilst in hospital 

‘Phone Halton Borough Council 24 

hour Contact Centre 

[Tel: 0151 907 8306] within 1 working 

day of receiving the alert 

[concern/allegation/disclosure] or visit 

Halton Direct Link 

Follow NHS Hospital 

Trust Safeguarding 

Adults/Adult Protection 

Procedures 

If service is regulated by the CQC, 

inform CQC office [03000 616161] 

See Aide-memoire – Making 

a Referral – R2 





Halton Inter-agency Safeguarding Adults Procedures 

Aide-mémoire – Making a Referral – R2 

1. Principles 

2. Process 

• Inter-agency working. 

• Clarity of role and responsibilities. 

• Do not investigate unless agreed in Strategy Discussion/Meeting that this is your 

role. 

• Preserve evidence – ensure not contaminated. 

• Do not promise inappropriate confidentiality. 

• Do not make promises you can’t keep. 

• Avoid collusion. 

• Consult with/inform line management at all stages. 

• Share information on a ‘need to know’ basis – must not jeopardise investigation, 

place alleged victim or other[s] at risk; confidentiality considerations. 

• Effective communication. 

• Record – timely, accurate and legible. Record the concern/allegation/disclosure, 

referral, enquiries, decisions, actions taken, date & name of writer on all records, etc 

– case file, Safeguarding Plan, body chart, etc. 

• Actions – agreed, person responsible, timescale, review and record progress. 

• Anti-oppressive practice - challenging discrimination, bullying and inappropriate 

behaviour. 

2.1 Actions and Communication 

Carry out and communicate actions as appropriate/agreed, if required, throughout the 

following process [i.e. from step 2.2 to 2.8 below] e.g. immediate safeguarding action and 

safeguarding plan, disciplinary and ‘whistleblowing’ procedures. 

2.2 Immediate safeguarding action when required: 

a) Is the alleged victim in immediate danger? Secure safety e.g. remove alleged 

perpetrator or victim. 

b) Is alleged victim suffering or likely to suffer harm or are any other people at risk? 

Secure safety. 

c) Does the alleged victim need medical attention? Seek any medical treatment 

needed. 

d) Is alleged victim likely to need medical examination? Police will arrange. 

e) Does alleged victim’s property need to be protected? If so, ensure evidence is not 

contaminated in any way, in doing so. 





2.3 Initial enquiries & fact-finding: 

a) Accept what the alerter tells you 

b) If you’re not sure whether the alert is a matter of abuse, refer it anyway (to Social 

Services, and the Police if it is or may constitute a criminal matter) 

c) Do not investigate 

d) IF you need to gather any more information to inform a referral to the Police and/or 

Social Services, speak with the alerter and/or alleged victim – confine this to using 

‘TED’ (‘Tell me; Explain; Describe’) approach. Keep this to the minimum required. 

e) Do not ask ‘leading questions’ or offer suggestions – i.e. questions that will lead the 

person to answer in a certain way or to give a certain answer. 

f) Preserve evidence – e.g. if alert is about sexual or physical abuse, do not do 

anything that might destroy evidence – e.g. lock room, do not bathe/shower alleged 

victim or remove/change their clothes; do not question alleged victim or witnesses 

any more than absolutely necessary (use ‘TED’ approach) 

g) Do not confront the alleged perpetrator or tell them of the 

concern/allegation/disclosure 

h) Inform Police immediately - where concerns may constitute criminal offence, or to 

protect the person/others, or there is a need to preserve evidence 

2.4 Referral 

a) Refer concerns, allegations and disclosures to Halton Borough Council Adult 

Social Care Contact Centre on 0151 907 8306 or Halton Direct Link. For 

concerns/allegations/disclosures about events occurring in hospital, refer to 

the NHS Hospital Trust’s adult protection/safeguarding adults procedures. 

b) Ensure that you have collated information available. 

c) Refer all concerns/allegations/disclosures that may or do constitute a criminal 

offence to the Police. Ensure that you have collated information available 

d) Inform CQC if concern/allegation/disclosure relates to a regulated service. 

2.5 Strategy Discussion – inter-agency [within 1 working day of receipt of referral] and/or 

Initial Strategy Meeting within 3 working days of receipt of referral. 

a) Social Services arranges and co-ordinates 

b) Forum for information sharing, risk assessment, agrees immediate actions, 

responsibilities and timescales including safeguarding/protection, agrees interim 

services and support, agrees enquiries and investigations to be undertaken, 

consideration of use of advocate if there are any capacity issues, considers whether 

other procedures come into force e.g. disciplinary, Independent Safeguarding 

Authority, ‘Whistleblowing’ 

2.6 Follow-up Strategy Meeting [should be within 10 working days of receipt of referral] 


b) Considers findings of investigations/enquiries 





c) Decides what information is to be shared, by whom, with whom, when – including 

service user, representative, family, alleged perpetrator, other agencies/teams, 

referrer 

d) Decides whether Case Conference is needed 

e) Reviews actions agreed and taken 

f) Devises Safeguarding Plan if no Case Conference required 

g) Agrees timescale for review 

2.7 Case Conference [should be within 20 working days of receipt of referral] 


b) Reviews findings 

c) Devises safeguarding plan, agree actions and responsibilities 

d) Agrees review timescale 

2.8 Conclude 

a) Communicate as necessary and agreed – who, what, when, by whom – e.g. alleged 

victim/representative, staff, CQC, advocate/ IMCA 

b) Ensure Protection/Safeguarding/Care Plan communicated and carried out 

c) Ensure any other actions/procedures carried out as agreed and required – e.g. 

disciplinary, ISA 

d) Complete records – including service user[s]’ record[s], staff records if alleged 

perpetrator 




SECTION 5 

INTER-AGENCY INVESTIGATORY FRAMEWORK 


• Framework overview 

• The Context 

o 

o 

o 

o 

Purposes of safeguarding adults investigation 

Investigating abuse will involve… 

Managing safeguarding adults investigations involves … 

Definition of terms 

• Role of Principal or Practice Manager from Social Services 

• Role of Manager from another agency 

• Role of Investigating Officer 

• Investigation of allegations of abuse arising when a vulnerable adult is in 

hospital 

• Ordinary Residence and Inter Local Authority / Cross Boundary arrangements 

• Role of other professionals in investigations 

• Contacting the Police (refer to Protection and Preserving Evidence and 

Emergency Action) 

• High Risk Cases 

o 

o 

MARAC 

MAPPA 

• Feedback and Information Sharing 

• Record Keeping 

• Conclusion of Investigations 




SECTION 5: INTER-AGENCY INVESTIGATORY FRAMEWORK 

(Strategy Discussions and Meetings and Case Conferences) 

THE INTER-AGENCY INVESTIGATORY FRAMEWORK 

‘A properly co-ordinated joint investigation will achieve more than a series of separate investigations. 

It will ensure that evidence is shared, repeat interviewing is avoided 

and will cause less distress for the person who may have suffered abuse’. (No Secrets 6.10) 

Protected 

Disclosure/ 

Whistleblowing 

Policies 

Disciplinary 

Procedures 

Professional 

Codes of 

Conduct 

Care Quality 

Commission 

Safeguarding 

Adults 

Protocol 

Care 

Management 

Procedures 

Social 

Services 

Investigation 

And 

Assessment 

*Provider 

Investigation 

(including 

disciplinary) 

Police 

Criminal 

Investigations 

Warrington & 

Halton BC 

Trading 

Standards 

Multi-Agency 

Public 

Protection 

Arrangements 

(MAPPA) # 

Multi-Agency 

Risk 

Assessment 

Conference 

(MARAC) # 

Complaints 

Procedures 

* In circumstances agreed in Strategy meetings, only. 

# Refer to Glossary of Terms 





THE CONTEXT 

5.1 This section is aimed at: 

• Police 

• Halton Borough Council 

- Social Services Manager 

- Social Workers 

- Quality Assurance Section 

• Care Quality Commission 

• National Health Service Trusts 

• Others to be identified in Strategy Discussions or Meetings. 

5.2 All allegations, disclosures and concerns of abuse must trigger a Safeguarding 

Adults investigation. The purposes of investigations are: 

• To protect the alleged victim and other vulnerable people from harm, as far as 

is possible. 

• To establish the facts – what actually happened, the nature and extent of the 

abuse, who or what is the cause 

• Whether an individual, group of people or agency should be called to account, 

e.g. through contractual or regulatory arrangements. 

• To assess the needs of the vulnerable adult for protection or support. 

• To establish the alleged victim wishes, to what extent it is appropriate to take 

them into account and whether they feel that their personal safety is at risk, if 

they wish professional intervention to continue and what their views are on 

sharing information about the incident(s) with staff in other agencies. 

• To identify the sources and levels of risk to the alleged victim and others. 





• To establish any circumstances where it is necessary to override the alleged 

victim’s wishes. 

• To establish circumstances where information needs to be shared. 

• To decide if any protective or other action is needed for the alleged victim or 

anyone else. 

• To establish whether abuse has or may have taken place. 

• To ensure that appropriate action is taken in respect of any perpetrator. 

• To ensure the consideration is given to all other relevant inter or intra agency 

procedures. 

• To agree and follow up any further actions. 

5.3 Investigating abuse will involve: 

• Accurate and immediate referral of the allegation to designated officer in the 

agency. 

• Assessing initial information including assessment of evidence for possible 

criminal proceedings. 

• Planning an investigation assessment (including risk assessment) and 

collaboration with other agencies, through the Strategy Discussion/Meeting 

process. 

• Co-ordinating the input of all agencies / professionals involved. 

• Commitment from all agencies, to attending meetings and working cooperatively. 

• Assessing capacity and consent within a multi-agency framework. 

• Conducting interviews with due consideration to the support needs of all 

parties. 

• Collecting information and evidence from all appropriate sources. 

• Collating and evaluating information and evidence. 





• Case conference where appropriate/consulting and informing the alleged victim, 

adopting communication support representation where indicated. 

• Developing adult safeguarding plans, which must incorporate the arrangements 

for management of risk and appropriate outcomes for the alleged victim. 

• Developing packages of support and care for adults who are going through the 

criminal justice process. 

Actions arising from an investigation may be supportive or therapeutic but might also 

involve the application of sanctions, suspension, regulatory activity, criminal 

prosecution, disciplinary action, suspension or cessation of contract or de-registration 

from a professional body. 

5.4 Managing Safeguarding Adults investigations involves: 

• Ensuring that criminal investigation taken by the Police takes priority over all 

other lines of enquiry. 

• Allocating the referral to someone with appropriate expertise and seniority. 

• Gather information to fully inform the investigation. 

• Supervising the work of the Investigating Officer. 

• Chairing, recording acting on and following up the outcomes of strategy 

meetings and case conferences. 

• Monitoring individual cases and ensuring adequate protection over time. 

• Ensuring that all investigations are conducted strictly in accordance with antidiscriminatory 

practice. 

• Ensuring that all concerns, allegations and disclosures of abuse are fully 

investigated, including repeated disclosures that have been unsubstantiated by 

previous investigations. 

5.5 Definition of terms: 

All allegations, disclosures and concerns of abuse will trigger a safeguarding adults 

investigation. 

• A concern of abuse is where a person or agency suspects that a person or 

persons is / are being abused, but they are not certain in their concern and they 

may or may not know who is doing the abusing. 





• An allegation of abuse is where a person or agency states that a person or 

persons is / are being abused. 

• A disclosure of abuse is where a person or persons say that they are being 

abused. 

5.6 The initial stages of investigations will differ slightly depending on the nature of the 

referral, but in all cases, follow these agreed procedures. 

5.7 If a concern is being expressed, a care planning review meeting must be arranged by 

the agency(s) expressing the concern(s). 

5.8 If an allegation or disclosure has been made, a Strategy Discussion or Meeting must 

be instigated by a manager from an investigating agency (See Adult Protection 

Meetings Pathway on website: www.halton.gov.uk/safeguardingadults) 

5.9 Responsibility for managing the initial stages of an investigation and for arranging the 

initial strategy meeting, if necessary, will be determined during initial liaison between 

relevant agencies (i.e. strategy discussions). 

5.10 Longer-term responsibility for managing an investigation will be decided in a strategy 

discussion or at a strategy meeting. 

See Section 6, Information on Strategy Discussions and Meetings 

5.11 Role of Principal Manager or Practice Manager from Social Services 

On receipt of Allegations, Disclosures and / or Concerns of Abuse 

• Ensure completion of the Trigger / Monitoring / Case Recording (VAA) Form 

(Latest version on Halton Borough Council’s intranet (Safeguarding Adults 

Page)). 

• Ensure details are logged on to the Carefirst client record system. 

• Allocate the case to an appropriate investigating officer within the Social Work 

Team. 

• Identify all agencies and individuals who should be part of a strategy discussion 

and/or invited to a strategy meeting. 

• Hold strategy discussions/meetings, with all appropriate agencies and 

individuals to: 

- Collect and share relevant information 

- Where relevant, agree plans for initial joint or individual agency 

investigations and / or interviews 





• Identify persons responsible for managing and conducting the initial stages of 

any investigations. 

• Ensure that the decisions to visit, or not to visit the abused person before the 

strategy meeting are recorded, together with the reasons why. 

• The people identified in the strategy discussions / meetings as being 

responsible for managing the initial stage of any investigation must: 

- Where appropriate, with all relevant agencies, arrange the first strategy 

meeting to take place as soon as possible but definitely within three working 

days of the initial referral. 

- Make arrangements for the initial strategy meeting to be chaired by a Social 

Services Practice Manager or Principal Manager. 

- Ensure copies of any agreed plans are made available to all relevant 

parties. 

- Ensure that the templates for the structure of any meetings and social work 

reports are adhered to. 

- As the chair of the meeting ensure the accuracy and other quality standards 

of meeting minutes, including confidentiality of third party details before 

distribution and filing. 

- Ensure all records are fully and accurately completed. 

- Ensure that meeting minutes are distributed within 5 days, to all participants 

and those who were invited but did not attend. 

• Ensure that the Carefirst record of the abuse allegation is promptly closed at the 

end of the investigation. 

5.12 Role of a Manager from another Agency 

• If an allegation of abuse is made when the alleged victim is in hospital, referrals 

to Section 5.14 (Investigations of Allegations of Abuse Arising When a 

Vulnerable Adult is in Hospital). 

• Any suspicion of alleged abuse must be reported to Adult Social Care 

immediately by telephone (see Section 4.16). 





• As a manager from another agency you must be involved in the strategy 

discussion and attend the strategy meetings when invited. All agencies should 

give priority to these meetings and send an appropriate substitute with relevant 

information, if unable to attend. 

• If you are identified at the first strategy meeting as the person responsible for 

the long-term management of the investigation(s) you must attend all 

subsequent meetings. If you are unable to attend a strategy meeting you must 

arrange for an appropriate representative to take your place. 

• Decisions to terminate an investigation must be taken in consultation with the 

manager(s) from other investigating agency(s) in consultation with the chair of 

the strategy meeting. 

• If you conduct disciplinary investigations, these should be in accordance with 

decisions taken in strategy discussions and strategy meetings and Adult Social 

Care should be informed of the outcome. 

5.13 Role of Investigating Officer 

The role of Investigating Officer normally lies with the appointed social worker and will 

be designated early in the process, before the strategy discussion or meeting. She/he 

will undertake the following, unless otherwise agreed in strategy discussions/meetings 

and with his/her line manager: 

• Co-ordinate all investigative activity, using strategy discussions and meetings 

(and case conferences where appropriate, in terms of the protection plan and 

care plan) to do so, at appropriate intervals. 

• Ensure that investigative findings are brought together from all sources, to form 

the basis of actions in terms of vulnerable adults and other actions arising 

through the agreed strategy. 

• Communicate with other people who have a role in the investigative process 

and safeguarding plan. 

• Ensure that the referral is acknowledged with the referrer and that people are 

appropriately kept informed, on a need to know basis and as agreed in strategy 

discussion and meetings. This will include communication with the alleged 

victim, and others as appropriate and agreed such as, for example, the alleged 

victim’s representative, service provider, referrer, and possibly the alleged 

perpetrator. The referrer should be informed when the matter is concluded. 

(Template letters, which can be adapted to suit the circumstances, are available 

for this purpose on Halton Borough Council’s intranet). 





It will not always be the Investigating Officer who actually carries out investigations, 

although she / he may do so alone or with others as agreed in the strategy. (See 

section– Role of Other Professionals in Investigations). 

Information sharing decisions and responsibilities lie with the agencies that hold the 

information. Therefore, it will not always be the Investigating Officer’s role to 

undertake all of the information sharing. 

5.14 Investigation of Allegations of Abuse arising when a Vulnerable Adult is in 

Hospital 

• If an allegation is about abuse occurring in the community (i.e. any setting 

except the hospital), Social Services will have the lead role in co-ordinating the 


• If an allegation is about abuse occurring whilst the alleged victim is in hospital, 

the NHS Trust will have the lead role in co-ordinating the investigation, but may 

need to share information with Social Services, so as to ensure adequate 

protection if there may be risk of abuse on discharge. 

• In the case of criminal allegation, the lead agency will refer the matter to the 

Police without delay. 

(See also Protocol between Halton Borough Council and NHS Trusts available 

on the website) 

5.15 Ordinary Residence and Inter- Local Authority / Cross-Boundary Arrangements 

(ADSS Protocol for Inter-Authority Investigations of Vulnerable Adult Abuse and 

Department of Health Guidance (2010) Ordinary Residence – available on the 

website: www.halton.gov.uk/safeguardingadults) 

5.15.1 In circumstances where a person lives outside of Halton but where Halton 

Borough Council retains responsibility for their placement: 

• The procedures that operate within the local authority area where the abuse has 

allegedly occurred will apply. 

• Halton Borough Council / Adult Social Care Quality Assurance Section and the 

Care Quality Commission (CQC) (where appropriate) both in Halton and the 

host authority, must be notified of any incidents of abuse. 

• The relevant Halton Social Work Team must allocate a Social Worker to support 

the abused person. 





5.15.2 In circumstances where a [person lives in Halton but their placing authority is 

not Halton: 

• The placing authority retains responsibility for their placement. 

• Halton’s Safeguarding Adults procedures will apply. 

• Halton borough Council and the Care Quality Commission (CQC) (where 

appropriate), both in Halton and in the placing authority, must be notified of any 

incidents of abuse / assault. 

• An investigating officer will be allocated and gather information, ensure the 

safety of the alleged abused and inform the strategy discussion. 

5.16 Role of Other Professionals in Investigations 

The matter of who will be involved in the investigative process will be decided in 

strategy discussions and strategy meetings. Investigations should not be started 

or undertaken by any agency or individual in advance of such discussion and 

inter-agency decisions (see also Section about Preserving or Protecting Evidence 

and about Emergency Action). 

It may be the case that different agencies conduct parallel or joint investigations. In 

this case, however, roles, responsibilities and authority to conduct such investigations 

should be clear to all involved, through the agreed strategy. 

Those people who are to be involved will be identified within the strategy discussion or 

meeting. 

Decisions about which agency, and which individual within the agency, will conduct 

investigations, or assessments and inquiries that will contribute evidence to the 

investigation, will depend on a number of factors: 

• Agency responsibilities, e.g. criminal investigation, contract monitoring, 

employment, assessment and care management, regulation and inspection of 

registered services. 

• Agency authority, e.g. to enter premises, see people in private, to access 

records, inspect a service. 

Page 68 of 185 (Version Revised 2010) 




• Level of expertise in conducting investigations including appropriate training, 

experience and line management supervision. 

