safeguarding vulnerable adults toolkit€¦ · approving body northamptonshire safeguarding...

A REFERENCE GUIDE FOR PROFESSIONALS

Northamptonshire SAFEGUARDING ADULTS

SAFEGUARDING VULNERABLE ADULTS

TOOLKIT

Northamptonshire Inter-Agency Safeguarding Adults Toolkit- Reference Guidance for Professionals v1.4 5th

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Hardcopies of this document are considered uncontrolled please refer to intranet for latest version

Category:

Safeguarding Adults

Version Control:

1.4

Date of Creation:

December 2009

Last Modified:

January 2010

Review Date

January 2011

EIA Assessment:

Approving Body

Northamptonshire Safeguarding Vulnerable Adults Board

Date of Approval

Document author

(s)/Key Contributors

including department

David Watts

Safeguarding Adults Team

Contact Person

(Responsible person)

and department:

David Watts ([email protected])

Safeguarding Adults Team Manager

Tel. 01933 201064

Fax. 01933 273839

Either

For public access

online (internet) (tick as

appropriate)

OR

For staff access only (intranet)? (tick as appropriate)

Yes No

Yes No


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CONTENTS

1 INTRODUCTION ................................................................................................................... 6

2 WHY A SAFEGUARDING TOOLKIT? .............................................................................. 6

3 ANTI-DISCRIMINATORY AND ANTI-OPPRESSIVE PRACTICE ....................................... 7

4 ZERO TOLERANCE .............................................................................................................. 7

5 SAFEGUARDING OF VULNERABLE ADULTS – A SEPARATE EVENT .......................... 7

6 PERSON CENTRED AND OUTCOME FOCUSED .............................................................. 7

7 FORM: SA1-THE NOTIFICATION/REFERRAL FORM ........................................................ 8

7.1 WHAT IS A NOTIFICATION FORM? 8

7.2 WHY DO WE NEED TO USE IT? 8

7.3 WHEN DO WE USE IT? 8

7.3.1 SIX CATEGORIES OF ABUSE .................................................................................. 9

7.3.2 INSTITUTIONAL ABUSE ......................................................................................... 10

7.4 HOW DO WE USE IT? 10

7.4.1 COMPLETING THE FORM SA1 ........................................................................... 11

7.5 WHAT DO I DO WITH THE FORM ONCE COMPLETED? 12

7.5.1 ADVICE FOR MEMBERS OF THE GENERAL PUBLIC .......................................... 12

7.5.2 NON NCC PROFESSIONAL NOTIFICATION/REFERRAL AND NCC STAFF ....... 12

7.5.3 CARE QUALITY COMMISSION (CQC) NOTIFICATION/REFERRAL ..................... 12

7.5.4 NCC STAFF REFERRAL ......................................................................................... 12

8 FORMS SA3; SA4 and SA5 ............................................................................................... 14

8.1 KEY FEATURES 14

9 FORM SA3: THE STRATEGY DISCUSSION/MEETING FORM ........................................ 16

9.1 WHAT IS A STRATEGY DISCUSSION/MEETING FORM? 16





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9.4.1 SECTION 1A: ALLEGED VICTIM DETAILS AND CONCERNS (FIGURE 3) ........ 17

9.4.2 SECTION 2: INVOLVEMENT IN STRATEGY DISCUSSION/MEETING ................. 20

9.4.3 SECTION 3: THE SAFEGUARDING CONCERN .................................................... 22

9.4.4 SECTION 4: OUTCOME OF STRATEGY DISCUSSION/MEETING ....................... 24

9.4.5 SECTION 5: INVESTIGATION PLAN .................................................................... 27

9.4.6 SECTION 6: AUTHORISATION (FIGURE 8) ......................................................... 28

9.4.7 SECTION 7: INFORMATION SHARING (FIGURE 8) ............................................ 28


10 FORM: SA4- THE PROTECTION PLAN FORM ............................................................. 30

10.1 WHAT IS A PROTECTION PLAN FORM? 30




10.4.1 SECTION 1A: ALLEGED VICTIM DETAILS AND CONCERNS (FIGURE 9) ..... 31

10.4.2 SECTION 1B: WORKER DETAILS (FIGURE 9) ................................................ 31

10.4.3 SECTION 2: INVOLVEMENT IN PROTECTION PLANNING (FIGURE 10) ....... 32

10.4.4 SECTION 3: THE PROTECTION PLAN ............................................................ 33


11 FORM: SA5- THE INVESTIGATION REPORT ............................................................... 36

11.1 WHAT IS AN INVESTIGATION REPORT? 36




11.4.1 SECTION 1A: ALLEGED VICTIM DETAILS AND CONCERNS .......................... 36

11.4.2 SECTION 1B: WORKER DETAILS ...................................................................... 36

11.4.3 SECTION 2: CONTENTS OF INVESTIGATION REPORT(FIGURE 12) ............ 37


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11.4.4 SECTION 3: MAIN INVESTIGATION REPORT(FIGURE 13) ............................. 38

11.4.5 SECTION 4: OUTCOME OF SAFEGUARDING INVESTIGATION (FIGURE 15)

41

11.4.6 SECTION 5: AUTHORISATION (FIGURE 15) ................................................ 42

11.4.7 SECTION 6: INFORMATION SHARING (FIGURE 16) .................................... 42

11.4.8 APPENDIX ............................................................................................................ 44


12 FORM: SA6- THE OUTCOME FORM .......................................................................... 45

12.1 WHAT IS AN OUTCOME FORM? 45




12.5 WHAT TO DO WITH THE FORM ONCE COMPLETED? 48

13 APPENDICES .................................................................................................................. 49

13.1 APPENDIX 1: NCC SPECIFIC GUIDANCE: 49

13.1.1 APPENDIX 1A ........................................................................................................ 50

13.1.2 APPENDIX 1B ........................................................................................................ 52

13.2 APPENDIX 1C: 53

13.2.1 APPENDIX 1D ................................................................................................ 55

13.2.2 APPENDIX 1E ........................................................................................................ 57

13.3 APPENDIX 2: NOTIFICATION/REFERRAL FORM - SA1 (TEMPLATE) 60

13.4 APPENDIX 3: STRATEGY DISCUSSION/MEETING FORM - SA3 61

13.5 APPENDIX 4: PROTECTION PLAN FORM - SA4 (TEMPLATE) 62

13.6 APPENDIX 5: INVESTIGATION REPORT - SA5 (TEMPLATE) 63

13.7 APPENDIX 6: OUTCOME FORM – SA6 (TEMPLATE) 64


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1 INTRODUCTION

This guidance has been produced to aid professionals in the “what?”, “when?”, “why?” and

“how?” of using the Safeguarding Toolkit. It does not replace the existing interagency

procedures but supplements it by adding clarity to how to use this toolkit.

