The Four Stage Process for Adult Safeguarding Procedures
The main objective of adult safeguarding procedures is to provide guidance to enable adults to be kept safe from abuse or neglect and to allow for immediate action to be taken where required in order to achieve this.
The procedures are a means for staff to combine principles of protection and prevention with the adult’s self-determination, respecting their views, wishes and preferences in accordance with Making Safeguarding Personal.
They are a framework for managing safeguarding interventions that are fair and just, through strong multi-agency partnerships that provide timely and effective prevention of and responses to abuse and neglect.
All organisations who work with or support adults experiencing, or who are at risk of, abuse and neglect may be called upon to lead or contribute to a safeguarding concern and need to be prepared to take on this responsibility.
Guidance is often criticised for over‐standardising practice and undervaluing the skills required when applying policies in diverse circumstances. The key focus is on using professional skills to gain a real understanding of what the adult at risk wants to achieve to enable them to feel safer and what action is required to help them to achieve it.
The procedures have been structured within a Four Stage Process.
The experience of the adult at risk
The procedures to deliver this
Further process maps, flow charts, and case studies are available. See: Process Maps, Flow Charts and Case Studies.
The next section will define roles and responsibilities and provide context within which the procedures operate.
Section 6(7) of the Care Act requires a local authority to co-operate with each of its relevant partners, and each relevant partner must co-operate with the local authority, in the exercise of their respective functions relating to adults with needs for care and support and to carers. The Act specifies those relevant partners and how cooperation should take place.
'Local authorities can continue to enter into partnership arrangements with the NHS for the NHS to carry out a local authority's 'health-related functions' (as defined in the 2000 Regulations (the NHS Bodies and Local Authorities Partnership Arrangements Regulations 2000). This effectively authorises NHS bodies to exercise those prescribed functions, including adult safeguarding functions. These arrangements are 'partnership arrangements' rather than 'delegations'. In addition, by virtue of Regulation 4 of the 2000 Regulations, arrangements may only be entered into 'if the partnership arrangements are likely to lead to an improvement in the way in which those functions are exercised'. The local authority would still remain legally responsible for how its functions (including adult safeguarding) are carried out via partnership arrangements'. (Department of Health March 2015).
Within this policy and procedures, some local authorities have partnership agreements under Section 75 of the NHS Act 2006 with Mental Health Trusts, appropriately trained managers within the Trust can act on behalf of the local authority to undertake adult safeguarding duties. Where this is done, the legal responsibility for safeguarding remains with the local authority. This is in particular reference to who can act as a Safeguarding Co-ordinator, which is a role particular to the local authority and its Section 75 partners under the above agreements and local protocols. Check with your local Safeguarding Adults Board, regarding your local arrangements.
Safeguarding Concerns Manager / Lead throughout means the staff member responsible in an organisation to provide:
- Managerial support and direction to staff in that organisation;
- Decision making for concerns raised by members of staff and/or members of the public.
Each organisation must have its own operational guidance on how it manages adult safeguarding concerns, including a list of reporting points with up-to-date contact details, so that staff and the public know how to report abuse and neglect.
Reporting points may be through a Customer Contact Centre, specific access team or through a MASH, or by other locally agreed arrangements.
The local authority is the main reporting point even if others have their own and all local authorities should provide reporting points that are accessible outside normal working hours, in order to respond to urgent concerns.
For information about reporting a safeguarding concern see Stage 1: Reporting a Concern.
An Enquiry Officer is responsible for undertaking actions under adult safeguarding.
- The Lead Enquiry Officer is a member of the local authority who will retain responsibility for undertaking actions under Section 42 enquiries;
- A Delegated Enquiry Officer is a member of another agency undertaking the enquiry on the local authority’s behalf (for example an entrusted enquiry);
- In some instances, there is a lead enquiry officer supported by other staff also acting as enquiry officers, where there are complex issues or additional skills and expertise is required.
The Safeguarding Co-ordinator is the member of staff who manages the overall safeguarding function within the local authority.
Professional disagreements should be resolved at the earliest opportunity, ensuring that the safety and wellbeing of the adult remains paramount. Challenges to decisions should be respectful and resolved through co-operation. Disagreements can arise in a number of areas and staff should always be prepared to review decisions and plans with an open mind. Disagreements should be talked through and appropriate channels of communication established to avoid misinterpretation.
In the event that operational staff are unable to resolve matters, more senior managers should be consulted. Multi-agency meetings may be a helpful way to explore issues with a view to improving practice. In exceptional circumstances or where it is likely that partnership protocols are needed the SAB should be appraised.
In the case of care providers, unresolved disputes should be raised with the relevant Managers leading on the concern and commissioners.
Risks may be increased by complicated cross-boundary arrangements, and it may be dangerous and unproductive for organisations to delay action due to disagreements over responsibilities.
The local authority for the area where the abuse occurred, has the responsibility to carry out the duties under Section 42 Care Act 2014, but there should be close liaison with the 'placing authority'.
The ‘placing local authority’ continues to hold responsibility for commissioning and funding a placement. However, many people at risk live in residential settings outside the area of the placing authority. In addition, a safeguarding incident might occur during a short-term health or social care stay, or on a trip which is outside of the local authority area where the person lives requiring Police action in that area, or immediate steps to protect the adult while they are in that area. A safeguarding concern should be raised in the local authority area where the alleged abuse took place The outcome of the enquiry should be shared with the 'placing authority'.
For further information, see ADASS Safeguarding Adults Policy Network.
Last Updated: April 14, 2023
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