• Level of knowledge and expertise in terms of the methodology of the 

investigation, e.g. specialist knowledge or understanding of what needs to be 

looked at to elicit evidence and interpreting the findings. This could apply, for 

example, in cases of physical abuse and neglect and complex financial abuses 

cases. 

• Gender, race, religious or cultural issues. 

• Language differences including special communication needs like signing or 

Makaton. 

• Mentoring and supervision arrangements (for example, an increased level of 

supervision may be appropriate where a case that has been allocated to a social 

worker later becomes a higher risk situation or needs greater input. 

• Other priorities in the individual’s workload. 

• The provider or manager of the service in question would conduct disciplinary 

investigations where staff are implicated and may be involved in further 

investigations provided they have sustained good quality service provision. The 

services and individual’s history will inform this decision. 

• Agencies and individuals carrying out any investigation or inquiry must not be 

implicated in the concerns or allegation of abuse. For example, the manager of 

a provider service that is alleged to have been neglectful must not investigate 

that concern or allegation. 

Agencies that might conduct investigations include, for example, the following: 

• Police – criminal investigation 

• Adult Social Care – community care assessment and care management 

• Adult Social Care – contract monitoring 

• Service provider/manager/employer – of the service in question or another 

service – disciplinary investigation 

• Primary Care Trust – nursing assessment 





• Other local authority – contract monitoring or community care assessment/care 

management 

• Care Quality Commission (CQC)– regulatory inspection 

• Court of Protection 

• Benefits Agency 

• NHS Hospital Trust – allegations about abuse and neglect occurring in hospital 

In all cases, people with an investigatory role or carrying out any inquiries or 

assessment must be suitably qualified to carry out the associated responsibilities, 

which are to: 

• Complete sufficient enquiries in order to make an initial assessment of the 

situation. 

• Participate in the strategy discussion as appropriate and abide by the decisions 

taken. 

• Provide written casework notes and a written report of the situation to his/her 

Manager, incorporating risk management, by the end of the first day. 

• Attend and provide a written report for (all) strategy meeting(s). 

An individual may find him / herself in the position of both referrer and then involved in 

the investigative process. 

5.17 Contacting the Police (See also Section about Preserving or Protecting 

Evidence and about Emergency Action) 

When concerns, allegations or disclosures of abuse may have been committed, you 

must refer the matter to the Police as a matter of urgency. 

They may tell you that there is insufficient information for them to intervene at present 

or that what you are describing is not a matter for them. Record these decisions in the 

case file together with the reasons given by the Police. 





The option to involve the Police will not necessarily be permanently open to the 

abused person (s). 

The potential for effective police involvement reduces with time. Forensic evidence 

may be lost and statement evidence has more chance of becoming contaminated. If 

you start investigating without first consulting the police you run the risk of 

contaminating possible evidence. If the police are involved at an early stage this 

evidence can be collected and preserved. 

The alleged victim can decide at any stage not to proceed with legal action. If 

evidence has NOT been collected and protected, the abused person has less chance 

of instigating legal action in the future. 

Criminal investigation by the Police takes priority over all other lines of enquiry. 

5.18 High Risk Cases 

The following paragraphs explain the local arrangements for dealing with high risk 

cases. Where such cases involve a ‘vulnerable adult’ as defined within this document 

(see Glossary of Terms and Definitions of Abuse sections), they will be dealt with in 

accordance with these procedures and therefore referrals should, in the first instance 

be made to Adult Social Care. 

If any case meets the criteria for referral to the MARAC and the MAPPA risk 

assessment/risk management meeting, the manager involved should talk to the 

MARAC Co-ordinator and the MAPPA Co-ordinator about which is the most 

appropriate forum to deal with the case. 

5.18.1 High Risk Adult Protection Cases involving Domestic Abuse – ‘MARAC’ 

Halton’s domestic abuse arrangements include a case conference forum aimed 

primarily at protecting high risk victims of domestic abuse from serious injury/homicide. 

The forum is called the Multi Agency Risk Assessment Conference (MARAC). 

Staff co-ordinating the management of high risk domestic abuse cases will need to 

know about the MARAC, how to make a referral, complete the risk assessment 

document and present cases where agreed. 

A domestic abuse MARAC is a single meeting, to facilitate the production of a multiagency 

risk management plan combining up to date and concise information with a 

comprehensive assessment of a victim’s needs, and links those directly to the 

provision of appropriate services for all those involved in a case : victim, children, 

other vulnerable adults and perpetrator. At the time of writing these safeguarding adult 

procedures, the MARAC is held on a monthly basis, but can be sooner if 

circumstances indicate this is necessary. The Police lead the MARAC process, 

including the Conference. 





The aim of a MARAC is to: 

• Share information to increase the safety, health and well being of victims, their 

children and other vulnerable people; 

• Determine whether the perpetrator poses a significant risk to any particular 

individual or to the general community; 

• Jointly construct and implement a risk management plan that provides 

professional support to all those at risk and that reduces the risk of harm; 

• Reduce repeat victimisation; 

• Improve agency accountability 

• Improve support for staff involved in high risk Domestic Abuse cases. 

The responsibility to take appropriate actions rests with individual agencies. 

There is no expectation of those completing the initial risk assessment to have high 

levels of knowledge about domestic abuse and its assessment. 

In safeguarding adults cases that involve a referral to the MARAC, the lead coordinating 

agency is Adult Social Care, who will deal with such cases in accordance 

with these inter-agency safeguarding procedures. 

Referrals should be made to the MARAC Co-ordinator at the Northern Public 

Protection Unit (PPU) of Cheshire Constabulary (email: 

northernppu@cheshire.pnn.police.uk). 

Partner agencies dealing with high risk domestic abuse cases that do not involve a 

‘vulnerable adult’, as defined in these inter-agency Safeguarding Adults procedures, 

should refer to the procedures available within their agency or contact Cheshire 

Constabulary’s Northern Public Protection Unit (PPU), for further information. 

5.18.2 High Risk Adult Protection cases regarding criminal offenders – ‘MAPPA’ 

The Multi-Agency Public Protection Arrangements (MAPPA) exist to protect the public 

from those offenders who are assessed as likely to cause significant harm, to either 

an identified victim, or specific groups within the community. MAPPA is a statutory set 

of arrangements, operated by criminal justice and social care agencies, which seek to 

reduce the serious re-offending behaviour of sex offenders and other violent 

offenders. The main target groups are : 

• Registered Sex Offenders 

• Those offenders who have committed a violent or sexual offence and received 

12 months or more in prison. 

• Other – these tend to include mentally disordered offenders and (in Halton) 

those offenders who have committed domestic violence offences and are on the 

Domestic Violence Programme run by the Probations Service. 





Although it tends to be the Probation Service, Police or Youth Offending Teams who 

refer offenders to the MAPPA arrangements, other agencies that have concerns about 

someone with whom they are working can also do so – as long as the person is an 

offender. 

Cases are referred to the Local Risk Management Meeting or Multi-Agency Public 

Protection Panel and referring agencies are asked to bring a risk assessment to the 

meeting. 

In Safeguarding Adults cases that involve a referral to MAPPA, the lead co-ordinating 

agency is normally Adult Social Care, who will deal with such cases in accordance 

with these inter-agency Safeguarding Adults procedures. 

Partner agencies dealing with high risk cases, regarding criminal offenders, that do 

not involve a ‘vulnerable adult, as defined in these inter-agency Safeguarding Adults 

procedures should refer to the procedures available within their agency or contact 

Cheshire Constabulary’s Northern Public Protection Unit (PPU), for further information. 

5.19 Feedback and Information Sharing (see also Section 15 Confidentiality and 

Information Sharing) 

During the course of an investigation and at its conclusion, it should be agreed during 

strategy discussions and meetings: 

• What information will be shared with other agencies and individuals 

• With whom it will be shared 

• At what stage 

• By whom 

This detail must be recorded in strategy discussions notes and meeting minutes. 

Referrers should be told that they will receive feedback, that this will be limited to 

protect confidential information, but that all adult abuse concerns and allegations are 

acted upon. Clarity of what feedback can and cannot be expected is essential. 

Feedback should be given, as agreed, at the conclusion of the case. 

When investigations are lengthy, identified individuals should be contacted to inform 

them of progress or, where appropriate, that an investigation cannot be progressed at 

that time. 

A concluding letter should be sent to all parties when it is agreed and have a right to 

information. Letter templates are available to Social Work Teams on Halton Borough 

Councils intranet (Safeguarding Adults page) for this purpose. They should be 

adopted and adapted. Verbal feedback should be confirmed in writing using the 

appropriate template(s). 





People who may need such communication include: 

• The alleged victim 

• The person/agency who referred the concern 

• The provider of services to the alleged victim and/or alleged perpetrator 

• The family of the alleged victim 

If anyone attending or invited to a meeting does not receive minutes, either directly or 

via a substitute who attended in their place, they should contact the meeting’s chair 

and request a copy. 

5.20 Record Keeping 

You must keep clear and accurate records of all decisions taken, the evidence and 

reasons for the decision making, timescales for action and who is responsible for what 

action. 

If documents need to be faxed to participants, the sender should send to an agreed Safe 

Haven fax and confirm receipt of the documents by telephone. 

If anyone attending or invited to a meeting does not receive minutes, she/he should 

contact the Chair. 

5.21 Conclusion of Investigations (see also section Feedback and Information Sharing 

and Section Confidentiality and Information Sharing) 

The multi-agency strategy meeting will decide when it is appropriate to agree the 

conclusion of an investigation. Indicators that an investigation is complete are, for 

example: 

• When investigations are completed 

• When the risks are sufficiently minimised. 

• Sometimes a case has been closed at the alleged victim’s request, although risks 

have not been minimised to the extent that involved professionals would wish. In 

instances such as these where the service user’s informed choice has prevailed, 

decisions and the reasons for them must be fully recorded and taken in 

consultation with a senior manager. 

• Additionally, where applicable contingency plans need to be built into the 

recording systems of all agencies involved, to minimise the level of risk or 

recurrence. 

• When a suitable final (not interim) Safeguarding Plan is agreed, including 

responsibilities allocated 





Whilst a Safeguarding Adults investigation may close, one or more agencies involved 

may of course go on to provide (or continue to provide) a service to the alleged victim. 

In the event that the alleged victim or the alleged perpetrator leaves the situation, 

including instances where either one dies in the course of an investigation, the 

investigation must continue or a review or strategy meeting must be held to decide what 

action should ensue. 

This is to ensure that any ongoing risks to others and practice issues or gaps in services 

that allowed the abuse to take place, are identified and addressed even though the 

alleged victim or perpetrator have left the situation. 

All recording processes must be followed and up to date before the case is closed. 






SECTION 6 

STRATEGY DISCUSSIONS AND INITIAL STRATEGY 

MEETINGS 


• Purpose and Roles 

• Preparation and Participation 

• Service User or Other Vulnerable Adult as Alleged Perpetrator 




SECTION 6: STRATEGY DISCUSSIONS AND INITIAL STRATEGY MEETINGS 

(Safeguarding Adults available on Halton Borough Council’s intranet (Safeguarding 

Adults page) Meetings Pathway 

Purpose and Roles 

6.1 Prior to an investigation being undertaken decisions have to be made to confirm how 

the process should be carried out. An initial consultation will be held between the 

relevant Social Worker and their Practice Manager and / or Principal Manager. A 

strategy discussion will then take place via the telephone between all relevant 

agencies, or a formal meeting may be called. A strategy meeting will only normally 

need to be called if it is felt to be necessary or beneficial to meet, for example, if there 

is a need for investigation, if dealing with a complex case or one that includes a 

number of different issues e.g. Disciplinary, Criminal Investigation, Independent 

Safeguarding Authority (ISA) referral, information sharing decisions etc. 

6.2 A Strategy Meeting is an Inter-agency forum to plan the processes of the 

investigation, agree responsibilities, review progress, revise or develop the strategy as 

it progresses. 

There will be no limit to the number of Strategy Discussions and Strategy Meetings 

held to consider any one case. 

The relevant Practice Manager or Principal Manager from Adult Social Care will chair 

the Strategy Meeting and co-ordinate the process, e.g. arranging for appropriate 

people to be invited, ensuring minutes are taken accurately, shared and agreed, and 

actions are followed up for completion. 

Strategy discussions between the relevant agencies must take place as soon as 

possible after the initial referral has been made. These discussions will clarify who, if 

anyone, is to conduct and report back the findings of an investigation. 

Decisions taken during these strategy discussions, together with reasons for them, 

must be recorded on the relevant case recording form, within the trigger / monitoring 

form. 

6.3 Strategy meetings will be chaired by a Practice Manager or Principal Manager from 

Adult Social Care and will be minuted. 

The minutes must be sent to all participants at the meeting, others who were invited 

and others only by agreement, within five working days. 

6.4 If agencies or individuals refuse or are unable to attend a strategy meeting, they submit 

any relevant information to the meeting, and their non-attendance must be recorded in 

the minutes of the meeting. 





6.5 A strategy meeting will consider the following: 

• What is the concern or what has been alleged / disclosed 

• How the concern / allegation / disclosure came to light 

• What is known about the situation to date. 

• The roles and responsibilities of each agency and individual. 

• Actions to be carried out, by whom and when. 

• Subsequent strategy discussions and meetings or a Professionals Meeting will 

follow up agreed actions. If any are not carried out, the reasons will be recorded 

and, if still appropriate, will be pursued by the chairperson and, if necessary, line 

manager of the person responsible for the action. 

6.6 Providers’ involvement in Strategy Discussions and participation in Strategy 

meetings 

The fundamental principle is that the provider of an organisation – within which there 

are concerns of abuse or neglect – is a key partner reducing any risk of abuse or 

neglect and should be fully included in any safeguarding adults strategy and protection 

plan. 

6.7 Where a service is implicated in abuse / neglect a decision must be made as to 

whether the manager or the proprietor of the service is to be involved. This includes a 

judgement as to whether they are likely to be implicated in the abuse / neglect. If there 

is no implication of the manager or proprietor they are included as a full partner in the 

strategy discussions. 

6.8 The two exceptions to that are: 

1 Where the allegation is specifically against the manager of the service – in which 

case a more senior representative of the provider is sought. 

2 Where the organisation cannot provide someone who is not implicated in the 

concerns that have been raised – or where there are other serious concerns that 

mean they are “unfit” to take part in the strategy discussions then the strategy 

meeting / discussions will take place without a representative of the provider 

organisation. 

If the second situation applies then there is an expectation that the strategy will include 

attempts to enable the provider to work with other agencies (e.g. the commissioners 

and regulators of the service) to decrease any risk of abuse or neglect before any other 

action is taken. 





Where either situation applies the strategy will need to take into account the needs of 

agencies to collate evidence – e.g. for a criminal investigation or for other statutory 

processes. Where this is the case the needs of those processes may take precedence 

over the general principle of sharing information with the provider. 

6.9 If there is an allegation against a ‘Sole proprietor’ a strategy meeting of all other agencies 

involved will be held to consider the appropriate course of action. 

Preparation and Participation 

6.10 It is expected that all participants will contribute some information to the strategy 

meeting. Verbal or written reports must be provided by the referring agency and the 

agency receiving the initial referral and should include the following information: 

• Details of the concern / allegation / disclosure. 

• Details of any previous related concerns / allegations / disclosures. 

• An assessment of the alleged victim in terms of consent, capacity and or other 

legal issues. 

• Social situation and any support networks of the abused person. 

• Information about the alleged perpetrator including, if possible, all names (e.g. 

middle name), date of birth, address(es). 

• A description of the investigation process to date, what and who has been 

involved and the level of inter-agency co-operation. 

• Details of placing and / or funding local authority. 

• Details of any other agencies involved e.g. Trading Standards, Police, Care 

quality Commission, Health, Office of the Public Guardian. 

• Recommendations for future actions / risks. 

When providing details of alleged victim and perpetrator, it is important to ensure 

accurate spelling. This enables the police to carry out appropriate checks. 

An Investigating Officer Report template is available on the Safeguarding Adults part of 

Halton Borough Council’s intranet. 

The following is a guide to who should be consulted in a strategy discussion or invited to 

attend the strategy meeting – it is not an exhaustive list and could include other people. 

You should only invite those people who are relevant to the case, for example: 





• Police Officer – if there is any possibility that a crime has been committed 

• Independent Domestic Violence Advocate (IDVA) 

• Independent Sexual Violence Advocate (ISVA) 

• Social Worker 

• Social Work Practice Manager or Principal Manager 

• District Nurse, Practice Nurse 

• Community Psychiatric Nurse 

• Home Care / Domiciliary Agency / Nurse Agency Manager 

• Care Home Manager 

• Health Visitor 

• Trading / Standards Officer 

• Care Quality Commission 

• Social Services Contracting Section 

• Housing Officer 

• Occupational Therapist, Physiotherapist, Speech Therapist or other related 

professional 

• Probation Officer 

• Primary Care Trust Staff 

• Any volunteer agency known to be involved 

• General Practitioner 

• Hospital Staff 

• Communication Support – professionals who can advise on Service Users 

communication needs, where this is an issue. 





• Advocate or Independent Mental Capacity Advocate – where advocacy will be 

needed to support the Service User. 

• Line Manager and / or employer of a manager who is an alleged perpetrator or 

implicated in the alleged abuse. 

• Human resources (HR) / Personnel 

• Minute taker 

An alleged perpetrator or anyone implicated in an alleged abuse case will not be invited 

to a strategy meeting or be party to a strategy discussion. 

6.11 Issues that must be considered during any strategy discussion or meeting include: 

• The wishes of the alleged victim. 

• Capacity of the alleged victim and related information (See also Capacity and 

Consent Section and refer to Safeguarding Adults page on Halton Borough 

Council intranet 

• Is there a need to breach confidentiality and share information with any other 

party (See Section 15 – Confidentiality) 

• Are there potential witnesses who have capacity and if so, who are they? 

• Who is going to lead and therefore co-ordinate the investigation? 

• Will there be a joint investigation involving more than one agency and if so, who 

are the relevant participants? 

• How will the investigation be conducted? 

• How will the findings of investigation(s) be shared with other agencies involved? 

• Who will take responsibility for keeping the alleged victim, referrer, carers, other 

agencies and authorities etc. informed of events and the outcome of the 

investigation? (This may be more than one person’s responsibility depending on 

roles and the persons /agencies to be informed). 

• The continuing safety of the alleged victim and other vulnerable people whilst 

enquiries are made. For example, is the person currently safe? Is there a need 

for immediate protective action? (Either on a voluntary basis of through the 

courts). 





• Should the alleged victim’s family or carers be involved and, if so, how? 

• How will information and evidence be sought? E.g. interviews of alleged victim, 

perpetrator, witnesses, record checks. 

• Who should be interviewed? 

• When is the best time for the interviews? 

• Where is the best place for interviews? 

• Will these actions alert the alleged perpetrator and threaten the safety of the 

alleged victim and / or the collection of evidence? 

• Does the current level of distress of the alleged victim affect their involvement? If 

so, how? 

• Should they be present at any meetings or are there more appropriate ways for 

them to contribute to the decision making? – e.g. support groups, Social Work 

support, carer representation, advocacy, sign posting to other services, e.g. 

Domestic / Abuse specialist resources. 

• Are there any doubts surrounding the abused person’s mental capacity, if so, 

what are they, and who has raised them? 

• Is an assessment needed concerning the abused person’s mental capacity in this 

situation, if so, who will arrange it and who will carry it out? 

• Have issues of gender, race, culture, language, other communication needs been 

considered? Is an interpreter, signer or any other specialist support needed? 

• All interviews should adhere to the standards in the Witnesses Supporter 

Protocol. 

• What practical assistance would facilitate the abused person’s involvement and 

meet his / her support needs? – e.g. 