This guidance will cover the use of the following forms:

Notification/Referral form: SA1

Strategy Discussion/Strategy Meeting form: SA3

Protection Plan: SA4

Investigation Report: SA5

Outcome Form: SA6

2 WHY A SAFEGUARDING T OOLKIT?

Within the current Northamptonshire Inter-agency Safeguarding Adults procedures

(Safeguarding procedures) there have been various versions of Notification and Outcome

forms. The notification and outcome forms capture the beginning and end of the safeguarding

process and it has been recognised that there was no consistent way of recording and

evidencing the middle part of the process.

There is an inter-agency approach to address the procedures and the accompanying tools to

enable professionals to implement safeguarding involvement in a consistent way. Whilst this

work is progressed there is still demand for tools to do the job for those professionals

endeavouring to implement safeguarding interventions in Northamptonshire.

This toolkit is to be used pending a more robust pack to accompany the revised inter-agency

procedures. Language and terms used in this guidance are taken from the safeguarding

procedures. There will be a wider consultation in relation to language and terms as the full

procedures are revised. This reference guide is to give information on the use of this toolkit

and should be used in conjunction with the interagency procedures.

It is envisaged that the final toolkit will provide a greater number of forms to assist

professionals to record the safeguarding process in a consistent way but this toolkit provides

forms to record “key” points in the safeguarding process.

There is a familiarity with the Notification form: SA1 and the Outcome form: SA6 which have

been used in various formats for a number of years and therefore guidance on those forms will

be minimal and will clarify key points to be taken into account when completing and submitting

the forms. Forms SA3, SA4 and SA5 are new and look different and this guidance will provide

key information on why the forms contain those features as well as guidance for using them.


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Whilst at the time of compiling this guidance web links were correct the relevant web pages

may have been moved. If this is the case NCC safeguarding adults web pages should be

accessible via the A-Z section of the website: www.northamptonshire.gov.uk

3 ANTI-DISCRIMINATORY AND ANTI-OPPRESSIVE PRACTICE

Safeguarding Adults services must be non-discriminatory, and give due consideration to a

person‟s age, race, gender, religion, culture, language, disability, sexuality and capacity to

make specific decisions. Safeguarding adults services should endeavour to ensure all

vulnerable adults and their advocates are enabled to be as fully involved in safeguarding as

possible. When and where discrimination and oppression are identified, safeguarding adults

services should challenge the behaviours of individuals and/or organisations that may be

discriminatory or oppressive towards the vulnerable adults with whom they are working.

4 ZERO TOLERANCE

All agencies working with vulnerable adults in Northamptonshire should be committed to a

policy of zero tolerance of abuse of vulnerable adults. Therefore when anyone working in

these agencies becomes aware of concerns or allegations of abuse, they must act promptly as

set out in these procedures. The approach of zero tolerance of abuse of vulnerable adults

reflects a commitment to the right of safety and dignity of all individuals.

5 SAFEGUARDING OF VULNERABLE ADULTS – A SEPARATE EVENT

Whilst risk management, and safeguarding are inherent parts of the everyday working

practices of professionals in this field, a safeguarding concern is an event in it‟s own right and

should be treated as such. Doing so will help you to adhere to timescales and expectations. It

is important to recognise that although safeguarding should be treated as a separate event

your professional role, and the resources you are able to access within that role, will play an

extremely important part in dealing with and achieving a satisfactory outcome to a

safeguarding concern.

6 PERSON CENTRED AND OUTCOME FOCUSED.

Wherever possible the safeguarding event should be person centred and outcome focused. At

all stages the alleged victim and their advocates should, wherever possible, be enabled to be

at the centre of the safeguarding process. They should be consulted to ensure any desired

outcomes that they are able to define are recorded. If desired outcomes are recorded this

should enable better evidencing of meeting those desired outcomes once the safeguarding

event has been completed.

http://www.northamptonshire.gov.uk/


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7 FORM: SA1-THE NOTIFICATION/REFERRAL FORM

7.1 WHAT IS A NOTIFICATION FORM?

The safeguarding notification form gathers basic data requirements required for the local

authority to fulfil its duty to monitor and report to the Department of Health in relation to

safeguarding vulnerable adults in Northamptonshire. Within Northamptonshire the notification

form is also used to provide basic information to enable the safeguarding adults‟ team to

ensure an appropriate response is co-ordinated. The requirements to monitor and report to the

Department of Health and to co-ordinate a safeguarding response are set out in the “No

Secrets” (Department of Health, 2000)1. The form is available on Northamptonshire County

Council website as detailed in the footnote below.

7.2 WHY DO WE NEED TO USE IT?

The notification form is the tool used to formally notify a Safeguarding of Vulnerable Adults

concern. Safeguarding work has always taken place within Northamptonshire within all

agencies but if the correct process is not followed this work is not always recognised or

included in the data reported to the Department of Health. It is necessary to recognise the

amount and type of safeguarding work to ensure we can plan workforce development, target

specific areas or communities where there may be a higher prevalence of safeguarding

concerns and ensure there is a consistent approach to managing safeguarding of vulnerable

adults concerns across Northamptonshire.

7.3 WHEN DO WE USE IT?

The basic screening that needs to be applied when deciding to complete a safeguarding

notification is as follows:

1. The person deemed at possible risk of abuse must be over 18 years of age.

2. The person deemed at risk of abuse should meet the definition of “vulnerable adult”.

1

Department of Health (2001), No Secrets: Guidance on developing and implementing multi-agency policies and

procedures to protect vulnerable adults from abuse, London: DH. [www]Available at:

http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidance/DH_4008486

[accessed 28/10/2009]

2 Northamptonshire Inter-agency Safeguarding Adults Committee (NIASAC) (2007), Northamptonshire Inter-

agency Safeguarding Adults Procedures, Northamptonshire. NIASAC.

A VULNERABLE ADULT means any adult who is or may be in need of community services by reason of mental or other disability, age, or illness and who is unable to take care of or protect themselves against harm or

exploitation(Northamptonshire Procedures, 2007)2

Inter-agency Safeguarding Adults

http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidance/DH_4008486


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1. It must be believed or suspected that the vulnerable adult has been subjected to an

abusive situation, or the vulnerable adult, or someone who supports them has alleged

abuse.

“No Secrets” (DH. 2001) identifies six categories of abuse:

NEGLECT and ACTS OF OMISSION

Including ignoring medical or physical care needs, failure to provide

access to appropriate health, social care or education services, and

withholding of the necessities of life, such as medication, adequate

nutrition, adequate hygiene, clothing, funds and heating.

DISCRIMINATORY

Including racism, and sexism, based on a persons disability

(vulnerability), and other forms of harassment, slurs or similar

treatment.

FINANCIAL and MATERIAL

Including theft, fraud, exploitation, pressure in connection with wills,

property or inheritance or financial transactions, or the misuse or

misappropriation of property, possessions or benefits.

PHYSICAL

Including hitting, slapping, pushing, kicking, misuse of medication,

restraint and inappropriate sanctions.

