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Safeguarding individual adults
 
Safeguarding individual adultsCare and Support Statutory GuidanceCare and Support Statutory Guidance
24.4Safeguarding raises particular issues in relation to adults lacking mental capacity, who are at risk of abuse or neglect and those issues are considered above in chapter 23 at para 23.18 onwards. This chapter considers safeguarding issues more generally.
24.5The core duty, at section 42 of the Care Act 2014, is to enquire into possible abuse or neglect and decide what if any action should be taken, under Part 1 of the Care Act 2014 or otherwise. The threshold for action is at section 42(1):
Enquiry by local authority
42(1) This section applies where a local authority has reasonable cause to suspect that an adult in its area (whether or not ordinarily resident there)–
(a)has needs for care and support (whether or not the authority is meeting any of those needs),
(b)is experiencing, or is at risk of, abuse or neglect, and
(c)as a result of those needs is unable to protect himself or herself against the abuse or neglect or the risk of it.
24.6One should note the following particular features of section 42 which, in addition to being of individual note, lead to the conclusion that Parliament has set a very low threshold for the enquiry duty to arise:
the duty is owed to any adult physically present ‘in’ the local authority’s area, which will include any adult who is physically present only fleetingly;
the threshold requires that an adult has needs for care and support, but not that they are ‘eligible needs’, or being met by the local authority or, indeed, any authority;
‘abuse’ includes ‘financial abuse’, which is defined widely, at section 42(3) as including having money or other property stolen, being defrauded, being put under pressure in relation to money or other property and having money or other property misused;
while the local authority is the lead agency (paragraph 14.100 of the Care and Support Statutory Guidance), multi-agency working, information-sharing and co-operation is vital (section 6(7) and paragraphs 14.62–14.67, 14.76–14.82 of the Care and Support Statutory Guidance);
paragraphs 14.16–14.32 of the Care and Support Statutory Guidance give further examples of abuse and neglect, emphasising the breadth of the duty, which applies to cases of physical abuse, domestic violence and so-called ‘honour’-based violence, sexual abuse, psychological abuse, financial/material abuse, modern slavery, discriminatory abuse, organisational abuse, neglect and acts of omission and self-neglect;
guidance as the meaning of domestic abuse, at paragraph 14.20, may be of particular interest:
14.20 The cross-government definition of domestic violence and abuse is: any incident or pattern of incidents of controlling, coercive, threatening behaviour, violence or abuse between those aged 16 or over who are, or have been, intimate partners or family members regardless of gender or sexuality. The abuse can encompass, but is not limited to:
psychological
sexual
financial
emotional.
24.7The Guidance also sets out (at paragraphs 14.13 and 14.14) the key principles that should underpin all adult safeguarding:
Six key principles underpin all adult safeguarding work
Empowerment
People being supported and encouraged to make their own decisions and informed consent.
‘I am asked what I want as the outcomes from the safeguarding process and these directly inform what happens.’
Prevention
It is better to take action before harm occurs.
‘I receive clear and simple information about what abuse is, how to recognise the signs and what I can do to seek help.’
Proportionality
The least intrusive response appropriate to the risk presented.
‘I am sure that the professionals will work in my interest, as I see them and they will only get involved as much as needed.’
Protection
Support and representation for those in greatest need.
‘I get help and support to report abuse and neglect. I get help so that I am able to take part in the safeguarding process to the extent to which I want.’
Partnership
Local solutions through services working with their communities. Communities have a part to play in preventing, detecting and reporting neglect and abuse.
‘I know that staff treat any personal and sensitive information in confidence, only sharing what is helpful and necessary. I am confident that professionals will work together and with me to get the best result for me.’
Accountability
Accountability and transparency in delivering safeguarding.
‘I understand the role of everyone involved in my life and so do they.’