- Advocacy 

- Transport to medical appointments or interviews. 

- Assistance with childcare arrangements. 





- Fully accessible interview venues 

- Is the giving of video evidence appropriate? If so, is there a need for an 

Intermediary or Appropriate Adult? 

• Should the alleged perpetrator be referred to the Independent Safeguarding 

Authority (ISA) list by his / her current or ex-employer? 

• Do CQC need to make the referral to ISA list or check that a referral has been 

made? 

• Have the Police informed other employers of the alleged perpetrator, of referral to 

ISA list (if applicable)? 

• Is there a need for referral to a registering body, e.g. Nursing and Midwifery 

Council (NMC), General Social Care Council (GSCC), General Medical Council 

(GMC)? 

• Are any other procedures relevant, for example, Disciplinary Procedure, 

Workforce Performance Management Procedure, Dignity at Work Policy, 

“Whistleblowing” / Protected Disclosure policies? 

• Are criminal proceedings a possible outcome? 

- Is there a need for co-ordinated interviews to avoid repeat interviewing? 

- Is there a need for a formal disclosure interview to take place with the 

involvement and under the direction of the police? 

- Is there a need for the alleged victim / alleged perpetrator to undergo a medical 

examination? Who will carry out the examination and what arrangements will 

be necessary? 

• Is it possible that there are other potential or actual victims? 

• Could other people (vulnerable adults or children) be at risk? 

• When, how and by whom is the alleged perpetrator to be informed about the 

allegations? 





• Who will support the alleged victim / victim after the investigation? 

• Who will provide feedback about the outcome of the investigation, to the 

referrer, alerter, victim / alleged victim, his / her family if appropriate and 

perpetrator / alleged perpetrator if appropriate? 

• What will be fed back to the referrer, alerter, victim / alleged victim, his / her 

family if appropriate and perpetrator / alleged perpetrator if appropriate? (letter 

templates are available on Halton Borough Council’s Intranet Safeguarding 

Adults page. 

6.12 Service Users or Other Vulnerable Adults as Alleged Perpetrators of Abuse 

There are times when the actions of one service user or vulnerable adult towards 

another will be abusive. Abuse by another service user or other vulnerable adult is 

every bit as harmful as abuse by any other perpetrator. 

The following key points should be adhered to: 

• When an incident of abuse occurs when the alleged perpetrator(s) is a service 

users or other vulnerable adult 

• To prevent abuse 

6.12.1 Referral, Risk Assessment/Management and immediate safeguarding 

Where a service user is the alleged perpetrator, the line manager with responsibility for 

the service will, as a priority: 

• Follow these safeguarding procedures 

• Ensure that a referral is made to Halton Borough Council, in accordance with 

these Safeguarding Adults procedures 

• Ensure that the care / support needs of the alleged victim are met 

• Ensure that a risk assessment is undertaken and safeguarding / risk 

management arrangements put in place and monitored, with regard to the 

immediate safety of all users of the service 

• Review the management and support / care of the alleged perpetrator 





6.12.2 Meetings 

When safeguarding procedures are invoked, it is important that strategy meetings and 

discussions address the concerns around protection of the alleged victim and concerns 

around the alleged perpetrator. Care management process may need to be instigated 

for the alleged perpetrator. 

6.12.3 Investigations 

Investigations must follow the usual process detailed in these inter-agency 

safeguarding procedures. 

If, after the initial information gathering stage following referral, it is decided that a 

safeguarding investigation is not required, the reasons for this must be fully recorded in 

the relevant case files within all involved agencies. 

6.12.4 Intent and Capacity 

The intention of a perpetrator of abuse, or their capacity to recognise or understand 

their abusive behaviour or its consequences must not affect decisions about what 

constitutes abuse. 

6.12.5 Care management, support and advocacy 

It is important that the needs of the alleged perpetrator of abuse are taken into 

consideration, in terms of both prevention and response to abuse. 

A reassessment of both the alleged victim and alleged perpetrator may be required and 

a short term care / support plan put into place whilst safeguarding investigations are 

undertaken to prevent any further incidents of alleged abuse occurring. 

In some situations the alleged perpetrator could benefit from the support of a 

mainstream advocate or Independent Mental Capacity Advocate (IMCA). Where these 

services are provided to the alleged victim and alleged perpetrator, the same advocate 

/ IMCA should not support both. 

In the case of physical or sexual abuse the advice given in these procedures should be 

followed in protecting and preserving evidence. 





6.12.6 Appropriate Adult role and Special Measures 

Adults who are considered to be mentally vulnerable (and young people under the age 

of 17) must have an ‘Appropriate Adult’ with them when being interviewed by the 

police. An Appropriate Adult can be a family member, friend or is often a trained 

volunteer from the community or social / health care professional. Increasingly, trained 

volunteers from the community carry out this important role. 

Appropriate adults can be used to assist a victim, witness, suspect or accused by 

providing support and helping the process of communication between that individual 

and the police. 

If the police need to interview the alleged perpetrator of abuse, consideration must be 

given to whether an appropriate adult should be present in accordance with the Police 

and Criminal Evidence (PACE) Act 1984, and whether any Special Measures are 

required under Achieving Best Evidence Guidance (2002). 

6.12.7 Information sharing and confidentiality 

The question of what information will be provided to the alleged perpetrator and when 

must be considered in accordance with legal advice and requirements and the advice 

given in these inter-agency Safeguarding Procedures. 

If it is assessed that a service user continues to pose a threat to other service users, 

then this should be included in any information that is passed on to service providers. 

6.12.8 Case records of alleged vulnerable perpetrator(s) 

If the alleged perpetrator is a service user, then information about his / her involvement 

in a safeguarding investigation, including the outcome of the investigation as it relates 

to him / her, should be included in his / her case records. 

6.12.9 Neglect 

Continued abuse by service user(s) towards other service user(s) is likely to be an 

indication of neglect by those responsible for providing care and protection. 

6.12.10 Prevention 

Prevention is always the preferred option and services must plan their interventions 

and supports with individuals to minimise the likelihood of services users abusing other 

service users. All professionals working with vulnerable adults need to be alert to early 

signs of bullying or other abusive or potentially harmful behaviour and respond / 

intervene promptly and appropriately. 





Services should have anti-bullying policies and procedures in place to address issues 

between service users (and staff / carers). Issues of individuals’ rights and 

responsibilities should also be discussed with service users. 

Agencies and services that provide support to vulnerable adults who present 

challenging behaviours have a responsibility to protect them from abuse, as well as 

preventing them from abusing other vulnerable people. Preventative measures must 

be in place where there are known risks of abuse. 




SECTION 7 

PLANNING AND CONDUCTING THE 

INTERVIEWS/INVESTIGATION 


• The Context and Purpose 

• The Procedure 

• Good Practice Guidelines 

o Planning the Interview 

o Preparing the Person 

o Communication 

o The Venue 

• The Interviews 

o General issues 

o Preparing yourself 

o Listening to the person 

o Basic interviewing skills 

o After the interviews 




SECTION 7: PLANNING AND CONDUCTING THE INTERVIEWS / 

INVESTIGATION 

THE CONTEXT AND PURPOSE 

The following issues will be decided at the strategy discussion / meeting level if 

possible: 

• If this is an alleged crime? It must be referred to the Police for them to establish 

whether they would need to interview in the first instance to avoid contamination 

of evidence. 

• How will information be gathered? (e.g. interviews, witness statements, records, 

checks and cross referencing). 

• Who will be interviewed? – (e.g. alleged victim, possible witnesses, alleged 

perpetrator) 

• When they will be interviewed? 

• Who will conduct the interviews? 

• Who will record the interviews? 

• Where will the interviews take place? 

Conducting interviews is a central part of investigating adult abuse. 

The aims of the interview are: 

• Evidential aims required by the Police, Care Quality Commission (CQC) and 

legal system. 

• Therapeutic and investigatory aims required by Social Services staff. 

The aims of the interview can be classified as follows: 

• To establish the evidence and whether abuse has occurred, and if so, exactly 

what has happened – evidential and therapeutic. 

• To inform decisions about how to protect the alleged victim any other vulnerable 

adult from further abuse – therapeutic. 

• To facilitate criminal investigation by identifying the alleged perpetrator – 

evidential. 






• To facilitate other preventative action, e.g. referral to ISA list, disciplinary action – 

evidential. 

• To contribute to the assessment of the abused person’s overall needs – 

therapeutic. 

PLANNING AND CONDUCTING THE INTERVIEWS – THE PROCEDURE 

If there is a possibility of an alleged crime the police will direct interviews. 

Because of the dual purpose of safeguarding investigations agencies involved should 

consider whether a Social Worker should be present at the interview of the alleged 

victim. 

Avoid unnecessary repeat interviews. 

Consider what risk the scenario holds for the alleged victim, alleged perpetrator and 

others. Be prepared to continually review the assessment of risk to ensure continued 

safety and protection for all. 

7.1 The interviews must be planned in advance. Planning will involve agreement about who 

leads the interview, who records it and if necessary, questions to be asked. 

7.2 The Police and Criminal Evidence Act 1984 (PACE) states whether the interview 

involves the alleged victim, witness or a suspect, there is an obligation to provide an 

appropriate adult for any vulnerable or mentally disordered adult. 

The role of the appropriate adult is a dedicated role. The role implies legal obligations 

and cannot be attributed to someone after the interview, especially if that person thought 

they were a lay person. 

GOOD PRACTICE GUIDELINES 

7.3 Planning the Interview 

If a criminal offence is being investigated the interviews will always be conducted by the 

Police. The interview needs to be planned and a record made of the plan. Before you 

interview, you need to think about : 

(a) 

The alleged victim 

• The alleged victim’s rights to self-determination. They must be consulted 

at every stage. 






• The available options which should be put to the alleged victim for 

consideration, to facilitate their taking informed decisions. 

• Who knows something about the interviewees history? 

• Checking if the interviewee has a sensory impairment (if this is not 

already known). 

• Establishing if spoken English is their first language. 

• Establishing if the interviewee can communicate without specific 

assistance. 

• The need to watch for signs of discomfort or distress. 

(b) 

Preparing the Person 

• Preparing does not mean ‘coaching’, i.e. telling someone what to say. 

• The person to be interviewed should be told the purpose of the 

interview. 

• A vulnerable person to be interviewed should meet the interviewers at 

least once before the interview. 

• The interviewers should introduce themselves and colleagues fully and 

clearly – stating who they are and where they are from. 

• They should know who will be present at the interview. 

• Show your identity card. 

• Speak clearly. Jargon and abbreviations should be avoided. 

• Be honest and up front – abused people have spoken about “feeling 

tricked” as investigating officers have engaged in general conversation 

and then suddenly gone into very direct questioning about alleged 

abuse. 

• Explain the boundaries of confidentiality. This must be done at the 

outset of any investigation and interview. It should be made clear at 

this stage that all information disclosed or discussed must be shared 

with the relevant worker’s Line Manager and possibly other people or 

agencies, on a “need to know” basis. 






• Tell the interviewee that a record will be made of the interview and 

what form it will take. 

• They should be taken to the interview venue if it is an unfamiliar 

setting. 

(c) 

Communication 

• In the event of a criminal investigation, the services of an 

intermediary may be sought by the Police. 

• It is essential to gain an understanding of how the person 

communicates. 

• It may be appropriate for the interview to be facilitated by someone 

who knows the person well. 

• It should not be assumed that a family member/carer would be the 

most appropriate person to facilitate the meeting. It can be 

distressing, compromising and embarrassing to discuss details of the 

alleged abuse, with family members and / or carers present. 

• The investigating officers would need to be satisfied that the facilitator 

was not involved directly with the situation. 

• Establish if there is a need for translation, interpretation, 

communication boards, a sign language interpreter, Makaton. If so, 

who will be responsible for organising these things? 

• Does the person need an advocate or an appropriate adult? 

• In some instances a speech and language therapist may be able to 

assist in assessment / communication. 

• Avoid jargon and abbreviations, unless all present know what they 

mean. 

(d) 

The Venue 

• Someone will need to take responsibility for organising transport for 

the alleged victim. 

• The building needs to be accessible. 

• The room needs to be appropriate for peoples needs. 






7.4 The Interviews 

• An interview room may not always be the most appropriate setting. 

However, if it has been decided that audio-visual recording will be 

used this will take precedence. 

• Responsibility needs to be taken for any equipment to be used. 

• If the abused person has sensory impairment, adjustable lighting and 

a facility with a hearing induction loop system may be necessary. 

• Limit external noise. 

• Limit distractions within and near the room. 

• Provide large print name labels for those professionals present, if 

necessary. 

• Provide jugs of water and refreshments. 

(a) 

General Issues 

• Consideration must be given, in advance amongst all participants 

how long the interview will last and how many breaks there will be. 

• Always interview in private. 

• Always proceed at the person’s own pace. 

• The more clearly the account is seen to be in the person’s words, the 

more compelling and reliable it will be – do not put words into the 

person’s mouth. 

• Notice non-verbal signs, such as facial expression, gestures, body 

language, fidgeting, tense posture, poor eye contact, but do not 

assume the reasons for these. 

(b) 

Preparing Yourself 

• Be respectful towards the person. 

• Speak in clear, neutral tone of voice. 

Page 94 of 185 (Version Revised 2010) 





• Logic and reasoning may not always work. 

• Always speak directly to the person and not to the interpreter / 

supporter / advocate who may be present. 

• Ensure a non-judgemental attitude. 

(c) 

Listening to the Person 

• Be aware of similar themes. 

• Look for repetition of words or phrases. 

• The information may well be disjointed. 

• Check your understanding of what the person has said, by repeating it 

back to them. 

(d) 

Basic Interviewing Skills 

• Speak to the person as an adult. 

• Ensure that you have the person’s attention. 

• Use their / your name. 

• Speak slowly and clearly. 

• Use short sentences. 

• Avoid abstract ideas. 

• Avoid comparative, ‘either or’ questions. 

• Break the interview into small slots. Provide “comfort breaks”. 

• Do not ask more than one question at a time. 

• Do not incorporate more than one idea per question. 

• Use statements. 






7.5 After the Interviews 

• Avoid jargon and abbreviations. 

• Summarise your understanding of what has been said. 

• Do not ask ‘why’ questions. Instead ask who, what, where, when. 

• Stick to the issues. 

• Give one piece of information at a time. 

It is important that the alleged victim is supported throughout the investigation and 

interview stages. However, it is essential that they are supported after the 

investigation. The most appropriate person to provide support should have been 

identified prior to the interview/investigation taking place. 

It is essential that the alleged victim is involved as much as possible in the subsequent 

decision making process, with the caveat that information might need to be shared and 

or action taken against their wishes in circumstances where others are at risk, in the 

public interest. 

If the investigation leads to criminal proceedings, the alleged victim will need to be 

informed at each stage as to what will happen next and what this means for them. 

The alleged victim will still need support even if there is no further action taken against 

the perpetrator. 

Whatever the outcome of the investigation the alleged victim’s wishes should be taken 

into account and their wishes incorporated into a risk management plan, if necessary. 

The alleged victim or their nearest relative must be informed of the outcome of the 

investigation, within the boundaries of what can be shared in terms of protecting 

confidential information. 




SECTION 8 

FOLLOW UP STRATEGY MEETING 




SECTION 8: FOLLOW UP STRATEGY MEETING 

(See also Safeguarding Adults Meetings Pathway and agenda, minutes and Investigating 

Officers Report templates available on Halton Borough Council’s intranet – Safeguarding 

Adults page) 

8.1 A joint decision should be taken between the Social Worker, Principal Manager and / 

or Practice Manager as to the need for a follow up strategy meeting. This will take 

place during or after the investigation has been completed. However, after a strategy 

discussion / meeting, a decision may have been made that the case should not be 

pursued, or not be pursued further and should only be monitored. The facts will then 

have been established and this will then change the nature and purpose of the 

meeting from a strategy meeting / discussion to a professionals meeting. 

8.2 A Follow Up Strategy Meeting is an inter-agency forum of professionals only, which: 

• Looks at progress of the investigation and the conclusion and findings of the 


• Shares confidential information that cannot be shared in the presence of others 

such as the alleged victim or his / her representative. 

• Decides whether a case conference or review is needed and if so, what can and 

cannot be shared there (e.g. information about another service user, staff 

member, service provider, litigation, regulatory action). 

• Ensures that a risk management/safeguarding plan is appropriate, and in place, 

and decides on any further immediate action. 

• Considers the likelihood of abuse and, where fully or partially substantiated or 

investigation was inconclusive, the content of the Safeguarding Plan will be 

agreed in a strategy meeting, where appropriate in advance of a Case 

Conference or if a Case Conference is not being convened (e.g. if the alleged 

victim and / or his / her representative cannot or does not wish to be involved, 

or is / has been consulted in another way, e.g. on an individual basis outside of 

the meetings forum). 

• A Strategy meeting takes place after the investigation strategy has been 

executed and will be the final part of the meetings process if a case conference 

or review is not required, thereby concluding the safeguarding process. 

8.3 A Practice Manager or Principal Manager will chair the professionals meeting and will 

arrange for the meeting to be minuted. The higher risk the more likely it is that a 

Principal Manager will chair the meeting. The Social Worker will provide a written 

report of the investigation and risk management plan. 

8.4 The alleged victim should be kept informed of the possibility of a strategy meeting and 

what this entails. The decision not to hold a meeting should be noted in the case 

records by the Principal Manager. 




SECTION 8: FOLLOW UP STRATEGY MEETING 

8.5 A full written record of the strategy meeting must be made including all 

recommendations and plans for action. In the light of the information gathered (e.g. 

finds allegations not substantiated), a decision may be made not to continue with the 

safeguarding procedures. This needs to be discussed and agreed by the Social 

Worker and Principal Manager and / or Practice Manager and should be recorded 

appropriately in writing and shared with all relevant parties. 

8.6 If a decision is reached to convene a case conference then the people to be invited will 

be listed. It is imperative that clear and full written records are kept. It is the 

responsibility of the manager to discuss all the appropriate attendees. It is the 

responsibility of the Social Worker to invite all agencies to the Case Conference. (A 

letter template is available on Halton Borough Council’s intranet – Safeguarding Adults 

page). 

8.7 Whatever the outcomes, all records must be endorsed by the Principal Manager or 

Divisional Manager and minutes must be provided to those people attending and 

invited. However, recommendations from the minutes can be shared with other 

relevant agencies as agreed. 






SECTION 9 

SAFEGUARDING ADULTS CASE CONFERENCE 




SECTION 9: SAFEGUARDING ADULTS CASE CONFERENCE 

(See also– Safeguarding Adults Meetings Pathway and agenda, meeting minutes, 

Investigating Officer’s Report and letter templates available on Halton Borough Council’s 

intranet - Safeguarding Adults page) 

9.1 The decision to call a case conference will be taken at the strategy discussion, or initial 

follow up strategy meeting, after the investigation is concluded and normally when 

findings are fully or partially substantiated or inconclusive, as this will indicate the need 

for a Safeguarding Plan. The Adult Social Care Divisional Manager will confirm 

whether a case conference is to take place and will normally chair the conference, 

ensure that minutes are taken and distributed and that responsibilities and actions are 

agreed and followed up. 

9.2 The case conference should be held as soon as practicable, but in any event within ten 

working days of the final strategy meeting. 

9.3 A Case Conference is an inter-agency meeting to which the alleged victim and his / 

her representative / carer will be invited and which concludes the safeguarding adults 

process. It focuses on the care of the alleged victim of abuse and on developing an 

agreed safeguarding plan. 