PSYCHOLOGICAL

Including emotional abuse, threats of harm or abandonment,

deprivation of contact, humiliation, blaming, controlling,

intimidation, coercion, harassment, verbal abuse, isolation or

withdrawal from services or supportive networks.

and notification form: SA1 [www] available at: http://www3.northamptonshire.gov.uk/councilservices/adult-

social-care/safeguarding/Pages/safeguarding-adults-forms.aspx [accessed 20/11/2015]

ABUSE is a violation of an individual‟s human and civil rights by any

other persons

(Northamptonshire Inter-agency Safeguarding Adults Procedures, 2007)

7.3.1 SIX CATEGORIES OF ABUSE

http://www3.northamptonshire.gov.uk/councilservices/adult-social-care/safeguarding/Pages/safeguarding-adults-forms.aspx



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In order for there to be concern about potential abuse of a vulnerable adult there needs

to be an alleged victim/s and perpetrator/s. Self-abuse, risk and vulnerability are issues

which should be responded to under other processes and procedures. It is important to

distinguish between “abuse”, “vulnerability” and “risk”.

People often face risks or will be vulnerable within their lifetime however this should

not be confused with abuse. In situations where people are at risk or vulnerable but

there is not an indication of abuse it is more appropriate to use other systems and

resources in order to try and identify and work with the individual to reduce and

manage any risk or vulnerability in line with that persons wishes.

Although not defined as a form of abuse in it‟s own right within “No Secrets” it is necessary to

consider the nature of alleged institutional abuse. Institutional abuse will usually indicate an

ethos or culture within an organisation that condones or is not able to deal with one or more of

the above mentioned forms of abuse in relation to the people whom they support.

More information regarding institutional abuse can be found in section C2 of the

Northamptonshire Inter-agency Safeguarding of Vulnerable Adults procedures.

7.4 HOW DO WE USE IT?

Completion of the form itself is fairly self-explanatory. Common problems identified with

completion of this form include:

1. referrer details

2. insufficient information

3. completing the form in relation to “institutional” notifications

4. What to do with the form once completed.

SEXUAL

Including rape and sexual assault or sexual acts to which the

vulnerable adult has not consented, or could not consent or was

pressured into consenting.

7.3.2 INSTITUTIONAL ABUSE


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1. Referrer details. The referrer needs to be the person who is raising the concern not the worker filling in the form. For staff in Northamptonshire with access to careFirst via NCC this form will be produced as a caredoc and this information is automatically populated with the details of the worker filling the form in. In some circumstances the worker will be the referrer and this can be left as such. In other circumstances this information will need to be deleted and amended with the correct referrer details (Figure 1). The date of completion of this form must be entered.

Figure 1

2. Insufficient information. Forms that do not contain sufficient information are difficult to process and can delay the safeguarding response whilst more information is gathered. Whilst it is recognised this is not always possible, as it may delay a safeguarding response, it is beneficial for the form to be filled in as fully as possible.

3. Institutional notifications. Details of alleged victims should state who you consider to be at risk e.g. “Residents of [insert name of provider service]” or “patients on [insert name) ward at [insert name] hospital”. A separate notification should be completed if there is also a notification in relation to an individual. Doing this clearly identifies institutional notifications so they can be dealt with separately by commissioning colleagues.

7.4.1 COMPLETING THE FORM SA1

This must be the

details of the person

referring the

safeguarding

concern.

Details of the person

completing the form

and the date they

complete the form.


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7.5 WHAT DO I DO WITH THE FORM ONCE COMPLETED?

There are different procedures for staff within NCC that have access to the careFirst database

in comparison to colleagues within other agencies or to those staff within NCC that do not

have this level of access to client records.

Contact the Adult Care Team (ACT) who will assist with the query on: Tel. 0845 124 4500

FOR STAFF THAT DO NOT HAVE ACCESS TO CAREFIRST CLIENT RECORDS AND

ARE UNABLE TO UPLOAD TO CARESTORE:

1. Complete notification form and fax to ACT on fax. 01604 236828

2. It is good practice to also telephone ACT to inform them a faxed notification has been

sent and ensure it has been received. ACT telephone number is 0845 124 4500.

1. Complete notification form and fax to the safeguarding adults team on the safe haven fax.

(CQC have details of this fax number)

FOR WORKERS WITH ACCESS TO CLIENT RECORDS AND ABLE TO UPLOAD

TO CARESTORE:

1. Record a safeguarding initial assessment either via a care-assess contact assessment

part 1 (see appendix: 1d), or by directly inputting the initial assessment when a

contact assessment part 1 is not being used (see appendix: 1e). Produce and

complete a notification form via caredoc (carefirst 5) and upload to the confidential

folder within carestore for the client. If there are any problems in uploading to carestore

please make arrangements to fax directly to the safeguarding adults team on 01933

220768.

2. In all circumstances send a team message to the safeguarding team code OA0068

with a priority of “high” in order to alert the safeguarding team to the notification having

been uploaded. (see Appendix 1A regarding content required when sending a

careFirst message regarding a safeguarding notification).

7.5.1 ADVICE FOR MEMBERS OF THE GENERAL PUBLIC

7.5.2 NON NCC PROFESSIONAL NOTIFICATION/REFERRAL AND NCC STAFF

7.5.3 CARE QUALITY COMMISSION (CQC) NOTIFICATION/REFERRAL

7.5.4 NCC STAFF REFERRAL

7.5.4.1 INDIVIDUAL NOTIFICATION IN RELATION TO A SINGLE CUSTOMER


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3. Where you have what would be considered an urgent concern please also telephone

the safeguarding adults team and discuss with the duty worker on 01933 201064.

1. Produce and complete a notification form via NCC internet and fax directly to the

safeguarding adults team on 01933 220768.

2. In all circumstances send a team message to the safeguarding team code OA0068

(see appendix 1a re content required) with a priority of “high” in order to alert the

safeguarding team to the notification having been uploaded. (see appendix 1b for

guidance on how to send a team message regarding a provider service if

required). If an organisation ID cannot be found please phone the safeguarding team.

3. Where you have what would be considered an urgent concern please also telephone

the safeguarding adults team and discuss with the duty worker on 01933 201064.

7.5.4.2 INSTITUTIONAL NOTIFICATION


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8 FORMS SA3; SA4 AND S A5

8.1 KEY FEATURES

1. Figure 2 shows a screenshot of form SA3 (Strategy Discussion/meeting). The grey box highlighted on the screen print is a “signpost”. It acts as an aid to the person completing the form indicating that there is something that needs to be considered and acted upon.

Figure 2

1. The forms are currently an unprotected word document. This means that boxes can

grow to accommodate the amount of text required within each section. Within NCC,

word documents would usually be produced via careFirst/caredoc and elements of the

forms would be populated by the careFirst system. Other organisations may also have

similar systems however forms will be available as stand alone documents on the

safeguarding internet pages. Due to this toolkit being of an “interim” nature this means

that these forms are not currently available within caredoc and this information has to

be typed in by the person completing the form. Most sections of the forms can be

completed before printing but it may be necessary to print off and tick appropriate

boxes after completing the form.

There is a specific section

within each of the forms:

SA3, SA4 & SA5 to record

“Desired outcomes” for

the alleged victim –

guidance is included.

Highlighted text indicating

the areas of the form you

are working in. Section 3

is the key area for

information within the

forms SA3, SA4 & SA5.