Making safeguarding personal
14.14 In addition to these principles, it is also important that all safeguarding partners take a broad community approach to establishing safeguarding arrangements. It is vital that all organisations recognise that adult safeguarding arrangements are there to protect individuals. We all have different preferences, histories, circumstances and life-styles, so it is unhelpful to prescribe a process that must be followed whenever a concern is raised; and the case study below helps illustrate this.
24.8As to what can be done, this can range from and include (but may well go beyond):
providing care and support/support, mediation, therapy or other family support work, for example, to improve an abusive relationship and sustain family links;
a referral to the police for a criminal investigation;
an employer-led disciplinary response or action by the Care Quality Commission;
protective proceedings under the Mental Capacity Act 2005 (see chapter 23 on Mental Capacity, above).
24.9Further advice is provided in the Care and Support Statutory Guidance, which:
at paragraphs 14.52–14.54, emphasises the importance of local authorities publishing and keeping up-to-date adult safeguarding policies and procedures, that ensure that individuals involved in the process understand their role and that set out procedures and guidelines for proportionate responses;
at paragraphs 14.96–14.99, which emphasise the importance of placing the adult concerned, and their views and wishes, at the centre of the process (for example, ‘The wishes of the adult are important, particularly where they have capacity to make decisions about their safeguarding. The wishes of those who lack capacity are of equal importance’ although ‘Wishes need to be balanced alongside wider considerations such as the level of risk or risk to others including any children affected’).
24.10Often critical to achieving that, will be the involvement of an independent advocate. Section 68 of the Care Act 2014 provides that:
where there is to be a safeguarding enquiring under section 42(2); and
the local authority considers that, without an independent advocate, the individual would experience substantial difficulty in understanding relevant information, retaining that information, using or weighing that information as part of the process of being involve or communicating their views, wishes or feelings; and
there is no appropriate person (not engaged in providing care or treatment for the individual in a professional or paid capacity) who would be an appropriate person to undertake the ‘independent advocate’ function; then
except insofar as it is necessary to take urgent steps, the local authority must arrange for an ‘independent advocate’ to ‘represent and support the adult to whose case the enquiry … relates for the purpose of facilitating his or her involvement in the enquiry…’; unless
the local authority is satisfied that there is an appropriate person (not engaged in providing care or treatment for the individual in a professional or paid capacity) who would be an appropriate person to undertake the ‘independent advocate’ function. However, this exception is itself dis-applied by regulation 4 of the Care and Support (Independent Advocacy Support) (No 2) Regulations 20141SI No 2889.when either (i) the NHS is likely to accommodate the individual in hospital for at least 28 days or in a care home for least eight weeks, or (ii) the local authority and the potentially appropriate person disagree on a material issue but agree that the individual should have an ‘independent advocate’: (see ‘Involvement/independent advocates/relevance of Mental Capacity Act 2005’ in chapter 7, paras 7.537.65 above).
24.11Finally, section 73(7)–(10) of the Care Act 2014 largely disapply the safeguarding provisions in the case of prisoners and adults resident on approved premises, except that a Safeguarding Adults Board may provide advice or assistance to adults in prisons or approved premises in their area with needs for care and support, who are at risk of abuse or neglect.
24.12On a practical note, whilst everyone understands how extremely difficult it can be for social workers to balance (i) the need to intervene to protect vulnerable adults; (ii) the importance of preserving family life; (iii) the importance of respecting the wishes of the vulnerable adult; and (iv) other relevant factors – often in circumstances where reliable information is thin on the ground and hard to come by – there has been a run of cases (which may possibly betoken a more generalised failure of approach) where local authorities have been criticised for being too precipitate and heavy-handed: Somerset CC v MK,2[2014] EWCOP B25.Milton Keynes Council v RR3[2014] EWCOP 34.and Essex CC v RF.4[2015] EWCOP 1.
 
1     SI No 2889. »
2     [2014] EWCOP B25. »
3     [2014] EWCOP 34. »
4     [2015] EWCOP 1. »
Safeguarding individual adults
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