9.4 Decisions about whether to hold a case conference can depend on, for example: 

• The findings of the investigation 

• The present level of risk 

• The risk of further abuse 

• The wishes of the alleged victim 

• The views of professionals involved 

9.5 A case conference occurs after the investigation is concluded to: 

• Summarise the outcome of the investigation, taking care to protect 

confidential, third party information (e.g. about the perpetrator, service 

provider, staff, criminal prosecution, regulatory or disciplinary action. 

• Seek the views of the alleged victim and / or his / her representative, in 

devising the protection plan 

• Seek the views of professionals involved 

• Devise and agree a Safeguarding Plan where and if applicable. 





• Identify a Contingency Plan, or record why, if this is thought not to be necessary. 

• Identify who will be responsible for actions agreed, including those incorporated in 

the Safeguarding Plan. 

• Set a review date (4 – 6 weeks after conference meeting). 

9.6 The need for a case conference is indicated if, for example: 

• The concern / allegation / disclosure is fully or partially substantiated or the 

investigation is inconclusive and a protection plan needs to be devised and 

• The alleged victim and / or a representative wishes to be involved in devising 

the safeguarding plan and 

• The alleged victim wishes to attend the case conference forum. 

9.7 A case conference may not be required: 

• If the alleged victim and / or his / her representative do not wish to attend. He / 

she may wish to be consulted in advance of the meeting and his / her wishes / 

views be taken into account, however, or 

• He / she prefers not to be involved at all or to be represented, or 

• He / she is unable to be involved and his / her representative prefers not to be 

involved or 

• If a review meeting is felt to be more appropriate 

• If the risk no longer exists 

9.8 If it is decided that a case conference is not needed: 

• The reason(s) why should be recorded on the service user’s case record/file and 

in the Strategy meeting minutes and 

• The decision making process should have considered how the service user’s / 

representative’s views would be taken into account 

• The Safeguarding Plan should be devised in a Strategy meeting or a review 

meeting and this will conclude the process. 

• Agreement should be reached on who will feed back to the alleged victim and / or 

his / her representative. 





9.9 The recommendations and minutes of the meeting should be shared with those 

agencies attending and those invited that did not attend. 

9.10 Where the alleged victim and / or carer, chooses not to attend the conference, they 

should be informed of the outcome as soon as possible. The Divisional Manager or 

Principal Manager should decide during the conference who should inform the alleged 

victim, alleged perpetrator and, where appropriate, their carer representative. Verbal 

feedback should be confirmed in writing. Letter templates are available on Halton 

Borough Council’s Intranet under Health & Community – Safeguarding Vulnerable 

Adults/Adult Protection. 

9.11 Where the alleged victim is to attend the case conference, and he / she needs 

communication support, this should be provided. The Strategy meeting should 

recognise and plan for this to be available. 

9.12 Advocacy should be offered to the alleged victim, where appropriate. 

9.13 When a case is concluded and the allegations of abuse were proven, the disposal 

date in the Halton Borough Council’s client record system CareFirst system should be 

extended to ten years. 

9.14 It is the normal expectation that the alleged perpetrator of abuse will be told of the 

investigation, and the concerns about them at the time, and in a way that is 

appropriate to the case and the investigation, unless Police or other investigations 

preclude this. 

If an alleged perpetrator is not told then the reasons for this decision must be recorded 

and authorised (if not a Police decision) by the Divisional Manager. If an investigation 

and / or a conference concludes that initial concerns about abuse are not 

substantiated or that no further action is justified that alleged perpetrator should still be 

told that an investigation is taking place, unless a clear decision to the contrary is 

authorised and recorded. 




SECTION 10 

CONCLUSION OF CASE AND SUPPORT / CARE PLANNING 




SECTION 10: CONCLUSION OF CASE AND CARE PLANNING 

10.1 The conclusion of each safeguarding adults case must be defined. Conclusion is 

indicated when the following processes are complete: 

• Investigations concluded. 

• Findings considered and decisions made about outcomes for the alleged victim, 

alleged perpetrator and, where applicable, any service provider implications. 

• Final Safeguarding Plan agreed, if appropriate (i.e. where allegations were 

substantiated or partially substantiated). 

• Information has been shared, as appropriate and agreed (e.g. with alleged 

victim, alleged perpetrator, referrer, service provider, service user representative 

and / or family). 

In cases where pursuit of police action delays conclusion, but all other necessary 

actions have been taken, a case may be concluded subject to: 

• Satisfactory arrangements in place to protect vulnerable adults. 

• Agreement on any follow up actions that might be needed following, for 

example, conclusion of police action. 

• Adequate monitoring and follow up arrangements in place. 

• Line management agreement. 

• Inter-agency agreement on the process. 

10.2 When a case is concluded, all records should have been fully completed and “signed 

off” by the appropriate manager(s). 

• This includes paper records and electronic records/IT systems, on which the 

case should be “closed”. 

• Where Adult Social Care’s Care Management processes are concluded and any 

necessary Safeguarding Plan in place, but partner agency processes are not yet 

concluded (e.g. criminal investigation, court case, disciplinary procedures), the 

case should be moved to ‘Open/non active’ on the Carefirst system and closed 

only when all agency actions are concluded. 

• Written feedback, where appropriate. 




SECTION 10: CONCLUSION OF CASE AND SUPPORT / CARE PLANNING 

10.3 Records / reports of all open / outstanding cases should be reviewed by practitioners 

and managers, on a regular basis, to ensure no unnecessary delays in progressing and 

concluding cases 

10.4 Where the alleged perpetrator is an employee in a provider service and therefore a 

disciplinary investigation or hearing has taken place, the agency conducting the 

process should inform Halton Borough Council Adult Social Care of the outcome. The 

person to contact is the Investigating Officer (normally the social worker) or his/her 

manager. If it has not already occurred earlier in the process, a referral to the ISA list 

would occur at this stage (if appropriate) and is the responsibility of the employer. 

Adult Social Care should, if appropriate, check if this has been done. 






Section 11 

MONITORING & SUPPORT / CARE PLANNING 




SECTION 11: MONITORING AND SUPPORT / CARE PLAN 

11.1 The identified Social Worker must co-ordinate the process of monitoring progress of 

the case and ensure that all those involved are clear about their role and 

responsibilities and the agreed systems of communication. All information must be 

fully and accurately recorded. 

All pages of Halton Borough Council’s Vulnerable Adult Abuse (VAA) trigger/Case 

Recording/monitoring form must be completed and the client record system 

(CareFirst). Both records should be kept up to date. 

11.2 Where abuse has been alleged or occurred in a provider service, the service provider 

and manager will be responsible for making adequate arrangements to Safeguard 

adults receiving the service, including the alleged victim and others who might be 

vulnerable, and for having monitoring arrangements in place to contribute to this 

process. 

11.3 Managers within all agencies that have an investigative role should: 

• Have adequate systems in place for monitoring open / outstanding cases. 

• Ensure satisfactory progress is made throughout the duration of the case and 

that no unnecessary delays occur. 

11.4 Throughout the monitoring process consideration should be given to the need to 

share information on progress, as agreed within the strategy meeting and on a “need 

to know” basis. If there is no new information or progress when an investigation is 

lengthy it may be necessary to inform individuals / agencies of this. 

11.5 The care support planning process within the procedures may start at the assessment 

and investigation stage and continue to develop. The care plan or safeguarding 

protection plan must make explicit actions to be taken, individual responsibilities and 

state timescales for completion/review as appropriate. It must also make clear who is 

taking responsibility for which action. There must also be a detailed contingency plan 

recorded in the care plan or safeguarding plan, where appropriate, with plans for the 

management of risk. A copy of the safeguarding plan/care plan should be circulated to 

all agencies involved in ongoing care, making clear reference to confidential 

information. 

11.6 The care plan/Safeguarding Plan should be signed by all relevant parties and 

authorised by the Principal Manager or Practice Manager. It should be regarded as a 

contract of care between the service user and all agencies providing that care. It 

should also detail the monitoring and reviewing process. 




SECTION 12 

REVIEWING 




SECTION 12: REVIEWING 

12.1 Reviews should be held in accordance with Halton Borough Council’s Assessment 

and Care Management Procedures as follows: 

• Whenever deemed necessary. 

• First review to be held within six weeks. 

• At least annually. 

12.2 Given the serious nature of an allegation of abuse, decisions on the frequency of 

review must be made by the Social Worker and Principal Manager and / or Practice 

Manager, taking into account all available information and requests from any other 

agencies. 




SECTION 13 

RECORD KEEPING & MINUTES OF MEETINGS 




o When should information be recorded 

o What to record 

o How to record information 

o Other documentation 

o Recording meetings 

o Legal requirements 

o Service user participation 

o Storing information 




SECTION 13: RECORD KEEPING AND MINUTES OF MEETINGS 

(Meeting minutes templates are available on Halton borough Council’s intranet – 

Safeguarding Adults page). 

THE CONTEXT 

13.1 Good Record Keeping is essential to good practice, including effective communication. 

The standard of record keeping can have a direct effect on the standard of service 

provided including the level of protection vulnerable people are afforded. Good record 

keeping is therefore essential for all agencies. 

13.2 Poor recording keeping can render agencies vulnerable to litigation and criticism and 

result in valuable resources having to be directed to dealing with the aftermath. 

THE PROCEDURE 

13.3 All agencies should keep clear and accurate records and each agency should identify 

procedures for incorporating relevant agency and alleged victim’s records into a file to 

record all action taken. 

13.4 When should information be recorded 

Every record must: 

• Be kept from the time that a concern, allegation or disclosure is made 

• Be contemporaneous 

13.5 What to record: 

• All entries must provide and document factual information, e.g. times, dates, 

actions, names of people involved and contacted, things heard or seen, 

meetings held regarding the case in question. 

• Any matters or opinion recorded must state that they are opinions. 

• All contact with the alleged victim and alleged perpetrator must be recorded. 

• The exact words of the alleged victim, the alleged perpetrator and any 

witnesses or other significant people must be recorded. 

• Body maps (see Appendix 2 [a] and [b]), should be used to illustrate any 

physical injuries. 

• All consultation with a manager and / or senior manager must be recorded. 





• When contacting other agencies, the questions asked and information received 

must be recorded 

• If a decision is made not to contact the Police, the details of why this decision 

was made and on whose authority it was made must be recorded. 

• If the Police decide not to investigate or to proceed to prosecution, the decision 

and reasons for it (if known) must be recorded. 

• If no investigation is to take place, the reasons why and on whose authority this 

decision was taken must be recorded. 

• All telephone calls received and made in relation to the alleged abuse must be 

recorded even if there was no reply to outgoing calls or the person the caller 

wanted to speak to was not available. 

• Those who attend strategy meetings and case conferences and those who do 

not attend, or send apologies, must be named in the minutes. 

• Decisions taken at all meetings must be recorded. This must include actions 

agreed, individual responsible and timescales. 

• It is essential to demonstrate how an assessment of risk, responsibilities, rights, 

autonomy and safeguarding of the abused person was undertaken. 

13.8 How to record information: 

• All records must be signed and dated by the person recording them. 

• All records should be typed. 

• If this is not possible, they must be written in black ink and must be legible. 

• Any alterations to records must be made by drawing a single line through the 

words and must be signed and dated by the person making the alteration. 

• Correction fluid must not be used. 

Other Documentation 

• Any ‘rough’ notes made during the investigation must be kept with the record. 

• Minutes from related meetings must be kept with the record. 

• All risk assessments and reviews must be kept with the record. 





13.9 Recording Meetings 

The chair of a meeting should not also have to write the minutes. Minute takers 

should be appropriately trained and competent. The chair is responsible, however, 

for ensuring that: 

• Templates, designed for the purpose are used to record the minutes of 

strategy meetings and case conferences. 

• All minutes are satisfactorily recorded. 

• Minutes are checked for appropriate content, accuracy, spelling and grammar, 

before being sent out / distributed. 

• Actions are agreed and stated in the minutes, clearly reflecting the action, who 

is responsible and a timescale where relevant. 

• Minutes are sent to all who attended and were invited to the meeting. 

• Where any party mentioned in the minutes requests access to the record, 

Halton Borough Council’s Legal Services’ advice is sought before action is 

taken, apart from an acknowledgement of the request. 

• There is no breach of confidentiality when minutes are shared. 

If anyone who attends or is invited to a meeting does not receive minutes, she/he 

should contact the chairperson. 

13.10 Legal Requirements 

• Records should not breach a person’s legal rights. 

• All agencies should identify arrangements, consistent with the current statutory 

requirements and principles of fairness, for making records available to those 

affected by and subject to the investigation. (see Section on Confidentiality 

and Information Sharing) 

• If anyone who attends or is invited to a meeting does not receive minutes 

she/he should contact the Chairperson. 

13.11 Service User as Alleged Perpetrator 

If the alleged perpetrator is a service user, then information about his / her 

involvement in a safeguarding investigation, including the outcome of the 

investigation as it relates to him/her, must be included on his/her case records. 





13.12 Storing Information 

All records must be stored in accordance with each agency’s policies with, which 

must meet current statutory requirements. 






SECTION 14 

CAPACITY AND CONSENT 


• Mental Capacity Act 2005 

• Definitions 

• Principles 

• Capacity and the Investigative Process 

• Assessing capacity 

• Situations where the alleged victim has capacity 

• Situations where the alleged victim does not have capacity – Best Interests 

• Compulsory removal 

• Consent 

• Public Interest 

• Use of Independent Mental Capacity Advocates (IMCAs) in Safeguarding cases 

- who can be represented by an IMCA? 

- Who can instruct an IMCA? 

- Deciding whether an IMCA can be instructed 

- Other Advocacy support 

- The role of the IMCA 

- Access to Information 

- The Appropriate Adult Role 

- IMCAs Challenging Decisions 

- When the IMCA will stop working with the person 




SECTION 14: CAPACITY AND CONSENT 

14.1 Mental Capacity Act 2005 

The Mental Capacity Act 2005 (the Act) for the first time provides a legal framework 

for acting and making decisions on behalf of people who lack the mental capacity to 

make specific decisions for themselves. The Act provides a statutory framework to 

empower and protect vulnerable people who may not be able to make their own 

decisions. It makes it clear who can take decisions, in which situations and how they 

should go about this. It enables people to plan head for a time when they may lose 

capacity. 

The Act applies to all people over the age of 16, who may lack capacity (either 

permanently or temporarily) to make decisions about aspects of their lives. This 

includes people with: 

• A learning disability 

• A mental health problem, including those whose condition can be variable 

• Dementia 

14.2 Principles 

• Who have had a stroke or brain injury which has limited their mental capacity 

Five statutory principles are set out in the Act – the values that underpin the Act’s 

legal requirements 

Principle 1: “A person must be assumed to have capacity unless it is established that 

he lacks capacity” (Mental Capacity Act, Section 1 (2)). 

Principle 2: “A person is not to be treated as unable to make a decision unless all 

practicable steps to help him to do so have been taken without success” (Mental 

Capacity Act, Section 1 (3)). 

Principle 3: “A person is not to be treated as unable to make a decision merely 

because he makes an unwise decision” (Mental Capacity Act Section 1 (4)). 

Principle 4: “An act done, or decision made, under this Act for or on behalf of a person 

who lacks capacity must be done, or made, in his best interests” (Mental Capacity Act, 

Section 1 (5)). 





Principle 5: “Before the act is done, or the decision is made, regard must be had to 

whether the purpose for which it is needed can be effectively achieved in a way that 

is less restrictive of the person’s rights and freedom of action” (Mental Capacity Act, 

Section 1 (6)). 

14.3 Issues of capacity and consent are central, in deciding: 

• Whether an act or transaction was abusive and 

• To what extent the adult can, and should, be asked to take decisions about 

how best to deal with the situation 

14.4 Ill treatment or wilful neglect of someone who lacks capacity is a criminal offence 

14.5 Capacity and the Investigative Process 

During the investigation process, it is essential that practitioners and managers are 

certain that the alleged victim fully understands the nature of the concerns, the 

choices and options facing them, and the potential consequences of decisions taken. 

However, if the alleged abuse is a criminal matter, the Police will be involved and 

their advice must be sought, by the Investigating Officer or Manager, about whether 

they will pursue the matter through criminal investigation and proceedings. 

The Police will establish whether the alleged victim would be needed as a credible 

witness and Police would be involved in decisions about capacity assessments. 

14.6 In cases in which the Investigating Officer feels that the alleged victim is unable to 

give informed consent to a decision of action, a strategy meeting should be called 

in order to consider: 

a) The need to commission a multi-disciplinary assessment 

b) Whether an Independent Mental Capacity Advocate (IMCA) needs to be 

appointed. 

c) Who the Decision Maker should be, should the person be assessed as 

lacking capacity in respect of the matter concerned 

d) If there needs to be a ‘Best Interests’ meeting 

It may not be possible to fully address all of the above points in an initial strategy 

meeting. Follow up meeting(s) may be required. 





14.7 It should not be assumed that capacity or lack of capacity in respect of one area, or 

a condition or diagnosis, equates directly to another situation. For example, 

consent to medical treatment does not necessarily mean that an adult is able to 

give consent to sexual activity. This approach to the assessment of capacity is 

required under the Mental Capacity Act 2005 focuses on the decision itself and the 

capability of the person concerned to understand, at the time it is made, the nature 

of the decision required and its implications. This approach is very specific and 

avoids generalisations that may involve unnecessary intrusions into the affairs of 

the person. 

14.8 Assessing Capacity 

Adults are always assumed to be competent to give consent unless it is 

demonstrated otherwise (this includes young people aged 16 – 17 years). 

The Mental Capacity Act 2005 and accompanying Code of Practice should inform 

the assessment process. 

A person is unable to make a decision for himself if he is unable to: 

• Understand the information relevant to the decision 

• Retain the information 

• Use or weigh that information as part of the process of making the decision 

or 

• Communicate his/her decision (whether by talking, sign language, or any 

other means) 

If an adult is unable to give informed consent, then decisions to disclose 

information will generally be taken by the professional concerned. The decision 

must take into consideration the person’s best interests and, as necessary, the 

views of the service user’s representative, advocate, relatives or carers. 

Capacity is always assessed in terms of a functional deficit in regard to a specific 

decision. In order to decide whether an individual can make a particular decision, 

the following two-stage test must be applied: 

• Is there an impairment of or disturbance in the functioning of the person’s 

mind or brain? (Diagnostic test) 

• If there is, is it such that the person can no longer make a particular decision? 

(Functional - Cognitive test) 





Central to this two-stage approach is being able to demonstrate a link between the 

inability to make a decision and some underlying form of mental disability. This is 

referred to as the diagnostic threshold that defines a lack of capacity. 

Anyone involved in the care or support of a person could be involved in the test to 

assess capacity. This includes family, friends and carers, as well as health care and 

social care staff. Exactly who is involved depends very much on individual 

circumstances. 

Conclusions must clearly demonstrate that: 

• Both tests have been applied and the assessment justified on the balance of 

probabilities 

• Results are specific to the decision that had to be made and not generalised to 

all decisions 

• The context and nature of the decision were taken into account 

• An unwise decision did not lead to any assumption that it implied a lack of 

capacity. 

All decisions about capacity and the processes that have led to those decisions must 

be fully recorded in the individual’s case file. 

14.9 Circumstances where the alleged victim is considered to lack capacity might include 

those where: 

• The alleged victim does not know that he / she has a decision to make. 

• The alleged victim does not understand the choices available. 

• The alleged victim does not understand the possible consequences of the 

decisions. 

• The alleged victim cannot communicate their decision. 

However, in these and other circumstances, they can only be deemed incapable of 

making a decision where every reasonable effort has been made to assist their 

understanding of the situation and the communication of their wishes. This will 

include arranging an advocate and / or interpreter / communication support where 

necessary and possible. It is important to start from the assumption that the alleged 

victim is trying to find some way of communicating their wishes, rather than that 

they cannot do so. 