“Signpost”


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2. Whilst the forms SA3, SA4 & SA5 may appear quite lengthy it is expected that people

completing the forms will be able to navigate them a lot quicker once they are used to

the layout. Whilst other sections of the forms hold practical information the key area

within each form (SA3, SA4 & SA5) that holds the main body of information is section 3

(highlighted in fig.2). This will be looked at in more detail when discussing individual

forms.

3. Within all of the forms SA3, SA4 & SA5 there is a section to record the desired

outcomes of the alleged victim (fig.2). This has been introduced to try and provide a

meaningful way of gathering “desired outcomes” so that the effectiveness of the

safeguarding event can be measured using an outcome focused approach.


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9 FORM SA3: THE STRATEGY DISCUSSION/MEETING FORM

9.1 WHAT IS A STRATEGY DISCUSSION/MEETING FORM?

The strategy discussion/meeting form is the first in a series of forms used to formally capture

the safeguarding event that takes place between the notification and outcome forms. The

primary function of the strategy discussion/meeting is to capture the discussions and

safeguarding strategies around protection planning and investigation and to capture any

outcomes that happen at the point of strategy discussion/meeting.


To ensure consistent practice in relation to the recording of a strategy discussion or meeting

across all agencies that implement safeguarding practice. The primary function of both the

strategy discussion and strategy meeting is to gather information, ensure any protection plans

required prior to investigation are put in place, and to plan any further investigation if it is

required.

Please note:

In a lot of cases a safeguarding strategy can be concluded without the need to call a strategy

meeting. Discussions to gather information and formulate a protection plan or investigation

plan can take place between a few relevant people by telephone/email or by a face to face

discussion between a line manager and worker who will be leading an investigation. The latter

is referred to as a strategy discussion.

A strategy meeting would be convened either to address more complex issues or where it is

not practical to resolve or get a sufficient investigation plan via a strategy discussion.


This form should always be used to record a strategy discussion. In relation to using the form

to record a strategy meeting a common sense approach should be used to identify prior to the

strategy meeting taking place whether this form will be sufficient or not. In some

circumstances where the scenario is complex or there are a lot of attendees it will be more

appropriate for the meeting to be formally minuted instead of using this form and

arrangements will need to be put in place to ensure this happens.

A strategy discussion/meeting will take place at the end of a safeguarding initial assessment

or prior to a safeguarding investigation taking place. In some cases a strategy discussion form

may be completed by the safeguarding team in order to pass information to a professional

identified as the lead investigator in another team or organisation. In other cases a worker

within another team/organisation may need to start the safeguarding investigation before the

notification has been processed by the safeguarding adults team; in these cases this form

should be used to record the strategy discussion/meeting where appropriate.


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In some cases a strategy discussion may take place but it becomes apparent that a strategy

meeting is required. It is important this is reflected by completing this form for the strategy

discussion and then again for the strategy meeting (if not being formally minuted) to show

there have been two separate strategy events.

This form should not be used to record a case conference. A case conference, whilst

similar to a strategy meeting, is usually convened to discuss the outcome of a safeguarding

investigation and used to resolve more complex/ongoing issues. A case conference should be

formally minuted.


As the strategy discussion/meeting form: SA3 is a new form this guidance will provide a

section by section guide. Screen prints will be used where appropriate to emphasise points.

Whilst a template is provided in this reference guide there will be more functionality in using

the electronic Word version which will allow text boxes to enlarge to accommodate any

amount of text.

This section of the form is to capture details in relation to an alleged victim (AV) or the details

of a service when there is an institutional concern. Where the concern is of an institutional

nature the service details section should be completed and then the worker completing the

form should move to section 1b of the form. Where the concern relates to an individual more

information is required and the rest of part 1a of the form should be completed.

Mental Capacity (Figure 3)

When working with AV‟s there may be times where they may not have full capacity to be

involved in all aspects of the safeguarding process. There is a signpost in section 1a of this

form specifically asking the worker to formally consider capacity. A Mental Capacity Act

(2005)3 (MCA) two stage test should be carried out in these circumstances to establish the

following:

1. Whether the AV has the mental capacity to be involved/interviewed as part of the

investigation.

2. Whether the AV has the mental capacity to be involved in the strategy discussion or

meeting.

3 Mental Capacity Act 2005 (c.9). HMSO: London. available online at [www]:

http://www.opsi.gov.uk/acts/acts2005/ukpga_20050009_en_1 [accessed 17/11/2009]

9.4.1 SECTION 1A: ALLEGED VICTIM DETAILS AND CONCERNS (FIGURE 3)

http://www.opsi.gov.uk/acts/acts2005/ukpga_20050009_en_1


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Figure 3

Lacks capacity means "… a person who lacks capacity to make a particular decision or

take a particular course of action for themselves at the time the decision or action

needs to be taken" (Department for Constitutional Affairs, 2007, p3)4

More detailed information and practice guidance regarding the MCA is available in the Mental

Capacity Act 2005 code of practice5 however the five statutory principals are:

1. A person must be assumed to have capacity unless it is established that they lack

capacity.

4 Department for Constitutional Affairs (2007) Mental Capacity Act 2005 Code of practice. Norwich. The Stationary

Office (TSO). Available online at [www]: http://www.publicguardian.gov.uk/mca/code-of-practice.htm [accessed

17/11/2009]

5 Department for Constitutional Affairs (2007) Mental Capacity Act 2005 Code of practice. Norwich. The Stationary

Office (TSO). Available online at [www]: http://www.publicguardian.gov.uk/mca/code-of-practice.htm [accessed

17/11/2009]

Enter service details if this is

an “institutional concern”

Enter details of AV if this is a

concern relating

individual.

to an

MENTAL CAPACITY

Alleged victims should be

involved in the

safeguarding practice

wherever possible. When

required an MCA two stage

test should be completed.

ADVOCACY Ensuring an

advocate is involved

whenever

necessary/requested is

evidence of anti-oppressive

practice.

http://www.publicguardian.gov.uk/mca/code-of-practice.htm

http://www.publicguardian.gov.uk/mca/code-of-practice.htm


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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.

3. A person is not to be treated as unable to make a decision merely because he makes

an unwise decision.

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.

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 as effectively achieved in a way that is less

restrictive of the person‟s rights and freedom of action.

The MCA two stage test consists of the 1) functional test for capacity, and 2) best interests

checklist.

When carrying out a MCA two stage test consideration should be given to involving an

Independent Mental Capacity Advocate (IMCA). This is extremely important when considering

mental capacity in relation to safeguarding of vulnerable adults.

IMCA service in Northamptonshire 01604 591916 (telephone)

Advocacy (Figure 3)

Considering whether an advocate would be beneficial in safeguarding cases is extremely

important. Whilst an IMCA could be accessed for alleged victims that may be deemed to lack

mental capacity, advocacy arrangements should be considered for all alleged victims. Often

advocacy will be refused or not required but offering or enabling people to access advocacy is

a good example of anti-oppressive practice.

There are a number of advocacy services within Northamptonshire, some of which are aimed

at specific client groups. Further information of advocacy services can be obtained from the

Adult Care Team. In some circumstances an alleged victim may wish for a friend or relative to

act as an advocate, however it will be necessary to check with any “informal” advocate that

they fully understand what is being discussed as they may not have as full an understanding

of issues in comparison to a “formal” advocate.

Worker details.

Details of the worker leading the strategy discussion should be provided in this section, this

will usually be a practitioner. In order to ensure accountability line manager authorisation is

requested in section 6 of the form.


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It is extremely important to ensure the right people are involved in a strategy

discussion/meeting. As the strategy discussion/meeting is generally used to plan a

safeguarding strategy the alleged perpetrator should not normally be involved in the strategy

discussion/meeting. However, it would be appropriate for an alleged perpetrator to be

interviewed at the right time in the investigation.

Involving the alleged victim (Figure 4)

Wherever possible the alleged victim or their advocate should be involved in the strategy

discussion/meeting. If the alleged victim is unable, or chooses not to, be involved in a either a

strategy discussion or meeting attempts should be made to formally gain their views in order

to share with other participants.

Figure 4

9.4.2 SECTION 2: INVOLVEMENT IN STRATEGY DISCUSSION/MEETING

Involvement of

Funding Authority.

Signpost to prompt

to ensure funding

authority is involved

Involving the AV. Wherever

possible the alleged victim

should be involved in the

strategy discussion/meeting

or have the opportunity for

their views to be shared.

Details of those involved in

Details of those who

gave apologies for the

strategy discussion or

attended strategy meeting.

strategy meeting, or

who were contacted at

the time of the strategy

discussion but were

unavailable.


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Involvement of funding authority (Figure 4)

It is important to consider the different sources that may be involved with the funding of any

services. In some cases this will be straight forward but in other cases there may be ambiguity

around shared funding. For example, an NCC funded placement in a nursing home will also

be part funded by the primary care trust that makes a contribution to the fees known as the

Registered Nursing Care Contribution (RNCC). People who self fund their placement can also

claim the RNCC.

Other local authorities may place clients of their own into Northamptonshire and this should

be established early on so they can be aware of the notification and involved in the strategy

discussion/meeting, investigation, case conferences and protection planning. When

investigating an institutional concern commissioning colleagues should ideally consult with all

funding authorities as part of an investigation or to share concerns and should also consider

this signpost within the form to be a commissioning role as well.

The next two parts of the form (Figure 4) are to record the details of those involved in the

strategy discussion/meeting and those who gave apologies for being unable to attend a

strategy meeting. It is important to pay ensure all parties are recorded to ensure a clear audit

trail of whom you have tried to involve in the strategy phase of the SOVA.


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Section 3 of this form holds the main body of information that will need to be recorded in a

safeguarding strategy discussion/meeting.

Alleged victims desired outcomes (Figure 5)

In order to try and ensure an outcome based approach to safeguarding it is important to gather

the views of the alleged victim at various points of the SOVA process. If all efforts are taken to

gather these views this should allow us to measure whether the safeguarding intervention has

met the alleged victim‟s desired outcomes.

You should try and ensure any desired outcomes are SMART: Specific, Measurable,

Achievable, Relevant and have a Timescale). Where the AV is able to give desired outcomes

in their own words this should be indicated by quotation marks (“ “). It may be difficult to make

outcomes SMART in these instances but precedence should be given to recording the AV‟s

views in their own words.

Figure 5

9.4.3 SECTION 3: THE SAFEGUARDING CONCERN

Alleged

desired

victim –

outcomes.

Should be recorded

here. Information obtained/Source

Should be recorded here.

Summary of risks

Should be recorded

here.

Protection planning.

Decisions regarding this

should be recorded here.


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Information obtained/Source (Figure 5)

This section of the form allows the information obtained to be recorded. It is important to

record the source as this may indicate who may be approached for further information should

an investigation be required. During a strategy discussion/meeting it may not always be

possible to clarify every detail, however if the source is identified this will enable you to go

back to them and clarify any information you require.

Summary of risks (Figure 5)

It can be difficult to keep a track of all the risks identified when carrying out a strategy

discussion so there is a specific section to do so. This helps gather your thoughts but also acts

as a tool to clarify what all the parties involved in the strategy discussion agree to be the

remaining risks. This can help to ensure an organised approach to completing a protection

plan.

Protection planning

Often formalising the protection plan can be overlooked in the safeguarding process. Whilst

evidence of protection planning is often seen in minutes of meetings it is important to formalise

and circulate a protection plan at the earliest possible opportunity so all parties understand

what is being done, by whom and in what timescale.

If a protection plan is required form SA4 should be completed. In some circumstances a

protection plan may not be required but the decision making as to why a protection plan does

not need to be completed should be recorded. Whilst you may decide no further action is

required in relation to the investigation because the SOVA can be proven at the point of

strategy discussion – you should ensure a protection plan is completed to reduce the risk of a

potentially abusive situation re-occurring.


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This part of the form formally records whether it is possible to reach a safeguarding outcome

decision at the strategy discussion/meeting or whether further investigation is required. The

form is split into two parts to reflect this.

Figure 6

SOVA investigation required (Figure 6)

If you are unable to substantiate the SOVA at the strategy discussion/meeting an

investigation will be required. The appropriate box should be ticked on the form and the

signposts followed.

When deciding that a case requires an investigation it is important to consider whether the

police may have an interest in the case. The decision that you have to make is to decide

whether there is the possibility that a crime may have been committed.

Police investigation

If this is the case the matter should be referred via the Northamptonshire police control room

03000 111 222. You should be given either a crime or incident reference number. It is

important to record this number for future reference.

9.4.4 SECTION 4: OUTCOME OF STRATEGY DISCUSSION/MEETING

SOVA investigation

required. Not possible to

substantiate at strategy

Crime reference no.

Should be recorded

here.

discussion/meeting stage.

Follow appropriate

signposts.

No further action under

safeguarding procedures.

NFA – should be recorded

here – follow appropriate

signposts.

Other vulnerable

adults/children


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There are two police safeguarding leads in the county:

Cliff Williams (North)

Carl Jeyes (South).

If you are unsure whether a SOVA notification may possibly indicate a crime you can contact

either of the safeguarding leads for further advice via the police control room. If the

safeguarding leads indicate the SOVA could be investigated as a crime you should then

formally refer through the police control room obtaining a crime reference/incident number

which should be recorded on the form (Figure 6)). If you are in doubt it is better to refer to the

police and they will make the decision whether to proceed further or not.

In most circumstances the police investigation will take precedence, however this may not

stop the safeguarding investigation from continuing alongside the police investigation or a joint

investigation taking place. When continuing to investigate the SOVA you should ensure

you check with the officer leading the case at various stages that any investigation you

plan will not potentially contaminate their evidence. (E.g. if you plan to talk to a

potential witness discuss this with the officer and seek their approval before arranging

and going ahead with the interview).

Whilst the police investigation does take precedence it is important to recognise that where the

risk to the vulnerable adult is too high it may be necessary to intervene. Whilst it is inevitable

that this may contaminate evidence the safety of the vulnerable adult should take precedence;

any action that it is decided to take should be done so under guidance/support from the police.