14.10 There may be situations where the alleged victim seems able, in terms of their 

knowledge and understanding, to make their own decisions. However, they may 

be subject to undue pressure to support a particular course of action, perhaps 

pressure from, or fear of, a professional or relative or alleged perpetrator. 

Workers will need to determine whether the alleged victim is making the decision of 

their own free will or whether they are being subjected to coercion or intimidation. 

If it is believed that the alleged victim is exposed to intimidation or coercion, efforts 

should be made to offer the vulnerable adult distance from the situation in order to 

facilitate decision-making. 

14.11 Situations where the alleged victim has capacity 

If it is decided that the alleged victim does have capacity, has taken an informed 

decision and, by that action, is placing him or herself at risk, staff should consult 

with: 

• The alleged victim themselves. 

• Their carer – (if the alleged victim consents) 

• Their advocate or other representative 

• Any other relevant agency, services or individual, to ensure that the alleged 

victim understands the risk that they are taking and the options available to 

them to remove or reduce the risk and the possible consequences of any 

particular course of action. 

14.12 If the alternative options offered are not acceptable to the alleged victim, they may 

well choose to remain in an abusive situation. If this is the case, it is important that 

all the risks have been recorded in a risk assessment and also followed up with a 

risk management plan, acknowledging the fact that the alleged victim wishes to 

remain in that situation. 

14.13 Situations where the alleged victim does not have capacity – Best Interests 

If, after a comprehensive assessment, an individual is shown, on the balance of 

probability, to lack capacity, those acting on his or her behalf must do so in the 

person’s best interests. This means that they will do what is necessary to promote 

health or wellbeing, or prevent deterioration. 





There is no statutory definition of ‘Best interests’. When someone is making a 

decision on behalf of a [person who lacks capacity, however, the Act provides a 

checklist which should be considered along with the Code of Practice, by the decision 

maker, to ensure best practice and to protect the decision maker / carer from liability. 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

The decision must not be taken on the basis of the person’s age, appearance, 

gender, experience, ethnic origin, orientation, marital status, behaviour etc, or 

because of a condition or aspect of his behaviour, which might lead others to 

make unjustified assumptions. 

Is it likely that the person will regain capacity to make the decision himself? If 

that appears to be the case, when is that likely to be and can the decision wait 

until then? 

Permit, encourage and where necessary provide support to enable the person 

to participate in the decision making process, or improve his ability to 

participate, as far as possible. 

The person’s past and present wishes and feelings, in particular any written 

statement made by him when he had capacity; the beliefs and values that 

would be likely to influence his decision if he had capacity; the other factors he 

would be likely to consider, as far as possible. Checks should be made to 

ensure that others have not unduly influenced the person and that their views 

and wishes have not altered over time or because of changes in 


If practical and appropriate, consult anyone named by the person as someone 

to be consulted, particularly anyone caring for the person, any donor of a 

Lasting Power of Attorney, any Court appointed Deputy, 

When the decision relates to life-sustaining treatment, the decision-maker must 

not be motivated by a desire to bring about the person’s death. 

In situations where (e) above cannot be applied and there are no friends or 

family to consult, an Independent Mental Capacity Advocate (IMCA) should be 

consulted. 

(See Section 14.18 Use of IMCAs in Safeguarding Cases) 

All of the above should be considered in a Best Interests meeting. 

Chapter 5 of the Code of Practice to the Act provides further guidance on working 

through a best interest decision making process. 

Having worked through the above checklist, all decisions should be recorded and 

evidenced. 





Every effort should be made to communicate with the person who lacks capacity. 

The involvement of a professional specialising in non-verbal communication might 

be of benefit in circumstances where the individual lacks verbal communication 

skills/abilities. 

All decisions about Best Interests and the processes that have led to those 

decisions must be fully recorded in the individual’s case file. 

14.14 Compulsory removal 

An adult can only be compulsorily removed from an abusive situation through the use 

of either the National Assistance Act 1948 or the Mental Health Act 1983. Both of 

these pieces of legislation involve what may be regarded as sanctions against the 

alleged victim, not the alleged perpetrator. You should seek advice from your agency 

or organisation’s legal section / department in relation to compulsory removal. 

The Court of Protection, however, could be a last resort to make welfare decisions, 

from 1 st October 2007. Managers and Investigating Officers should seek legal advice 

in these circumstances. 

14.15 Consent must be: 

• Given on an informed basis; 

• Freely given and not inferred; 

• Explicit; 

• Not provided on the basis of misleading statements or misinformation; 

• Not buried in small print or the implications otherwise disguised 

• Not provided under duress; 

• Fair – sharing without consent should be undertaken only when necessary 

and not just convenient or desirable and should balance the rights of the 

service user against any wider considerations that may be relevant 

• Lawful – the organisation wanting to share must have a relevant statutory 

power to be able to do this. 





The following do not imply consent: 

• Non-return of a form asking for consent; 

• Silence 

To signify consent, there must be some sort of active communication between the 

parties concerned. 

14.16 Consent to share information may or may not be necessary. Please refer to Section 

15 for guidance, particularly about circumstances that justify sharing without consent 

and steps that need to be taken as part of the decision making process. Practitioners 

must refer to their manager and / or legal services if they are contemplating disclosure 

or personal data, without consent and it is not in a life or death emergency 


14.17 Public Interest 

A disclosure is justified and made in the public interest, where the public good that 

would be achieved by disclosure outweighs the obligation of confidentiality to the 

individual concerned (alleged perpetrator or victim), for example to prevent abuse or 

serious harm to others. Such information would need to be limited to the relevant 

details, and would thereby be proportionate and shared on a “need to know” basis. 

14.18 Use of Independent Mental Capacity Advocates (IMCAs) in Safeguarding Adults 

case 

14.18.1 Who can be represented by an IMCA 

When a safeguarding adults procedure has commenced or is contemplated, the 

subject may be referred to an IMCA, regardless of whether there are family or friends 

involvement. The subject may be assessed as lacking capacity for at least one 

protective measure including, but not limited to: 

• Restrictions on contact with certain people 

• Temporary or permanent moves 

• The police interviewing the person or collecting forensic evidence which may 

support a prosecution 

• Increased support or supervision 





• An application to the Court of Protection 

• Restrictions on accessing specific services/places 

• Access to counselling or psychology with the aim of reducing the risk of 

further abuse. 

Protective measures may constitute a deprivation of the person at risk’s liberty. 

Where this is possibly the case, the requirements of the Deprivation of Liberty 

Safeguards need to be followed. 

There is no statutory requirement for the IMCA service to have access to a copy of a 

mental capacity assessment before acting on the instruction. 

Subsequent to the IMCA instruction there may be a need to undertake further mental 

capacity assessments. This could be because of concern about the original 

assessment, potentially fluctuating capacity, or protective measures being considered 

for which capacity has not previously been assessed. 

If subsequently the person at risk is found to have capacity with regard to all the 

protective measures which are actively being considered, the IMCA instruction should 

be withdrawn. The statutory IMCA role would normally end at this point. In some 

cases though, where the IMCA is concerned about the decision-making process, they 

may still need to challenge an aspect of this. The right of challenge applies both to 

decisions about a lack of capacity and best interests decisions (see “When the IMCA 

will stop working with the person”, below). 

14.18.2 Who can instruct an IMCA? 

For safeguarding adults the instruction must be made by either a local authority or 

NHS body that may need to take protective measures in relation to the person at risk. 

Therefore the instruction may be made by: 

1. The local authority with responsibility for instigating safeguarding adult 

proceedings. 

2. The local authority responsible for the person at risk’s care which may be 

different to 1 (e.g. out of borough placements). This could be a care manager 

or social worker. 

3. An NHS body with responsibility for the person at risk’s care (e.g. the hospital 

where they are an inpatient or a primary care trust (PCT) which is funding a 

placement). 





It is recommended here that if anyone other than the safeguarding manager is 

considering instructing an IMCA, they should discuss this first with the safeguarding 

manager. 

On receipt of an instruction, the IMCA service is required to verify that it was issued by 

an authorised representative of one of the above (IMCA General Regulations 6(4)(a). 

IMCAs are advised here to establish at this point who the safeguarding manager is, 

i.e. the person with designated responsibility for managing the safeguarding adults 

process in relation to the person at risk. 

Section 10.12 of the MCA code of practice says that the IMCA service to be instructed 

is the one which ‘works wherever the person is at the time that the person needs 

support and representation’. In most cases this will be the IMCA service which covers 

the local authority responsible for coordinating the safeguarding adults process (i.e. 

where the abuse is alleged to have occurred). The only exceptions will be if the 

person at risk is residing in a different local authority at the time the IMCA is instructed. 

14.18.3 Deciding whether an IMCA should be instructed 

Under the regulations responsible bodies are required to consider whether instructing 

an IMCA for adults at risk would be of ‘particular benefit’ to the individual. The IMCA 

code of practice expects responsible bodies to develop a local policy to support 

decision-making in this area (10.61, see example in the Appendix). 

If the person at risk lacks capacity to consent to one or more of the protective 

measures being considered (or interim measures put in place), this guidance 

recommends that an IMCA should be instructed if one of the following applies: 

1. Where there is a serious exposure to risk: 

• Risk of death 

• Risk of serious physical injury or illness 

• Risk of serious deterioration in physical or mental health 

• Risk of serious emotional distress 

2. Where a life-changing decision is involved and consulting family or friends is 

compromised by the reasonable belief that they would not have the person’s 

best interest at heart. 

3. Where there is a conflict of views between the decision-makers regarding the 

best interests of the person. 

4. Where there is a risk of financial abuse which could have a serious impact on 

the person at risk’s welfare. For example, where the loss of money would mean 

that they would be unable to afford to live in their current accommodation, or to 

pay for valued opportunities. 





In some situations both the alleged perpetrator and alleged victim of abuse could 

benefit from the support of an IMCA. It should not be the same IMCA who represents 

both. A conflict of interest could arise where two IMCAs are involved from the same 

organisation. Where two instructions are being considered the safeguarding manager 

should discuss this with the local IMCA provider. They should identify how the conflict 

of interest could be managed. 

14.18.4 Other advocacy support 

Where a person at risk is already supported by an advocate it is unlikely that an IMCA 

will be needed. 

Depending on what other advocacy services are provided locally, there may be a 

choice between instructing an IMCA and involving another advocate. 

The following points could help decide whether an IMCA should be instructed where 

other advocacy support is available. 

• Whether the person could benefit from advocacy support for issues other then 

those related to safeguarding adults. The IMCA role would be focused on the 

protective measures being considered and is likely to end when decisions have 

been made regarding these. 

• Whether the IMCA’s right of access to relevant records would make a 

significant difference for the person. 

• Whether the IMCA service or other advocacy service has good availability to 

support the person during the safeguarding adults process. 

14.18.5 The role of the IMCA 

The primary focus of IMCAs in safeguarding adults proceedings are the decisions 

concerning protective measures (including decisions not to take protective measures). 

IMCAs have a statutory role to represent and support the person at risk in relation to 

these decisions which must comply with the IMCA. 

IMCAs have a particular responsibility to ensure that the person’s feelings and wishes 

are represented in discussions concerning the protective measures. To do this they 

will need to: 

• Interview or meet the person if possible (see ‘The IMCA’s contact with the 

person at risk’) 





• Talk to professionals – paid carers and other people who can give information 

about the person’s wishes and feelings, beliefs and values (see ‘The IMCAs 

contact with family, friends and others’). 

• Access relevant records (see ’Access to information’). 

IMCAs will seek to establish that all possible protective measures have been 

considered and that consideration has been given as to whether the proposed 

measures are the least restrictive of the person’s rights. 

IMCAs should find out whether the person at risk has been given as much support as 

possible to participate in the decision-making process. This could include asking 

whether the person at risk has been invited to and supported to participate in 

safeguarding meetings as appropriate. 

Local authorities and NHS bodies which instruct IMCA for adults at risk are legally 

required to have regard to any representations made by the IMCA when making 

decisions concerning protective measures. 

Making decisions about protective measures in relation to the person at risk is just one 

of a number of the functions of the safeguarding adults process. Others include: 

• Coordinating the safeguarding assessment 

• Where abuse has taken place, active consideration in consultation with the 

police and legal services of the potential use of relevant legislation (including 

Section 44 of the MCA) 

• Identifying whether other people may be at risk and taking appropriate action 

• Where staff members are alleged perpetrators to consider referring them to the 

Independent Safeguarding Authority or a registration body (e.g. General Social 

Care Council (GSCC), British Medical Association (BMA)) 

• Providing information to; the Care Quality Commission (CQC) 

• Minimising any risks to witnesses and ‘whistleblowers’. 

Regulations allow IMCAs to make representation on any matter they feel is relevant to 

decisions concerning protective measures. For example, an IMCA may raise 

concerns about the investigation process or the involvement of the police. 





14.18.6 Access to information 

IMCAs have a right to see, and take copies of relevant records. This covers all health 

records, any record of, or held by, a local authority and compiled in connection with a 

social services function, and any record held by a person registered under Part 2 of 

the Care Standards Act 2000 (MCA Section 35 (6)). It is for the person who holds the 

records to determine whether they may be relevant to the IMCAs role. 

For safeguarding adults instructions the IMCA will expect to be provided with copies of 

the alert form, strategy meeting minutes and reports produced as part of the 

safeguarding adults proceedings. 

14.18.7 The Appropriate Adult role 

Young people under the age of 17 and adults who are considered to be mentally 

vulnerable must have an ‘Appropriate Adult’ with them when being interviewed by the 

police. An Appropriate Adult can be a family member, friend or often a trained 

volunteer from the community or social / health care professional. Increasingly, 

trained volunteers from the community carry out this important role. 

Appropriate adults can be uses to assist a victim, witness, suspect or accused and 

provide support and help the process of communication between that individual and 

the police. 

This appropriate adult role is a very different role to the IMCA role for a person at risk. 

There is a significant risk of a conflict of interest if the IMCA takes this role. For 

example, it may go against the person’s best interests to be supported in any way to 

understand the police’s questions as this could lead them to disclose something which 

they might not have otherwise. It is strongly recommended here that IMCAs instructed 

for a person at risk are not asked, or do not offer to undertake, the appropriate adult 

role in relation to their clients. 

14.18.8 IMCAs challenging decisions 

On occasion the IMCA may be concerned that decisions about protective measures do 

not comply with the MCA. The concerns may focus on: 

• The person’s capacity to make their own decisions regarding their safety 

• Whether the person is appropriately protected 

• Whether less restrictive protective measures have been adequately considered 

• Whether delays in making decisions about, or putting in place, protective 

measures go against the person’s best interests. 





Where an IMCA has significant concerns regarding the process of making decisions 

about protective measures or the outcomes, they should as soon as possible bring their 

concerns to the attention of the safeguarding manager. Unless the safeguarding 

manager is able to resolve the concerns verbally, an IMCA report should be submitted 

to the safeguarding manager setting out the concerns. It is recommended here that the 

report is submitted within one week of the concerns being raised and that the 

safeguarding manager has a maximum of one week to respond to the specific concerns 

set out in the IMCA report. 

If the IMCA is not satisfied with the safeguarding manager’s written response (including 

one not being provided within the time limit) they should communicate this clearly to 

them. Good practice in resolving serious concerns should be seen as a joint 

responsibility between the local authority and the IMCA service rather than, for 

example, the local authority only responding if a formal complaint is submitted. 

At this stage it is recommended that a senior manager from the IMCA service and 

another senior manager from the local authority become directly involved. They should 

meet to try to resolve the concerns. 

Where it is still not possible to resolve serious concerns regarding a person’s capacity 

or safety, an application to apply to the Court of Protection should be made. If the case 

is not initially taken by the official solicitor the application should be made by the 

responsible body who should also meet the costs associated with the application. It is 

likely that an urgent application should be made unless both the IMCA organisation and 

responsible body agree that any delay would not be detrimental to the best interests of 

the person. 

The urgency of resolving some disputes may in exceptional cases require the IMCA 

service to make an application to the Court of Protection, or ask for judicial review of a 

decision. This may need to happen before exhausting local informal and formal 

resolution methods. 

14.18.9 When the IMCA will stop working with the person 

It is recommended that to protect the independence of the IMCA service, decisions 

about when the IMCA stops representing a person at risk are ultimately made by the 

IMCA service. 

Generally, IMCA’s will stop representing a person at risk when they are satisfied that 

decisions about protective measures comply with the MCA. This is likely to be after the 

safeguarding planning meeting. On occasion it may require the IMCA staying involved 

until, and attending, the first review of the safeguarding plan. 

Before ending work with an individual, the IMCA must submit an IMCA report which 

should address compliance with the MCA. 





Good practice is for the IMCA to formally write to the safeguarding manager (and the 

instructor if different) advising them that they have ended work with the person at risk. 

The IMCA may make recommendations about other advocacy support – possibly 

suggesting that an IMCA is instructed for a future review of the safeguarding plan. 

If the instructing body feels that an IMCA is no longer required, this should be 

discussed with the IMCA. An example would be if the person at risk has been 

reassessed as having capacity regarding the protective measures. Where an 

instruction is formally withdrawn the statutory IMCA role ends. In exceptional cases the 

IMCA service may have unresolved concerns about the decision-making process. In 

such circumstances the IMCA service may pursue informal or formal challenges, 

including complaints and application to the Court of Protection. If any further action is 

taken after an instruction is withdrawn, IMCAs need to recognise that they no longer 

have, for example, the right to meet the person or access relevant records. 




SECTION 15 

CONFIDENTIALITY & INFORMATION SHARING 



• Principals of Information Sharing 

• Circumstances that Justify Information Sharing. 


• The Service User as Perpetrator 




SECTION 15: CONFIDENTIALITY AND INFORMATION SHARING 

THE CONTEXT 

15.1 No Secrets (Department of Health, 2000) recognises that there are circumstances in 

which it will be necessary to share confidential information. 

15.2 Summarising the principles set out in the Caldecott Committee’s report on the review 

of patient identifiable information, No Secrets states that: 

(a) 

(b) 

(c) 

Information will only be shared on a need-to-know basis when it is in the best 

interest of the service user. 

Confidentiality must never be confused with secrecy. Informed consent should 

be obtained but if this is not possible, and others are at risk, it may be 

necessary to override this requirement. 

It is inappropriate for agencies to give assurances of absolute confidentiality in 

cases where there are concerns about abuse, particularly in situations when 

other people may be at risk. 

15.3 The decision about who needs to know and what needs to be known should be taken 

on a case-by-case basis. 

15.4 No Secrets states that the principles of confidentiality designed to protect the 

management interests of an organisation must never be allowed to conflict with those 

designed to promote the interests of the service user. If it appears to an employee or 

person in a similar role that such confidentiality rules may be operating against the 

interests of the adult’s then a duty arises to make disclosure in the public interest. 

15.5 In certain circumstances it will be necessary to exchange or disclose personal 

information, which will need to be done in accordance with the Data Protection Act 

1998 where this applies. 

15.6 Principles of Information Sharing 

The following principals will apply to inter-agency information sharing: 

a) It will not be assumed that the authority to share information exists, in any given 

case or in any circumstances; 

b) There is no automatic right for a person to have access to someone else’s 

information; 




SECTION 15: CONFIDENTIALITY & INFORMATION SHARING 

c) Confidentiality is not an absolute right; 

d) An organised decision making process will be undertaken, in each case, 

including the assessment of risk. 