If the police decide that they are not going to investigate or decide that there is insufficient

evidence to proceed this does not end the safeguarding investigation. When investigating

a crime the police have to prove “beyond a reasonable doubt” that a crime has occurred or the

Crown Prosecution Service (CPS) may decide for various reasons not to take the case to

court. When investigating a SOVA the decision is made on “the balance of probability” so

whilst the police may not be able to prove a crime you may deem as investigator that on the

balance of probability (a 51% probability) an abusive situation has occurred and you will

substantiate the SOVA.

No further action under safeguarding procedures (Figure 6)

There are a number of reasons why you may decide no further action (NFA) is required,

whilst it is not possible to list all a few examples are listed below:

1. In some circumstances, e.g. a resident on resident type of abuse, the abusive situation

may have been witnessed and further investigation is not required. The protection

planning now becomes the important part of the intervention.

2. You may have sufficient information at the point of strategy discussion/meeting to say

that a SOVA could be not substantiated. e.g. A CQC inspector reports a grade 3

pressure sore on a resident in a local nursing home. At the point of strategy

discussion/meeting the provider is able to show they have involved relevant health

professionals in that persons care, such as GP or tissue viability nurse, and those


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professionals are able to confirm that the provider is following treatment plans

satisfactorily.

3. You may decide that although a notification is received that it does not meet the basic

screening requirements to be investigated as a SOVA; in this situation it is likely you

will refer onto another team/organisation for further work (outside of safeguarding

procedures e.g. a care management assessment).

Please note:

You should not NFA a SOVA where the allegation involves a member of staff or a person

in a position of power even if the abuse is witnessed. An investigation should take place

and safeguarding procedures should be adhered to ensure that any criminal

investigations, Human Resources procedures and referrals to the Independent

Safeguarding Authority are followed up.

Regulated/commissioned services

It is important that even when a SOVA notification is unsubstantiated that the information is

retained. NCC commissioning should receive information about provider services. This helps

to monitor trends and ensure that any concerns regarding particular areas of practice can be

dealt with as part of routine contract monitoring before they escalate to becoming institutional

notifications.

Other & Further details (Figure 6)

The other box should be ticked where appropriate. This will usually indicate that although not

being dealt with under safeguarding procedures that there is further work required. Details of

further work or referrals made should be recorded in the further details box. e.g. “Referred to

Care Management for assessment of need, [date]”.

Other vulnerable adults/welfare or safety of children (Figure 6)

It is extremely important to recognise when there may be a risk to other vulnerable adults or

to the welfare and/or safety of children who may be witnessing abusive situations or subjected

to abusive acts themselves. If you are concerned or if something does not feel right you must

raise the concern through the appropriate channels.


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(Figure 7) This section of the form allows you to record:

1. Details of lead organisation

2. Details of the case lead (usually the manager of the professional who will be leading

the investigation).

3. The initial plan for the investigation. Whilst not exhaustive this provides a basis for

planning the investigation; e.g. identifying who needs to be interviewed; considering

evidence that needs to be looked at e.g. care plans, case records, risk assessments;

identifying other people who may be able to contribute to the assessment e.g. “district

nursing manager to review district nursing notes” or “ambulance service to be

contacted for report into patients presentation”.

4. Signposts indicating what appropriate forms to use and other sections of this form that

require completion.

Figure 7

9.4.5 SECTION 5: INVESTIGATION PLAN

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9.4.6 SECTION 6: AUTHORISATION (FIGURE 8)

It is important to ensure authorisation is obtained in relation to strategy discussions. This adds

a level of accountability and ensures safeguarding strategy discussions and decisions are not

dealt with in isolation.

Where appropriate a copy of this form should be shared with those people involved in the

strategy discussion/meeting so they have a copy for their records. In some circumstances, e.g.

with a customer or carer it may be necessary to communicate the outcome of the strategy

discussion/meeting using alternative means e.g. via letter, face to face, using an audio format

or through an advocate or circle of support. There is no definitive answer as to which is most

appropriate, this should be a case by case decision made by the professionals that know the

customer/carer best.

Figure 8

9.4.7 SECTION 7: INFORMATION SHARING (FIGURE 8)

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January 2010


The form should be shared as appropriate. A copy should be kept on the lead organisations

records. Where the lead organisation is NCC, the lead investigator should ensure a copy is

scanned or uploaded to the client file on carestore. NB. NCC lead investigators should also

complete the care-assess safeguarding investigation assessment form within the carefirst

record. (See Appendix 1E)

When the safeguarding event is complete the lead investigator (including NCC staff) should

ensure a copy of this form is forwarded to the safeguarding adults team along with any other

supporting evidence and an outcome form to enable an NCC service manager to sign off the

safeguarding outcome form.

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January 2010

10 FORM: SA4- THE PROTECTION PLAN FORM

10.1 WHAT IS A PROTECTION PLAN FORM?

A protection plan is used to formally record any plans put in place to reduce the risk of a

safeguarding event re-occurring. It is used in a similar way to a care-plan or risk management

plan.


To ensure consistent practice in the recording of protection planning across all organisations

that implement safeguarding practice. It helps formulate a way of recording what the issues

are, how you hope to address them, what the expected outcome from each intervention is, it

provides a timescale, and it requires an ownership for each aspect of the plan. A protection

plan could in theory be required at any stage in the process e.g. prior to notification, at the

point of notification, at the strategy discussion stage, during an investigation or following a

case conference.


It is best practice to use this form at any stage in the safeguarding process where you need to

formally record a protection plan.

The important thing to remember is the form provides a framework for recording a protection

plan and can show chronological evidence of protection planning at various stages within the

process which is extremely important should a case ever be subject to a serious case review.


As the protection plan form: SA4 is a new form this guidance will provide a section by section

guide. Screen prints will be used where appropriate to emphasise points. Whilst a template is

provided in this reference guide there will be more functionality in using the electronic Word

version which will allow text boxes to enlarge to accommodate any amount of text.

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January 2010








requested in section 6 of the form. There are also boxes to record the date of the original

notification and the date the strategy discussion/meeting took place.

Figure 9

10.4.1 SECTION 1A: ALLEGED VICTIM DETAILS AND CONCERNS (FIGURE 9)

10.4.2 SECTION 1B: WORKER DETAILS (FIGURE 9)

Enter service details if

this is an “institutional

concern”

Enter details of

AV if this is a

concern

relating to an

individual.

Enter details of

worker

completing the

protection plan

form Enter date of SOVA

notification and strategy

discussion/meeting

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January 2010

10.4.3 SECTION 2: INVOLVEMENT IN PROTECTION PLANNING (FIGURE 10)

The details of all parties involved in protection planning should be recorded. This can include

the alleged victim, advocates and carers.

Details of those

involved in

strategy

discussion or

attended strategy

Responsibility &

timescale. The

person responsible

for each action an the

timescale for

completion should be

recorded here.

Concern. Details of

each individual

concern should be

recorded here.