The lawful criteria for the disclosure of information, in the public interest, which would in 

other circumstances be a breach of confidentiality, are: 

a) The safeguarding of the welfare of vulnerable children and adults 

b) Maintaining public safety 

c) Prevention of crime and disorder 

d) The detection of crime 

e) The apprehension of offenders 

f) The administration of justice 

15.7 Circumstances that justify Information Sharing 

The following circumstances are justification for sharing information and where 

necessary, can be considered in the decision making process. Where: 

a) There is an overriding public interest in disclosure, such as: 

• In the interests of national security or public safety 

• For the prevention or detection of crime, the apprehension of offenders, the 

administration of justice. 

• In maintaining public safety, the protection of health or morals 

• For the protection of the rights or freedoms of others 

• For the safeguarding of the welfare of vulnerable children and adults 

b) Disclosure is required by court order or other legal obligation 

c) The person to whom the duty of confidentiality is owed has given informed 

consent. Consent should be explicit, informed and preferably be in writing. 

Any verbal agreement should be recorded with the date and time. Silence is 

not consent; 





d) Where the subject does not consent but: 

THE PROCEDURE 

- Disclosure is necessary to protect the * vital interests * of a vulnerable 

person who is unable to give consent, or 

- Where it is not viable to obtain consent from them e.g. in cases 

of/allegations of serious abuse or exploitation, or 

- Consent by or on behalf of the subject has been unreasonably withheld. 

- Information sharing without consent is necessary for the prevention or 

detection of crime, apprehension or prosecution of offenders and where 

these purposes would be likely to be prejudiced by non-disclosure. 

The Information Commissioner advises that this [i.e. to protect the vital interests] is 

where the sharing is necessary for matters of life or death or for the prevention of 

serious harm to the individual. This should only be used where there is substantial 

chance rather than mere risk that not disclosing or informing the data subject of the 

intended disclosure would be likely to prejudice the prevention or detection of 

crime. 

15.8 Decisions about sharing information need to be taken on a case-by-case basis. 

Therefore before you share information you need to ask yourself the following 

questions: 

• Do I have the permission of the abused person to disclose personal 

information? If not: 

• Do I have the legal power to disclose this information? 

• Is there a duty to protect the wider public interest? Are other people at risk? 

• Am I proposing to share information with due regard to both common and 

statute law? 

• Do I have the correct level of seniority to disclose this information? 





15.9 The sharing of information must always be discussed with a senior manager and / or 

Legal Services or Adviser. 

15.10 All decisions made in terms of withholding or sharing information, and the reasons 

for those decisions must be recorded. 

15.11 The Service User as Perpetrator 

If it is assessed that a service user continues to pose a threat to other service users, 

then this should be included in any information that is passed on to service 

providers. 






SECTION 16 

________________________________________________________________ 

OTHER ORGANISATIONS THAT CAN PROVIDE SUPPORT, ADVICE 

AND INFORMATION 


• Contact details for organisations that provide helplines or support e.g. : 

o 

o 

o 

o 

o 

o 

Domestic Abuse 

Sexual Abuse 

Abuse of Older People 

Abuse by Health and Care Workers 

“Whistle blowing” (Public Interest Disclosure) 

Abuse of people with learning disabilities 




SECTION 16: OTHER ORGANISATIONS THAT CAN PROVIDE SUPPORT, 

ADVICE AND INFORMATION 

16.1 The following is a list of services that may be useful. Inclusion does not indicate a 

recommendation. The list is not necessarily comprehensive and is only up-to-date at 

the time it was completed. 

Please check yourself whether the services are still available or other alternatives 

needed to be added to the list. 

16.2 SERVICES SPECIFIC TO DOMESTIC ABUSE 

24 hour National Domestic Violence Freephone Helpline 0808 2000 247 

Halton’s Domestic Abuse Helpline, for people who are being or know someone who 

is being abused: 

Telephone: 0300 11 11 247 

16.3 SERVICES SPECIFIC TO SEXUAL ABUSE 

Halton Rape and Sexual Assault Support Centre and Halton Independent Sexual 

Violence Advocate (ISVA) 

Telephone: 01925 221546 

16.4 NATIONAL ORGANISATIONS SPECIFIC TO ADULT 

PROTECTION/SAFEGUARDING ADULTS 

Action on Elder Abuse 

A free Helpline offering information, emotional support and confidentiality for anyone 

worried bout an older person being abused, neglected or financially exploited. 

Service available in English, Hindu, Urdu, Punjabi and Welsh. 

Telephone number: 080 8808 8141 

Email: 

Enquiries@elderabuse.org.uk 

Witness Against Abuse by Health and Care Workers 

This is the only charity in the UK working exclusively on abuse by social and Health 

Care professionals by offering a helpline and support with complaints, advocacy, 

information, raising public and professional awareness. 


Email: 

info@witnessagainstabuse.org.uk 




SECTION 16: OTHER ORGANISATIONS THAT CAN PROVIDE SUPPORT, 

ADVICE AND INFORMATION 

Public Concern at Work 

A leading authority on public interest “Whistleblowing” / disclosure. They work with 

employers and employees to ensure that concerns such as fraud, public danger, or 

abuse in care are properly raised and handled in the work place. 


Fax number: 020 7404 6576 

Email helpline: 

helpline@pcaw.co.uk 

Respond 

Respond is a national charity, which challenged vulnerability and abuse in the lives 

of people with learning disabilities. 


Fax number: 020 7387 1222 

Helpline number: 0808 808 0700 

Email: 

admin@respond.org.uk 






SECTION 17 

_________________________________________________________________ 


LEGAL FRAMEWORK 

• Legal Context 

• Responsibilities to assess a potential victim of abuse 

• Abuse involving violence 

o Powers of Entry 

o Powers of Arrest 

o Domestic Violence/Domestic Abuse 

• Sexual Abuse 

• Abuse in Care Homes and Adult Placement Settings 

o Power to enter and inspect 

o Place of Safety 

o Hospital Admission 

o Guardianship 

o Ill treatment of the mentally disordered 

• Financial Abuse 

o Lasting Power of Attorney 

o Appointee 

o Agent 

o Court of Protection 

• Powers relating to removal of a person from unsanitary conditions 

• Mental Capacity Act 2005 

• Disability Discrimination Act 1995 

• Neglect and Familial Homicide (Domestic Violence, Crimes & Victims Act 2004) 

• Safeguarding Vulnerable Groups Act 2006 

• Data Protection and Human Rights 

• Human Rights Act 1998 

• Data Protection Act 1998 

• Public Interest Disclosure Act 

• Other relevant legislation 

• Youth and Criminal Evidence Act 1999 

• Necessity and Declaratory Relief 




SECTION 17: LEGAL FRAMEWORK 

17.1 Legal Context 

Legislation can either grant local authorities a power to act (in which case the 

decision whether to act is discretionary, e.g. “may” / “can” or a duty to act (where 

there is no discretion, e.g. “must”/“shall”). 

Legislation can also be found in the form of Statutory Instruments (“Regulations”) or 

Statutory Guidance, which has the same force as legislative Acts. 

The powers and duties of the authority relate both to crisis intervention and 

preventative measures. It is important the officers working within Social Services 

have some understanding of the legislation relevant to abuse of vulnerable adults 

and of legal process of procedures. The following is a summary of the existing 

relevant legislation. Colleagues in Legal Services are available to advise further on 

any of these matters. When seeking legal advice, all relevant information should be 

provided. 

17.2 Responsibilities to assess a potential victim of abuse 

Social Services have a duty to carry out an assessment of need for community care 

services for any person who it appears may need such services. If the assessment 

identifies needs, there is a duty to consider whether those needs require service 

provision (S47 National Health Service and Community Care Act 1990). 

If at any time during the assessment it appears that the person is disabled, 

consideration has to be given (under S2 Chronically Sick and Disabled Persons Act 

[CSDPA] 1970) to any additional services required under the CSDPA and under 

The Disabled Person’s (Services Consultation and Representation) Act 1986. The 

1986 Act also requires that the needs of the carer, including their ability to continue 

caring, are assessed. This assessment may be helpful in addressing potentially 

abusive situations. 

Under the Carers (Recognition and Services) Act 1995 and the Carers and 

Disabled Children Act 2000, a person who cares for someone over 18 has a right to 

a carer’s assessment if they care for someone for a “substantial amount of time on 

a regular basis”. This applies even if the person for whom they are caring does not 

want to receive any support from Social Services”. The assessment may be helpful 

in identifying potential abuse situations. 





17.3 Police Powers of Entry 

Police have powers to gain entry to property under Section 17 of PACE (Police and 

Criminal Evidence Act 1984) and under Common Law. 

• Section 17 PACE states that police can gain entry to arrest a person and 

search a property: 

o 

o 

for an indictable offence. An indictable offence means an offence 

which, if committed by an adult, is triable on indictment (i.e. at 

Crown Court) whether it is exclusively so triable or triable ‘either 

way’. An offence “triable either way " means an offence which, if 

committed by an adult is triable either on indictment or summarily 

(i.e. at Magistrates Court). 

For saving life and limb or preventing serious damage to property. 

• Common Law provides police with a power of entry into private premises 

when there is, or is likely to be a breach of the peace. 

A breach of the peace is committed whenever harm is done, or is likely to 

be done to a person, or, in his presence to his property, or, whenever a 

person is in fear of being harmed through an assault, affray, riot or other 

disturbance. 

If the police have genuine grounds to apprehend such a breach, they have 

a right to enter private premises to make an arrest or ensure that one does 

not occur (See Case Law - Thomas v Sawkins). The right of entry is not 

absolute, but must be weighed against the degree of disturbance which is 

threatened. For example, smashing down a door to stop a drunken 

argument is likely to be excessive unless it is threatening to escalate 

towards violence. 

Police Powers of Arrest 

Police have specific powers of arrest under section 110 of the Serious Organised 

Crime and Police Act 2005 (which amends Section 24 PACE – arrest with warrant – 

Constables) as follows: - 

Where ANY offence has been, is being, is about to be committed or is suspected, a 

police officer can arrest the person if the officer has reasonable grounds for believing 

that the arrest is NECESSARY because of any of the following reasons: 

a) To enable the name of the person in question to be ascertained 

b) Same as above for the person's address; 





c) To prevent the person in question- 

i) Causing physical injury to himself or any other person; 

ii) Suffering physical injury; 

iii) Causing loss of or damage to property; 

iv) Committing an offence against public decency; or 

v) Causing an unlawful obstruction of the highway; 

d) To protect a child or other vulnerable person from the person in 

question; 

e) To allow the prompt and effective investigation of the offence or of the 

conduct of the person in question. 

f) To prevent any prosecution for the offence from being hindered by the 

disappearance of the person in question. 

Cheshire Police regard violent assault or behaviour within a domestic setting as 

seriously as that carried out by a stranger. Cheshire Police Force Policy, in relation 

to the attendance at incidents involving domestic abuse, reinforces the need for 

positive action to be taken. Officers have the power to arrest for any offence, but 

must demonstrate that they have reasonable grounds for believing that the arrest is 

necessary according to the Serious and Organised Crime And Police 2005 

(SOCAP). Where an offence has been committed in a domestic abuse case, arrest 

will normally be ‘necessary’ within the terms of SOCPA to protect a child or 

vulnerable person, prevent the suspect causing injury and/or allow for the prompt 

and effective investigation of the offence. Proactive investigation will always be 

required in cases of domestic abuse as the victims, children, neighbours and other 

witnesses may be reluctant to disturb the perceived privacy of family life. They might 

also fear threats, emotional pressure and violent reprisals from suspects. Code G of 

the PACE Codes of Practice states that an arrest to allow prompt and effective 

investigation may take place for a number of reasons, including where there are 

grounds to believe that a person may intimidate or contact witnesses. 

If violence is suspected or anticipated, the Police should be notified and asked to 

respond. Either the alleged victim or the Social Services officer could do this. 

There are also actions, which an abused individual can take against the abuser 

under civil law for assault, battery, nuisance, false imprisonment and trespass. The 

individual could apply to a County Court for an injunction to prevent further violence / 

abuse, and this may be granted with a power of arrest if the injunction is breached. 

An abused person could be informed of this right and advised to seek independent 

legal advice. 





There are also powers available to the Courts under the Family Law Act 1996. The 

abused person or their representative can take action against someone living in the 

same household (but not a lodger, tenant or employee) or relatives, former 

cohabitants and spouses. The Court can grant a non-molestation order, or an 

occupation order barring someone from the house or a specified part of it. Again, 

the abused person should seek independent legal advice if considering this course 

of action. 

17.4 Sexual Abuse 

The Sexual Offences Act 2003 overhauled the legal framework relating to sexual 

offences and includes provision to guard against the sexual abuse of children and 

vulnerable adults. It repealed most of the previous law in relation to sexual offences. 

The main provisions of the Sexual Offences Act 2003, relating to vulnerable adults, 

are: 

• The Act gives additional protection to children and vulnerable adults; 

• The definition of rape is amended to include intentional penetration of the 

vagina, anus or mouth with a penis and forced sexual penetration of objects; 

• Significant changes to the issue of consent; 

• A number of specific offences relating to children under the ages of 13, 16 and 

18 years; 

• New offences to protect vulnerable persons suffering from a mental disorder; 

• New offences relating to forced sexual activity with anyone and forced 

Self-masturbation; 

• Touching over clothing may constitute an offence; 

• The Act is gender neutral; 

• Discrimination against homosexuals has been removed; 





17.5 Abuse in Care Homes (Nursing or Residential Homes) and Adult Placement 

Settings. 

All of the law referred to elsewhere in this guidance applies equally to those in 

residential care. In addition, the Care Standards Act 2000 and the Care Homes 

Regulations regulate the care of those who live in care home and adult placement 

settings. Suspected incidences should be reported to the Commission for Social 

Care Inspection, Social Services and, if a criminal act is suspected or alleged, the 

Police. 

Relatives may sometimes seek to remove a service user from a care home or adult 

placement setting. Staff should consider the following issues: 

• Generally there is no right to prevent removal. 

• If the person does not want to leave, staff should act as advocate for that 

person’s rights and involve the Police, as a criminal offence may be committed. 

• If the person is subject to Guardianship (see paragraph below on Mental 

Disorder) removal should not be allowed without the Guardian’s consent 

although it may not be possible to prevent it). 

• If a breach of the peace is threatened, i.e. relatives are disruptive, potentially 

violent or threatening or causing distress, access to the building can be denied 

and Police involvement requested if necessary. 

17.6 Mental Health Act (MHA) 1983 

The Act covers the rights, assessment and treatment of individuals suffering from a 

mental health condition. It details the process that needs to take place in order for a 

person to be compulsorily detained and the rights they retain and lose under such 

circumstances. The Act recognises four categories of mental disorder. Mental 

Illness, mental impairment, severe mental impairment and psychopathic disorder, 

but excludes promiscuity, immoral conduct, sexual deviance or dependence on 

alcohol or drugs. 





If access is refused to an alleged abused / neglected person and they are known or 

suspected to be suffering from a mental disorder, the Authority has several powers 

under the Mental Health Act 1983 (MHA). For example, it sets out a number of 

circumstances under which, an individual with a mental disorder may be lawfully 

detained in hospital or a place of safety (1) to (3) below. This civil detention can be 

for assessment and treatment, for the person’s safety or the safety of others. The 

Act provides doctors and nurses with holding powers (Section 5.2 and 5.4) with no 

right of appeal to restrain a detained person from leaving hospital. For a mentally 

disordered person in a public place and in need of care and control, section 136 

allows a police officer to remove the individual to a place of safety. Once there, they 

can be examined by a registered medical practitioner and interviewed by an 

approved social worker. 

(i) 

Power to enter and inspect (S115) 

An Approved Mental Health Professional (AMHP) may at all reasonable times enter 

and inspect any premises in which a mentally disordered person is living if there is 

reasonable cause to believe that they are not under proper care. Forced entry is not 

permitted but obstruction may be an offence under S129 and a warrant for entry can 

be sought under S135. The warrant authorises a Police Officer to enter the 

premises, by force, if necessary, in order to remove the mentally disordered person 

to a place of safety 

If a warrant is necessary, the person need not be named, allowing investigation of 

suspected abuse or neglect of people whose identity is not known. A warrant may 

be granted, based on evidence of past abuse or neglect. 

(ii) 

Warrant to Search and remove patients (S135) 

A Section 135 (1) warrant enables the police accompanied by an Approved Mental 

Health Professional (AMHP) and a doctor to enter the home of someone who is 

being neglected, is unable to care for him / herself or who is living alone, and remove 

them to a place of safety for a maximum of 72 hours. This enables an assessment 

to be carried out and, if necessary, detention in hospital for further assessment and 

treatment. Section 135 (2) allows for a detained person, who is absent without leave 

to be retaken and returned to hospital by means of forced entry to their premises if 

necessary. 





(iii) Hospital admission (S2-4 and S13 [4]) 

Section 2, 3 and 4 of the MHA give powers to an Approved Social Worker to seek 

admission of a mentally disordered person where the necessary criteria are met. 

Further legal guidance on MHA admissions should be sought if requested. Under 

S13 [4] an ASW must consider making an application for admission under the Act if 

requested to do so by the nearest relative. This power may be used if the nearest 

relative complains of abuse or neglect of the person by a third party. 

(iv) 

Guardianship (S7) 

A vulnerable person aged 16 or over may be received into guardianship by the local 

authority if they suffer from a diagnosed mental disorder, the degree of which is such 

that care in the community can only be provided by using compulsory powers. 

Guardianship, although authoritative and structured, also aims to help the individual 

achieve a level of independence within the community when combined with a 

minimum of constraint. It must, however be “necessary for the welfare of the person 

or the protection of others.” Welfare of the person is interpreted broadly and must 

always be used as a component part of the person’s care and treatment plan. The 

authority may then: 

• Require the person to reside at a specific place. 

• Require specified attendance for medical treatment, education, training or 

occupation. 

• Require access by a registered medical practitioner, Approved Mental Health 

Professional (AMHP) or other specified person to the patient. (No power of 

forceful entry but refusing access is an offence under S129). 

Guardianship must be subject to consultation with the nearest relative, but where they 

object, they can be removed by the County Court under S29. Those subject to 

Guardianship Orders have a right to appeal to Mental Health Review Tribunal and to 

receive legal advice. Guardianship can be used flexibly and positively to assist 

professional intervention and facilitate access to services, enabling the individual’s 

rights to be protected and for them to remain in the community. 





(v) 

Ill Treatment of the Mentally Disordered (S127) 

It is an offence for any employee or manager of a hospital or mental nursing home to 

ill treat or wilfully neglect, a patient receiving treatment, either as an inpatient or at 

home or any patient receiving outpatient treatment. It is also an offence for a 

guardian or someone with custody or care of the person (whether a legal, moral or 

other responsibility) to ill-treat or wilfully neglect a mentally disordered person. 

Prosecutions can be brought by the CPS or by Social Services (with the consent of 

the Director of Public Prosecutions). Further legal advice should be sought on such 

actions. 

Wherever possible, mentally disordered people are treated in the community under 

the Care Programme Approach (CPA). Services are provided jointly between hospital 

and community health services, social services authorities, voluntary and private 

sectors and carers. 

(vi) 

The Act gives approved mental health professionals (AMHP) social workers, nurses, 

occupational therapists or psychologists who have been approved by their local social 

services authority, to carry out certain function. They can make an application for 

admission to hospital where necessary and proper. Prior to doing so the AMHP must 

interview the person and be satisfied that detention in hospital is the most appropriate 

way of providing the care and treatment the person requires. 

(vii) Nearest Relative Section 26 

A person’s nearest relative has a number of powers under the Act and this individual 

is identified according to the rules set out in section 26. The nearest relative can 

apply for their relative to be formally detained. However in the majority of cases it is 

the AMHP (see vi) who makes the application. 

(viii) 

Independent Mental Health Advocates (IMHA) 

IMHAs are specially trained advocates. Individuals are entitled to help from an 

IMHA, when discussing neurosurgery or other treatments under section 57 and 

specialised DH regulations. They are entitled to help and information from them 

about their rights under the Act, including the rights of the nearest relative and about 

making a complaint in relation to health and social services. 





17.7 Financial Abuse 

There may be instances where the suspected abuse is of a financial nature. It may 

be that the nature of the abuse is such that a criminal offence (e.g. theft or fraud) is 

suspected and such suspicions should be reported to a line manager who may 

involve the Police. 

However, there are also preventative actions, which can be taken to reduce the risk 

of financial abuse. 

(i) 

Lasting Power of Attorney 

The Mental Capacity Act 2005 allows a person to appoint an attorney to act on 

their behalf, should they lose capacity in the future. 

(ii) 

Appointee 

An adult / older person can appoint a relative, friend or professional or Social 

Services to deal with their financial affairs. Forms are available from the 

Benefits Agency. If any professional alerts the Agency to concerns, they will 

interview the person and the proposed appointee before making a decision. 

They may also put a stop on a pension, if contacted by a professional who has 

the consent of the person (useful if someone has taken possession of a 

pension book). The Agency can carry out an investigation if they suspect 

abuse of the appointeeship and suggest another appointeeship. 

(iii) 

Agent 

An adult / older person can authorise another person to collect their state 

benefit for them by signing the back of the pension benefit form. 

(iv) 

The Court of Protection 

The Court of Protection is a specialist Court which deals with decision making 

for adults (and a few children) who may lack capacity to make specific 

decisions for themselves. It deals with matters of property, finances, and 

serious decisions about healthcare and personal welfare matters. 

If a person cannot manage his/her financial affairs, due to mental disorder, the 

Court of Protection may appoint a Court Appointed Deputy act in the person’s 

place to deal with his / her financial affairs, property, welfare or care needs. An 

application to appoint a Court Appointed Deputy is usually made by the nearest 

relative, but can be a neighbour, friend, business adviser or an officer of the 

Local Authority. 





The Office of the Public Guardian can be contacted as follows: 

Tel: 0300 456 0300 

Fax: 0810 739 5780 

Email: customerservices@piublicguardian.gsi.gov.uk 

Website: www.guardianship.gov.uk 

The Department of Social Security may need to be involved if specific offences are 

suspected, as follows: 

(a) 

(b) 

False representation for obtaining benefits. This may involve someone 

continuing to claim benefits after the death of the rightful claimant, or making 

false declaration to obtain cash benefit. The person involved could be a family 

member, friend or may be an employee of Social Services or a Residential 

Home (Social Security Administration Act 1992) (SSAA) S112). 

Illegal possession of documents, e.g. Child Benefit Book or Pension Book 

(Under age) (SSAA S182). 

17.8 Powers relating to removal of a person from unsanitary conditions 

Under Section 47 National Assistance Act 1948, a local authority may apply to the 

magistrates for removal of a person from their home if: 

(a) 

(b) 

(c) 

The person is suffering from a grave chronic disease or is aged, infirm or 

incapacitated and living in unsanitary conditions and 

The person is not receiving proper care and attention, and 

Removal is necessary in his/her own interests or to prevent injury to the health 

of, or serious nuisance to, another person. 

The application must be accompanied by a community physician’s certification that 

removal is necessary on these grounds. If the application is successful the person 

may be removed to a suitable hospital or other place (e.g. care home). The Order 

lasts initially for up to three months and may be extended by another three months, 

and can be revoked by an application made by the person or their representative six 

weeks after it is granted. 





This power is rarely used. However, if it is being considered, prior notice should 

normally be given to the relevant person of the intention to use S47 powers. If 

removal is required without delay, an ex parte application can be made without 

notice, provided two doctors certify it is a necessity. The period of removal is then 

for up to three weeks but can be extended by a full application. 

In addition, the Council have powers under Public Health Legislation to enter and 

clean premises, which are a public health risk. These powers may be useful where 

removal from the premises is not feasible for any other reason. 

This section does not give authority for medical treatment to be given to a person 

without their consent. A mentally incapacitated person who is removed under this 

section can be treated in his best interests under the common law doctrine of 

necessity. 

17.9 Mental Capacity Act 2005 

The Mental Capacity Act 2005 came into force in 2007 and provides a statutory 

framework to empower and protect vulnerable people who are not able to make their 

own decisions. It makes it clear who can take decisions, in which situations, and 

how they should go about this. It enables people to plan ahead for a time when they 

may lose capacity. 

The Act is supplemented by a statutory Code of Practice. There are a number of 

categories of people who have a duty to have regard to the Code, and to follow the 

guidance unless there is a good reason to depart from it. The categories include 

IMCAs and anyone else acting in a professional capacity for, or in relation to, a 

person who lacks capacity, including health care staff, social care staff, care workers 

providing domiciliary care services, and others such as ambulance crew, housing 

workers, police officers. Professionals must document in writing any departure from 

the Code of Practice with reasons and (if possible and applicable) notify their 

managers in advance. 

The whole Act is underpinned by a set of five key principles stated at 

Section1: 

• A presumption of capacity - every adult has the right to make his or her own 

decisions and must be assumed to have capacity to do so unless it is proved 

otherwise; 





• The right for individuals to be supported to make their own decisions – 

people must be given all appropriate help before anyone concludes that they 

cannot make their own decisions; 

• That individuals must retain the right to make what might be seen as eccentric 

or unwise decisions; 

• Best interests – anything done for or on behalf of people without capacity must 

be in their best interests; and 

• Least restrictive intervention – anything done for or on behalf of people 

without capacity should be the least restrictive of their basic rights and 

freedoms. 

What does the Act do? 

The Act enshrines in statute current best practice and common law principles 

concerning people who lack mental capacity and those who take decisions on their 

behalf. It replaces statutory schemes for enduring powers of attorney (although 

existing enduring powers of attorney will continue) and Court of Protection receivers 

with reformed and updated schemes. The Act deals with the assessment of a 

person’s capacity and acts by carers of those who lack capacity. 

• Assessing lack of capacity - The Act sets out a single clear test for assessing 

whether a person lacks capacity to take a particular decision at a particular 

time. It is a “decision-specific” test. No one can be labelled ‘incapable’ as a 

result of a particular medical condition or diagnosis. Section 2 of the Act makes 

it clear that a lack of capacity cannot be established merely by reference to a 

person’s age, appearance, or any condition or aspect of a person’s behaviour, 

which might lead other to make unjustified assumptions about capacity. 

• Best Interests - Everything that is done for or on behalf of a person who lacks 

capacity must be in that person’s interests. The Act provides a checklist of 

factors that decision –making must work through in deciding what is in a 

person’s best interests. A person can put his / her wishes and feelings into a 

written statement if they so wish, which the person making the determination 

must consider. Also, carers and family members gain a right to be consulted. 

• Acts in connection with care or treatment – Section 5 clarifies that, where a 

person is providing care or treatment for someone who lacks capacity, then the 

person can provide the care without incurring legal liability. The key will be 

proper assessment of capacity and best interests. This will cover actions that 

would otherwise result in a civil wrong or crime if someone has to interfere with 

the person’s body or property in the ordinary course of caring. For example, by 

giving an injection or by using the person’s money to buy items for them. 





• Restraint / deprivation of liberty. Section 6 of the Act defines restraint as the 

use or threat of force where an incapacitated person resists, and any restriction 

of liberty or movement whether or not the person resists. Restraint is only 

permitted if the person using it reasonably believes it is necessary to prevent 

harm to the incapacitated person, and if the restraint used is proportionate to 

the likelihood and seriousness of the harm. 

• Section 6(5) makes it clear that an act depriving a person of his or her 

liberty within the meaning of Article 5(1) of the European Convention on 

Human Rights cannot be an act to which section 5 provides any protection. 

The Act deals with two situations where a designated decision-maker can act 

on behalf of someone who lacks capacity: 

• Lasting powers of attorney (LPAs) – The Act allows a person to appoint an 

attorney to act on their behalf if they should lose capacity in the future. This 

replaces and extends Enduring Power of Attorney (EPA), to allow people to let 

an attorney make health and welfare decisions. 

• Court appointed deputies – The Act provides for a system of court appointed 

deputies to replace the system of receivership in the Court of Protection. 

Deputies take decisions on welfare, healthcare and financial matters as 

authorised by the Court but will not be able to refuse consent to life-sustaining 

treatment. They will only be appointed if the Court cannot make a one-off 

decision to resolve the issues. 

The Act creates two new public bodies to support the statutory framework, both of 

which will be designed around the needs of those who lack capacity. 

• A new Court of Protection – The new Court has jurisdiction relating to the 

whole Act and is the final arbiter for capacity matters. It has its own procedures 

and nominated judges. 

• A new Public Guardian – The Public Guardian and his / her staff is the 

registering authority for LPAs and deputies. They supervise deputies appointed 

by the Court and provide information to help the Court make decisions. They 

also work together with other agencies, such as the police and social services, 

to respond to any concerns raised about the way in which an attorney or deputy 

is operating. 

The Act also includes three further key provisions to protect vulnerable people: 





• Independent Mental Capacity Advocate (IMCA) – See Section 14 

• Advance decisions to refuse treatment – Statutory rules with clear 

safeguards confirm that people may make a decision in advance to refuse 

treatment if they should loose capacity in the future. It is made clear in the Act 

that an advance decision will have no application to any treatment, which a 

doctor considers necessary to sustain life unless strict formalities have been 

complied with. These formalities are that the decision must be in writing, 

signed and witnessed. In addition, there must be an express statement that the 

decision stands “even if life it at risk”. 

• A criminal offence – The Act introduces a new criminal offence of ill treatment 

or neglect of a person who lacks capacity. A person found guilty of such an 

offence may be liable to imprisonment for a term of up to five years. 

The Act also sets out clear parameters for research: 

• Research involving, or in relation to, a person lacking capacity may be 

lawfully carried out if an “appropriate body” (normally a Research Ethics 

Committee) agrees that the research is safe, relates to the person’s condition 

and cannot be done as effectively using people who have mental capacity. The 

research must produce a benefit to the person that outweighs any risk or 

burden, alternatively, if it is to derive new scientific knowledge it must be of 

minimal risk to the person and be carried out with minimal intrusion or 

interference with their rights. 

• Carers or nominated third parties must be consulted and agree that the person 

would want to join an approved research project. If the person shows any signs 

of resistance or indicates in any way that he or she does not wish to take part, 

the person must be withdrawn form the project immediately. Transitional 

regulations will cover research started before the Act where the person originally 

had capacity to consent, but later lost capacity before the end of the project. 

17.10 Disability Discrimination Act 1995 

Under the Disability Discrimination Act 1995, discrimination occurs when: 

• A disabled person is treated less favourably than someone else 





And 

• the treatment is for a reason relating to the person’s disability 

and 

• this treatment cannot be justified. 

Discrimination also occurs where: 

• There is a failure to make a reasonable adjustment for a disabled person 

and 

• that failure cannot be justified. 

17.11 Domestic Violence, Crime and Victims Act 2004 

- Neglect and Familial Homicide – duty of adults to protect them from harm. 

Section 5 states that a person is guilty of an offence if: 

a) A child or vulnerable adult dies as a result of the unlawful act of a person who 

was a member of the same household as the victim and had frequent contact 

with him, and 

b) There was a significant risk of serious physical harm and the person was either 

the person who caused the death or, should have taken reasonable steps to 

protect the victim from risk. 

The measures are aimed at tackling the problem of prosecuting unlawful killing when 

there is more than one potential perpetrator and the co-accused blame each other. 

17.12 Safeguarding Vulnerable Groups Act 2006 

The Safeguarding Vulnerable Groups Act 2006 is an Act that makes provision for the 

protection of children and vulnerable adults, through vetting and barring 

arrangements. 

The Act was passed in response to recommendation 19 of the Bichard Inquiry arising 

from the Soham murders in 2002, when the schoolgirls Jessica Chapman and Holly 

wells were murdered by Ian Huntley (a school caretaker). 





The Inquiry questioned the way employers recruit people to work with vulnerable 

groups, and particularly the way background checks are carried out. 

Recommendation 19 of the Inquiry Report highlighted the need for a single agency to 

vet all individuals who want to work or volunteer with children or vulnerable adults 

and to bar unsuitable people from doing so. 

The Independent Sector Authority (ISA) was set up to fulfill this role across England, 

Wales and Northern Ireland (Scotland will set up its own similar authority linked to the 

ISA) 

In this context, the term ‘work’ refers to paid or unpaid employment. 

Vetting and barring arrangements set up under the Act replace previous ‘barred’ 

lists, including the Protection of Vulnerable Adults (PoVA) list and Protection of 

Children Act (PoCA) list. 

17.12.1 

At the time of revising these Safeguarding Procedures in 2010, the Government 

intends to carry out a review of the Vetting and Barring arrangements. Pending the 

procedures being updated in this regard, readers should refer to the ISA website for 

up to date legislation and guidance: www.isa/gov/uk 

17.12.2 What is regulated activity? 

Regulated activity is the statutory term used to describe specific activities which 

involve working or volunteering with children or vulnerable adults and certain 

situations where individuals have the opportunity to have contact with children or 

vulnerable adults. It covers any such work, either paid or unpaid, which is carried 

out on a frequent, intensive or overnight basis, but does not include family or 

personal arrangements. 

Such activities include: 

• Any activity of a specified nature which involves contact with children or 

vulnerable adults within certain periods, or overnight. 

• Any activity allowing contact with children or vulnerable adults that is in a 

specified place frequently or intensively. 

• Fostering and childcare. 

• Any activity that involves people in certain defined positions of 

responsibility. 

Page 161of 185 (Version 7 Revised 2010) 




17.12.3 What is controlled activity? 

Controlled activities include: 

• Frequent or intensive support work in general health settings, the NHS 

and further education settings. 

• People working for specified organisations with frequent access to sensitive 

records about children and vulnerable adults. 

• Support work in adult social care settings. 

17.12.4 Employers’ duties and responsibilities - Regulated activity 

• It will be a criminal offence for an employer to allow a barred person, or a 

person who is not yet registered with the ISA, to work for any length of time in 

any regulated activity. 

• It will be a criminal offence for an employer to take on a person in a regulated 

activity if they fail to check that person’s status. 

17.12.5 Employers’ duties and responsibilities – Controlled activity 

• It will be an offence for an employer to take on an individual in a controlled 

activity if they fail to check that person’s status. 

• An employer can permit a barred person to work in a controlled activity as long 

as safeguards are put in place. 

17.12.6 Employees’ duties and responsibilities 

• A barred individual must not take part in any regulated activity. 

• An individual taking part in a regulated activity must be registered with the ISA. 

For more information about regulated activities, read the factsheet ‘Regulated and 

controlled activities'. 

• Regulated and controlled activities (pdf, 63KB, new window) 





17.12.7 Domestic employment 

Domestic employers (eg parents and carers) do not have to check that their 

employees are ISA-registered but the new scheme will give them the opportunity to 

check the status of an individual (with their consent) if they wish to do so. 

It will be an offence for a barred person to take part in any regulated activity in a 

domestic circumstance. 

17.12.8 Making referrals 

It is important for the success of the Vetting and Barring Scheme that information 

about individuals is shared by different organisations. 

The following organisations have a legal obligation to refer relevant information about 

an individual to the ISA: 

• adult/child protection teams in local authorities; 

• professional bodies and supervisory authorities named in the Act; 

• employers and service providers of regulated and controlled activity; and 

• personnel suppliers. 

All other employers of those working with children and/or vulnerable adults may refer 

relevant information to the ISA. 

Parents and private employers should go to a statutory agency who can investigate 

and refer if necessary. 

A referral is made when there is harm or risk of harm to children or vulnerable adults 

in the work place (paid or voluntary), relevant conduct has occurred or an individual 

has received a caution or conviction for a relevant offence. 

The ISA will inform professional and regulatory bodies when it bars someone so that 

their professional registration can also be reviewed. 

All information provided to the ISA will be handled in accordance with the 

Data Protection Act 1998. 





Detailed information on the ISA and the Vetting and Barring Scheme, including a 

referral form and guidance, can be found on the ISA website www.isa-gov.org.uk 

17.13 DATA PROTECTION ACT 1998 

• The Data Protection Act 1998 replaces the 1984 Act and significantly widens the 

scope of the former legislation. 

• It is no longer the case that the legislation refers only to computerised records. 

The Act establishes that all personal data (data being anything that is recorded 

and kept) is subject to the requirements of the Act and gives the subject of the 

data rights over it. 

• All organisations holding data records must notify the Information 

Commissioner’s Office (ICO) and must ensure that they comply with the law. 

• Individuals have a right to access their own personal information (subject to 

regulations) and to expect that their personal information will not be disclosed to 

anyone else unlawfully. The Data Protection Act gives individuals a right to 

claim compensation for unlawful disclosure and the Information Commissioner 

adjudicates about public bodies. 

17.14 The Human Rights Act 1998 

In summary, the Act requires that the basic human rights of an individual must be 

protected and that public authorities must not act in a way, which is incompatible 

with the Convention Rights. In relation to Safeguarding Adults, the most important 

rights are probably: 

• The right to life (Article 2) 

• Prohibition of torture (Article 3) 

• Right to respect for private and family life (Article 8) 

• Protection of property (Article 1 of First Protocol) 





If there is a potential breach of a convention right, the authority would have to be 

able to demonstrate that they were acting in compliance with existing incompatible, 

legislation or that they were acting with “proportionality”. Proportionality means that 

there was a pressing social need for the action, that the potential outcome had been 

weighed against the outcome of not taking the action, that the reason for taking the 

action was sufficient in the circumstances and that the action was reasonable in the 


In taking action to prevent adult abuse, the rights of the abused must be weighted 

against the rights of others, e.g. the abuser, other family members. The authority has 

a duty to act to protect the rights of the abused and any failure to do so could itself 

lead to legal action for failing to do so. There, therefore, needs to be careful 

consideration of the Human Rights implications of decisions in adult abuse situations. 

Further legal advice should be sought if required, and officers should be given 

training in Human Rights issues as necessary. 

17.15 Public Interest Disclosure Act 1998 

(See also Section 16 – Public Concern at Work) 

The Act relates to the responsibility of staff to act on any suspicion or evidence of 

abuse or neglect. Within employment, those who make disclosures of such events, 

or of criminal offences, failures to comply with legal obligations or to report 

miscarriages of justice are protected from disciplinary action on grounds related to 

the disclosure. The protection does not apply, however, if the person disclosing the 

information commits a criminal act in actually disclosing it. 

Any disclosure must be in good faith, there must be reasonable belief in the truth of 

the information, and the disclosure must not be for personal gain and must be 

reasonable in all the circumstances. 

Halton Borough Council has a corporate Confidential Reporting Code (see 

Employee Handbook). Employees of other organisations should seek reference to 

similar policies / codes or “Whistle-blowing” policies. Any member of staff who 

believes that there is a matter which should be disclosed can contact either their line 

manager or, alternatively, seek further advice from Legal Services. 

17.16 Hate Crime 

Hate crimes and incidents are taken to mean any crime or incident where the 

perpetrator’s prejudice against an identifiable group of people is a factor in 

determining who is victimised. (Association of Chief Police Officers [ACPO]). 