Action plan to address risk

Details of each individual plan to

address identified risks should be

recorded here.

Expected outcome

Details of what the outcome

from each action is expected

to be should be recorded

here. Figure 10

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January 2010

This section of the form is the important area where the core details are broken down into four

areas as follows:

1. The concern section (Figure 10) is where each concern should be recorded. There

may only be one concern or there may be a number of concerns in relation to any

case. Where there are a number of concerns each should be recorded separately as

often the action plans to address those individual concerns may be different and

require different timescales and people to responsible for implementing them.

2. The action plan to address risk (Figure 10) section is where the multi-disciplinary

plan to how to address each individual concern is recorded. There are no specific

requirements as to what should be recorded in this section. You should be as creative

as possible to identify actions, resources or support that will help to reduce the risk of

abuse happening again. Some resources will have cost implications and you will need

to use your normal processes to secure that funding. Most organisations will have a

fast-track process to deal with urgent situations.

3. The expected outcome section (Figure 10) is where you record the goal/outcome

you hope to achieve by following the action plan. It is important to recognise the

limitations that some action plans may have. It may not be possible to eliminate risk but

it is important to try and establish how much you will reduce the risk of abuse.

4. The responsibility & timescale section (Figure 10) is where you record details of the

person who will be responsible for each action and a timescale for completion of that

action (where appropriate).

10.4.4 SECTION 3: THE PROTECTION PLAN

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January 2010

Figure 11


In order to try and ensure an outcome based approach to safeguarding it is important to

gather the views of the alleged victim at various points of the SOVA process. If all efforts are

taken to gather these views this should allow us to measure whether the safeguarding

intervention has met the alleged victims desired outcomes.






Information Sharing (Figure 11)

Where appropriate a copy of this form should be shared with those people involved in

protection planning so they have a copy for their records. In some circumstances, e.g. with a

customer or carer it may be necessary to communicate the protection plan using alternative

means e.g. via letter, face to face, using an audio format or through an advocate or circle of

support. There is no definitive answer as to which is most appropriate, this should be a case

by case decision made by the professionals that know the customer/carer best.

Alleged victim –

desired outcomes.

Further information.

Any information

relevant to the

implementation of the

protection plan should

be recorded here.

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January 2010


The form should be shared as appropriate. A copy should be kept on the lead organisations

records. Where the lead organisation is NCC, the lead investigator should ensure a copy is

scanned or uploaded to the client file on carestore.


ensure a copy of this form is forwarded to the Safeguarding Adults Team along with any other



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January 2010

11 FORM: SA5- THE INVESTIGATION REPORT

11.1 WHAT IS AN INVESTIGATION REPORT?

An investigation report is the form used to record the investigation event in its entirety. It

provides a tool for the lead investigator to record all aspects of the investigation in an agreed

and consistent way regardless of role, team or organisation.


To ensure consistent practice in the recording of safeguarding investigations across all

organisations that implement safeguarding practice. The investigation report provides the lead

investigator with a set format to use when recording their safeguarding investigation. The

different headings should provide prompts and guidance for the type of information that needs

to be recorded in an investigation report.


The form should be used by the lead investigator in order to provide consistent practice in the

recording of a safeguarding investigation. Whilst this form is completed by the lead

investigator this does not mean that they will necessarily be the only professional involved in

the investigation. The lead investigator can request contributions or reports from other

professionals to help inform their own report and any decisions made in relation to the

safeguarding investigation.

11.4 HOW DO W E USE IT?

As the investigation report: SA4 is a new form this guidance will provide a section by section

guide. Screen prints will be used where appropriate to emphasise points.








requested in section 5 of the form. There are also boxes to record the date of the original

notification and the date the strategy discussion/meeting took place.

11.4.1 SECTION 1A: ALLEGED VICTIM DETAILS AND CONCERNS

11.4.2 SECTION 1B: WORKER DETAILS

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This part of the form provides information for the reader to enable them to find the relevant

part of the form they require. The only part of the contents section that the lead investigator

will need to complete is the “appendix of evidence” section.

Figure 12

Appendix of evidence should detail the type of evidence being referenced. This could

realistically be anything e.g. case notes, care plans risk assessments, medical imaging. Where

the evidence is available it should be attached as an appendix and this should be stated in the

“available from” section e.g. “attached in appendix”.

In some circumstances it may not be appropriate to attach the evidence because it is of a

sensitive nature or it may not be available as it is held within other organisations files. Where

this is the case you should indicate where the evidence is held so that it can be accessed in

the future if required, e.g. if a serious case review is requested. You should state where the

evidence is held in the “available from” section of the form e.g. “Acute hospital record, patient

number: 12345 – Northampton general hospital“.

You should state the date you accessed the evidence as you may find the evidence is

superseded or that there are earlier versions in the record. Most files use a chronological

ordering and this also makes finding the evidence at a later date much easier.

Whilst we are working towards establishing an agreed inter-agency information sharing

protocol for safeguarding you may need to currently follow the organisations own information

sharing requirements and apply formally using their processes in the interim.

11.4.3 SECTION 2: CONTENTS OF INVESTIGATION REPORT(FIGURE 12)

Appendix of

evidence

Lead investigator

should record details

of any evidence

referenced in the

investigation report

here.

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January 2010

11.4.4 SECTION 3: MAIN INVESTIGATION REPORT (FIGURE 13)

This section of the form is where the majority of the key information will be recorded.

Background (Figure 13)

This should detail the presenting information shared at the point of notification regarding the

safeguarding concern. It should also look at factual information that adds context to the

notification e.g. family circumstances, local community involvement, any support received

formally/informally. This information will be case specific and professional judgement should

be used when considering what to include. Other aspects may get picked up later in the

investigation report.

Figure 13

Chronology (Figure 13)

This section should be used to record the chronology of the safeguarding investigation e.g.

[date] – notification received, [date] strategy discussion took place, [date] visit to provider to

review case notes/care plans.

You may also wish to use a chronology to reflect the case itself (events leading upto the

alleged abuse and detailing how it was dealt with etc), however these tend to be more detailed

and would be better attached as an appendix.

Method(s) of investigation (Figure 13)

This section is used to record the different methods you use in your investigation. The

methods of investigation will depend on each individual case and therefore a full list of

possible methods is not possible however some suggestions have been provided below:

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January 2010

1. You may record the name/role of people who you interviewed.

2. You could record any requests you made to other professionals to investigate their

involvement or reports you asked to be provided e.g. “East Midlands Ambulance

Service asked to provide a report into the presentation of the patient when attending on

the night of [date]”.

3. You may make reference to visits where you reviewed care records or patient records

Investigation Summary (Figure 13)

Perhaps the most important part of this report. This is where you show the narrative and

discussion of your investigation. You will use this section to discuss and review any evidence

you have. You may make reference to any validity of statements or evidence or point out

inconsistencies or evidence that contradicts another piece of evidence where this may occur.

Continuing risk factors (Figure 13)

It is important to document any risk factors that you still feel are present. These may be to the

individual or your investigation may indicate that you feel other vulnerable adults are at risk,

either individually or collectively and appropriate actions should be taken to ensure others are

alerted of your concerns. This may mean raising a further SOVA notification about an

individual or in relation to institutional concerns.