This is a broad definition, but the following types are ‘Monitored Areas’ or areas the 

Police have a particular interest in: 

• Disability 

• Race 

• Religion 

• Sexual orientation 

• Transgender 

A number of pieces of legislation can apply to Hate Crime, including the following: 

• Public Order Act 1986, Part III Incitement to Racial Hatred 

• Disability Discrimination Act 1995 

• Crime and Disorder Act 1998 (As amended by the Anti-Terrorism, Crime and 

Security Act 2001) 

• Human Rights Act 1998 

• Race Relations (Amendment) Act 2000 

• Criminal justice Act 2003 

• Racial and Religious Hatred Act 2006 

17.17 Other Relevant Legislation 

Working with abuse requires an appreciation of the general legal framework for 

assessment and care management in the community. Community Care Services 

are defined in Section 46 of the NHS and Community Care Act 1990 by reference 

to other legislation. 





• National Assistance Act 1948 Part 3 (Residential and Welfare Services) 

• Health Service and Public Health Act 1968, S43 (Welfare of Elderly People) 

• NHS Act 1997 Section 21 and Schedules (Home Help Services) 

• Mental Health Act 1983 Section 117 (After Care Services) 

• Housing Act 1996 Part VII Homelessness (England Order 2002). 

• The Chronically Sick and Disabled Persons Act 1970, Section 2, is also 

relevant. 

17.18 Youth and Criminal Evidence Act 1999 

Sections 16 and 17 state that assistance may be provided during court proceedings 

to those witnesses who may, due to their age or incapacity, find giving evidence in 

court difficult or stressful. Such assistance may include giving evidence in private 

or via a video link. Such people should also be accompanied by an ‘appropriate 

adult’ when being interviewed under PACE. 

17.19 Necessity and Declaratory Relief 

Since the implementation of the Mental Capacity Act 2005, the Court of Protection 

has gained the authority to deal with welfare issues. It is therefore anticipated that 

this is likely to be the first route to consider in serious decisions about healthcare 

and personal welfare issues 

Necessity and Declaratory Relief are High Court remedies, which developed (before 

the Mental Capacity Act 2005 came into force), because of the lack of other remedy 

for welfare cases. Their origins are in the idea that where someone assumes the 

care of another, they are permitted to act to do what is necessary to promote that 

person’s best interests. Parents and relatives routinely help and act for 

incapacitated adults under some notions of “parental rights” albeit “next of kin”. 

However these notions have no legal status. 

The courts have developed the use of the advisory declaration, which indicates to 

the parties that a particular course of conduct (such as an operation or the 

withholding of treatment) is lawful. It has also recently been used to deal with 

issues such as the living arrangements of the mentally incapacitated. It is now clear 

that the courts may resolve disputes about the living and contact arrangements for 

mentally incapacitated adults. 





Anyone with a legitimate interest in the outcome may bring the matter to court. The 

court will then decide the case based on “best interests”. In making that 

assessment wishes are a component part and past expressions of wishes are 

relevant, but are not the only consideration. 

The procedure is governed by part 8 and 9 of the Court Protection Rules. 

Legal advice should be sought if a Declaration is required. In order to obtain a 

Declaration there must be evidence of incapacity. 

17.20 If further advice is required on any legal issue relating to Safeguarding Adults 

agencies should contact their own Legal Services. 




SECTION 18 

GLOSSARY OF TERMS 




SECTION 18: GLOSSARY OF TERMS 

(for definitions of types of abuse see Section 2 Abuse Definitions, Indicators and Risk 

Factors and ‘Definitions’ Aide- Mémoire available on the website) 

Abuse 

For the purpose of these procedures the following definition of abuse applies: 

Abuse is any behaviour towards a person that deliberately or unknowingly causes him or her 

harm, endangers their life or violates their rights. 

Abuse may be physical, sexual, financial, psychological or through neglect. Abuse may be 

perpetrated by an individual, a group or an organisation. (Refer to Sections 1.3, 2.1 to 2.4 and 

2.6, 2.7 and 2.8) Abuse is a misuse of power and control and / or authority. 

Adult 

A person aged 18 years or over. 

Adult Protection (see also ‘Safeguarding’) 

This term is used to describe all activity that responds to alerts and referral of concerns, 

allegations and disclosures of abuse. Different organisations use different terminology. Any 

reference to Adult Protection can be assumed to refer to Safeguarding Adults. The latter is 

now used in Halton’s Inter-agency arrangements. 

Advance Decision 

An Advance Decision to refuse treatment is made when the person has capacity to do so. The 

decision will then apply at a future time when the person lacks capacity. Specific rules apply to 

advance decisions to refuse life-sustaining treatment. 

Advocacy 

Providing support to enable people to speak for themselves, be listened to and supported to 

make decisions and ensure their views and wishes are heard. 

Alert 

An alert is a concern that a vulnerable adult is, might be or might have been a victim of abuse. 

Allegation of Abuse 

An allegation of abuse is where a person or agency states that a person or persons is / are 

being abused. 





Appropriate Adult 

Adults who are considered to be mentally vulnerable (and young people under the age of 17) 

must have an ‘Appropriate Adult’ with them when being interviewed by the police. An 

Appropriate Adult can be a family member, friend or is often a trained volunteer from the 

community or social/ health care professional. Increasingly, trained volunteers from the 

community carry out this important role. 

Appropriate adults can be used to assist a victim, witness, suspect or accused by providing 

support and helping the process of communication between that individual and the police. 

Approved Mental Health Professional, or AMPH 

The role of Approved Social worker, or ASW, has now been replaced by that of Approved 

Mental Health Professional, or AMPH, in England and Wales. 

The 2007 amendment of the Mental Health Act 1983 abolished the professional role of the 

Approved Social worker and created that of the Approved Mental Health Professional. This 

role is broadly similar to the role of the Approved Social Worker but is distinguished in no 

longer being the exclusive preserve of social workers. It can be undertaken by other 

professionals including community psychiatric nurses, occupational therapists and 

psychologists. 

Best Interests 

Best Interests is a core principle that underpins the Mental Capacity 2005 Act. In brief, it 

stresses that any act done or decision made on behalf of an individual who lacks capacity, 

must be done or made in their best interests. This principle covers all aspects of financial, 

personal welfare, health care decision-making and actions. 

Capacity 

Mental Capacity broadly refers to the ability of an individual to make a decision about specific 

elements of their life. It is also sometimes referred to as “competence”. It is not an absolute 

concept – different degrees of capacity are needed for different decisions, and the level of 

competence required rises with the complexity of the decision to be made. Neither does it 

matter whether the condition is temporary or permanent – but, in the case of a temporary 

condition, the judgement would have to be made as to whether the decision could be delayed 

until capacity returned. It is clear from both the Act and the Code of Practice that this refers 

specifically to a person’s capacity to make a particular decision, at the time it needs to be 

made. 

Carer – Paid or Volunteer 

Anybody who works for an agency / organisation as a paid member of staff or volunteer who 

provides health or social care. 




SECTION 18: GLOSSARY TERMS 

Case Conference 

Inter-agency meeting, to which the victim of abuse and his/her representative/carer should be 

invited, which focuses on the support and care of the abused person and on developing an 

agreed protection plan, to safeguard his/her welfare and prevent a reoccurrence of abuse. 

Agrees the roles and responsibilities of different professionals involved, and the process for 

reviewing and monitoring the case 

Case File 

The file which contains the service user’s, patient’s, client’s, customer’s, resident’s 

information. 

Care Quality Commission (CQC) 

The Care Quality Commission (CQC) is the independent regulator of all health and adult social 

care in England. It aims to ensure better care for everyone in hospital, in a care home and at 

home. 

Cognition 

Cognition is the act or process of knowing. It includes all mental processes associated with 

the experience of knowing (perception, recognition, memory, analysis and reasoning). 

Measurement of cognitive impairment involves assessment of: orientation, registration, 

attention, calculation, recall and language. 

Concern of Abuse 

The concern of abuse is where a person or agency suspects that a person or person is / are 

being abused, but they are not certain in their concern and they or may not know who is doing 

the abusing. 

Consent 

Consent is the voluntary and continuing permission of the person to the intervention or 

decision in question. It is based on an adequate knowledge and understanding of the 

purpose, nature, likely effects and risks of that intervention and any alternatives to it. 

Permission given under any unfair or undue pressure is not consent. 

Court Appointed Deputy (CAD) 

A CAD is appointed by the Court of Protection with legal authority to make decisions on 

behalf of an individual lacking capacity to do so themselves. 





Court of Protection 

Court of Protection is a specialist court dealing with all issues relating to people who lack 

capacity to make specific decisions. 

Deprivation of Liberty 

Deprivation of Liberty (of an individual). There is no simple definition of a DoL and so whether 

it is occurring is ultimately a legal question. Only the courts can decide whether steps taken 

by staff or institutions (hospitals and care homes) in relation to a person’s care plan amount to 

a deprivation of that person’s liberty. However, the purpose behind the DoL Safeguards is to 

ensure that providers and commissioners of care can reduce the risk of taking steps 

amounting to a DoL. This is achieved by minimising any restrictions imposed, while ensuring 

decisions are taken with the involvement of the person, their family friends and carers. 

Disclosure of Abuse 

A disclosure of abuse is where a person or persons state(s) that they are being abused or 

have been abused. 

Domestic Abuse 

The Government defines domestic violence as: 

Any incident of threatening behaviour, violence or abuse (psychological, physical, sexual, 

financial or emotional) between adults who are or have been intimate partners or family 

members, regardless of gender or sexuality. 

(Family members are defined by the Government, the Association of Chief Police Officers 

[ACPO] and Crown Prosecution Services [CPS] as mother, father, son, daughter, brother, 

sister and grandparents, whether directly related, in-laws or step-family.) 

This definition is also applied where there are issues of concern to same sex marriages and 

black and minority ethnic (BME) communities such as so called ‘honour killings’ and forced 

marriages. 

Domestic abuse is a pattern of abusive and controlling behaviour through which the 

perpetrator seeks to exert power over the victim. 





Emergency Duty Team (EDT) 

This Social Care Team covers all aspects of social work duties, relating to both children and 

adults, outside office hours. The Team take referrals from any agency or from individuals. 

The Team will deal with all emergency calls out of hours and will pass on information to social 

work teams working “office hours” as appropriate. Halton Borough Council’s 24 hour Contact 

Centre passes referrals to the EDT, where appropriate. 

GMC 

General Medical Council. The GMC licenses doctors to practice medicine in the UK. 

GSCC 

General Social Care Council. The GSCC registers social care workers and regulates their 

conduct and training. 

Hate Crime 

Hate crimes and incidents are taken to mean any crime or incident where the perpetrator’s 

prejudice against an identifiable group of people is a factor in determining who is victimised. 

(Association of Chief Police Officers [ACPO]) 

This is a broad definition, but the following types are ‘Monitored Areas’ or areas the Police 

have a particular interest in: 

• Disability 

• Race 

• Religion 

• Sexual orientation 

• Transgender 

Independent Mental Capacity Advocate (IMCA) 

An IMCA is a person who can represent and support an individual who lacks capacity in 

situations where the person has no one else to support them. 

Indicators (of Abuse) 

Indicators of abuse are the suspicious signs and symptoms that draw attention to the fact that 

something is wrong. The presence of one or more indicators does not, however, necessarily 

confirm abuse. 





Lasing Power of Attorney (LPA) 

A power under the Act to appoint an attorney (or attorneys) to make decisions about a donor’s 

welfare including healthcare and or deal with their property or affairs. An LPA must be 

registered with the Office of the Public Guardian (OPG) before it can be used. A ‘donor’ is the 

person who makes an LPA while they still have capacity. 

Makaton 

A language programme used by many children and adults with a variety of communications 

and learning disabilities. Used in over 40 countries – in the UK it is the most widely used 

language and communication programme for people with learning disabilities. 

MAPPA 

MAPPA is an abbreviation of Multi-Agency Public Protection Arrangements. The 

arrangements exist to protect the public from the actions of people who have been convicted 

of criminal offences, who live in the community, that are likely to cause significant harm to an 

identified victim or groups within the community. MAPPA is a statutory set of arrangements, 

operated by criminal justice and social care agencies, which seek to reduce the serious reoffending 

behaviour of sex offenders and other violent offenders. MAPPA facilitates multiagency 

risk assessment and management, through a local risk management meeting led by 

the Probation Service. (For more information, refer to Section 5.17 and 5.17.2: High Risk 

Cases) 

MARAC 

MARAC is an abbreviation of Multi Agency Risk Assessment Conference. This is a case 

conference forum, which is aimed primarily at protecting high-risk victims of domestic abuse 

from serious injury/homicide. The conference is a multi-agency meeting, held on a regular 

basis and led by the police, in which all local relevant cases, referred by agencies, are 

considered and reviewed. (For more information, refer to Section 5.17 and 5.17.1: High 

Risk Cases) 

Mental Capacity 

See “Capacity” 

Office of the Public Guardian (OPG) 

The OPG will supervise Deputies, keep a register of deputies, LPA and Enduring Powers of 

Attorney, monitor attorneys and investigate any complaints about attorneys or deputies. 





Protection Plan 

See “Safeguarding Plan” 

Referrer 

The person who initially raises concern about the abuse or who refers the concern, allegation 

or disclosure to Social Services, the Police or the CQC. This person needs to act in the 

immediate aftermath of an incident, disclosure or allegation. 

Referring Agency 

The agency or organisation, which becomes aware and reports concerns, allegations or 

disclosure of abuse. 

Restraint 

Restraint is using force or threatening to do so, in order to stop someone doing something 

they are resisting. It is also defined as restricting a person’s freedom of movement, whether 

they are resisting or not. The appropriate use of restraint always falls short of depriving a 

person of their liberty. 

Safeguarding 

An overarching term that encompasses all the essential components of prevention of abuse 

and response to concerns, allegations and disclosures. This would include all strands of 

activity for e.g. awareness raising encompassing publicity and training, quality and 

performance, in addition to response to alerts, investigation, risk assessment etc. (These 

examples are not exhaustive). Some organisations refer to this activity as ‘Adult Protection’. 

The term ‘Safeguarding Adults’ is used in Halton’s inter-agency arrangement. 

Safeguarding Plan 

A safeguarding plan defines the arrangements made to minimise the risk of abuse of a similar 

nature occurring again, or in the case of allegations yet to be investigated, arrangements to 

protect the individual pending the outcome of investigations. 

It is acceptable for safeguarding arrangements to be incorporated into a service user’s care 

plan. 





The document must take into account: 

• The views of all relevant persons i.e. those who have information to offer or 

responsibilities to fulfil, for some aspect of implementing the plan. 

• The service user’s capacity to consent and take informed decisions, in respect of the 

circumstances concerned, also needs to be taken into account in the plan. 

The plan: 

• Will ensure that actions and services are put in place to meet each specified need. 

• Is the product of the agreement of all parties concerned and spells out all individual 

responsibilities and actions agreed. 

• Must be promptly copied to all concerned. 

• Is subject to review. 

Serious Case Review 

A retrospective review of a case that involves death or serious harm (or other serious 

circumstances in some cases), to consider if there are lessons to be learnt from the 

circumstances of the case or the way in which local professionals and agencies work together 

to safeguard vulnerable adults. (See Serious Case Review (Inter-agency) procedure and 

flowcharts – available on the website). 

Service User 

A service user is anyone who accesses care services. Some agencies and organisations 

may use the terms patient, customer, client and resident, for example. In this document the 

term ‘service user’ applies to all of these groups. 

Strategy Discussions / Meetings 

Inter-agency discussions either face to face, via e-mail, or over the telephone, at Manager / 

Supervisory level, prior to an investigation taking place, to discuss and agree the investigative 

strategy to be adopted. 

Strategy Meeting 

An inter-agency meeting called when an allegation or disclosure of abuse has been made, to 

plan the process of an investigation, check progress and further plan the process, and ensure 

adequate arrangements for the protection of vulnerable people. May be in addition to or 

instead of Strategy Discussions. There maybe one or more strategy meeting. 





Trading Standards 

Warrington and Halton Trading Standards service is responsible for enforcing laws relating to 

illegal money lending, rogue traders and will offer advice on consumer related issues. 

Volunteer / Voluntary Worker 

Someone who provides help or services but is not formally employed or paid by an 

organisation or individual. May be under the supervision of a voluntary organisation or 

statutory agency. 

Vulnerable Adult 

A vulnerable adult is a person who is or may be in need of community care services by reason 

of mental or other disability, age or illness; and who is or may be unable to take care of him or 

herself, or unable to protect him or herself against significant harm or exploitation. This 

includes individuals in receipt of social care services, those in receipt of other services such as 

health care, and those who may not be in receipt of care services. 




SECTION 19 

REFERENCES 




SECTION 19: REFERENCES 

Section 2: Abuse Definitions, Indicators and Risk Factors 

Who Decides? (p68) The Lord Chancellor’s Department (1997) The Stationery Office Limited. 

“No Secrets” Department of Health 2000. 

Home Office definition of “Domestic Violence”. 

ADSS Doc 

Section 3: Roles and Responsibility 

Skinner, B et all (1998) 

Section 4: Referring 

Skinner, B. et al (1998), AIMS for adult Protection – The Alerters Guide, Pavilion Publishing: 

Brighton. 

Brown, H. (1998) Jnl Soc. Pol., 27, 3, 371-396 Cambridge University Press. 

Section 7: Planning and Conducting the Interviews/investigation 

Pritchard, J 1999 

Brown, H et al 1996 Towards Better interviewing. NAPSAC, Department of Learning 

Disabilities University Hospital, Queens Medical Centre, Nottingham 

Policy and Procedures for Health Care Workers dealing with allegations of abuse (1996) 

Learning Disabled Services Manchester 

Interviewing People with Mental Health problems, Merseyside Jewish Welfare Council. 

Sheard, D Person Centre Communication Skills in Working with People with Dementia. 

Pritchard, J Ed Elder abuse Work, Best Practice in Britain and Canada (1999) Jessica 

Kingsley Publishers Ltd, London 




SECTION 19: REFERENCES 

Section 14: Capacity and Consent 

Law Commission (LAW COM.231) 1995. Mental Incapacity, HMSO. 

Skinner, B et al 1998. Aims for Adult Protection – The Investigator’s Guide. Pavilion 

Publishing, Brighton. 

The Lord Chancellor’s Department (1997) – Who Decides?, Stationery Office, London 

Mental Capacity Act 2005 

Mental Capacity Act Code of Practice 

SCIE (Social Care Institute for Excellence) Guide 32 

Use of Independent Mental Capacity Advocates (IMCAs) in Safeguarding Cases 






APPENDIX 1 

APPENDIX 1 

BODY CHARTS 


• Full body 

• Head and Shoulders 




APPENDIX 1(a): BODY CHART (FULL BODY) 

BODY CHART 

Name of Service User: 

Date form completed: 

Time marks seen: 

Print name of person completing form: 

Signature: 

Job title or relationship to service user: 

Factual description of marks (Type e.g. 

bruise, colour, size, any shape noted) 

Was cause of mark witnessed? [delete as 

appropriate] YES NO 

If so, by whom? 

Cause of mark (or state if not known) 

Who were marks reported to? [enter 

below] 

Name Team Date 

Reported 

Page 184 of 185 (version 7 revised 

2010 



APPENDIX 1 (b): BODY CHART (HEAD AND SHOULDERS) 

BODY CHART 

Name of Service User: 

Date form completed: 

Time marks seen: 

Print name of person completing form 

Signature: 

Factual description of marks (Type e.g. 

bruise, colour, size, any shape noted) 

Was cause of mark witnessed? [delete as 

appropriate] YES NO 

If so, by whom? 

Cause of mark (or state if not know) 

Who were marks reported to? [enter below] 

Name Team Date 

Reported

SAFEGUARDING ADULTS IN HALTON - Halton Borough Council

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