In order to try and ensure an outcome based approach to safeguarding it is important to gather

the views of the alleged victim at various points of the SOVA process. If all efforts are taken to

gather these views this should allow us to measure whether the safeguarding intervention has

met the alleged victims desired outcomes.






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Figure 14

Conclusions (Figure 14)

This section should be used to summarise the conclusions that the lead investigator has come

to over the course of the investigation. This should also include the lead investigators

recommendation for the SOVA outcome decision. The decision is made on the balance of

probability (a 51% probability).

Alleged victim –

desired outcomes.

Should be recorded

here. Conclusions

Should

here

be recorded

including lead

investigators

recommendation of the

outcome decision.

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January 2010

This section is split into two parts; investigation complete - further action required under

safeguarding procedures, and investigation complete - no further action required under


Further action required under safeguarding procedures (Figure 15)

This will usually indicate that a case conference needs to be convened to ensure all involved

parties are aware of the outcome of the investigation and that there is further work required in

relation to; protection planning; police involvement. Any further work required would be

discussed at the case conference and relevant parties would take particular actions away as

part of a protection plan drawn up following the case conference. Signposts are included in

order to make suggestions as to what needs to be auctioned.

No further action required under safeguarding procedures (Figure 15)

This will usually indicate that the SOVA was unsubstantiated or that where the SOVA was

substantiated that all protections have been put in place and are working satisfactorily.

Figure 15

11.4.5 SECTION 4: OUTCOME OF SAFEGUARDING INVESTIGATION (FIGURE 15)

Investigation complete -

further action required

under safeguarding

procedures. Investigation complete -

No further action under


NFA – should be recorded

here – follow appropriate

signposts.

Other/further details

should be recorded here.

Other vulnerable

adults/children

Follow signposts

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January 2010

Regulated/commissioned services

It is important that even when a SOVA notification is unsubstantiated that the information is

retained. NCC commissioning should receive information about provider services. This helps

to monitor trends and ensure that any concerns regarding particular areas of practice can be

dealt with as part of routine contract monitoring before they escalate to becoming institutional

notifications.

Other & Further details (Figure 15)

The other box should be ticked where appropriate. This will usually indicate that although not

being dealt with under safeguarding procedures that there is further work required. Details of

further work or referrals made should be recorded in the further details box. e.g. “Referred to

Care Management for assessment of need, [date]”.

Other vulnerable adults/welfare or safety of children (Figure 15)

It is extremely important to recognise when there may be a risk to other vulnerable adults or to

the welfare and/or safety of children who may be witnessing abusive situations or subjected to

abusive acts themselves. If you are concerned or if something does not feel right you must

raise the concern through the appropriate channels.

It is important to ensure authorisation is obtained in relation to the investigation report and

outcome. This adds a level of accountability and ensures safeguarding investigations and

decisions are not dealt with in isolation.

Where appropriate a copy of this form should be shared with those relevant professionals, so

they have a copy for their records, and with customers and their carers. In some

circumstances, e.g. with a customer or carer it may be necessary to communicate the

outcome of the strategy investigation using alternative means e.g. during a case conference,

via letter, face to face, using an audio format or through an advocate or circle of support.

There is no definitive answer as to which is most appropriate, this should be a case by case

decision made by the professionals that know the customer/carer best.

11.4.6 SECTION 5: AUTHORISATION (FIGURE 15)

11.4.7 SECTION 6: INFORMATION SHARING (FIGURE 16)

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January 2010

Figure 16

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January 2010

Any evidence referenced within the investigation report, where available, should be attached

as an appendix. This could realistically be anything e.g. case notes, care plans risk

assessments, medical imaging (used with caution – see below). A record of the evidence

attached in the appendix should be recorded in the contents section of the form see appendix

of evidence (Figure 12).

You should state the date you accessed the evidence as you may find the evidence is

superseded or that there are earlier versions in the record. Most files use a chronological

ordering and this also makes finding the evidence at a later date much easier.

Please note:

In some circumstances it may not be appropriate to attach the evidence because it is of a

sensitive nature or it may not be available as it is held within other organisations files. Where

this is the case you should indicate where the evidence is held so that it can be accessed in

the future if required, e.g. if a serious case review is requested. You should state where the

evidence is held in the “available from” section of the form e.g. “Acute hospital record, patient

number: 12345 – Northampton general hospital“.


The form should be shared as appropriate. If a case conference is convened it is likely this

report would need to be shared at the case conference. A copy should be kept on the lead

organisations records. Where the lead organisation is NCC, the lead investigator should

ensure a copy is scanned or uploaded to the client file on carestore. NB. NCC lead

investigators should also complete the care-assess safeguarding investigation assessment

form within the carefirst record . (see appendix: 1e)


ensure a copy of this form is forwarded to the Safeguarding Adults Team along with any other



11.4.8 APPENDIX

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January 2010

12 FORM: SA6- THE OUTCOME FORM

12.1 WHAT IS AN OUTCOME FORM?

Similar to the safeguarding notification form the outcome form gathers basic data

requirements required for the local authority to fulfil its duty to monitor and report to the

Department of Health in relation to safeguarding of vulnerable adults in Northamptonshire. The

form, along with the Northamptonshire interagency procedures6, is available on

Northamptonshire County Council website:


The outcome form is important because it records the end of a safeguarding investigation and

the initial protection planning stage of the event. It ensures the full process is recorded and

that reporting requirements are fulfilled.


Section A3.11.1 of the Northamptonshire Inter-agency Safeguarding Vulnerable Adults

procedures state that:

The intervention is concluded when:

The Safeguarding Adults issues have been addressed, which might mean that an

appropriate Safeguarding Plan is in place; or

The circumstances leading to the concern have been resolved; or

A risk assessment and acknowledgment that no more actions can be undertaken

has been agreed

There is a local performance indicator that aims for safeguarding interventions to be

concluded within 28 days of notification. Whilst there may be closer monitoring or review of

the safeguarding concern that may continue for a number of months it is envisaged that this

monitoring should become a part of the day to day careplans for individuals and therefore

should not remain as an active safeguarding intervention.

The protection plan form (SA4) is a key area where this ongoing monitoring can be recorded

and implemented; therefore it should be at the point of an investigation being completed and a

protection plan being put in place that an outcome can be notified.

There is also no reason why in particular circumstances a safeguarding concern couldn‟t be

concluded at the strategy discussion/meeting stage in the process. An example of this may be

6 Northamptonshire Inter-agency Safeguarding Adults Committee (NIASAC) (2007), Northamptonshire Inter-

agency Safeguarding Adults Procedures, Northamptonshire. NIASAC. and outcome form: SA6 available at:

http://www3.northamptonshire.gov.uk/councilservices/adult-social-care/safeguarding/Pages/safeguarding-adults-

forms.aspx



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January 2010

where there has been a clearly abusive situation e.g. one resident in a residential home hitting

another and the event was witnessed. In this circumstance further investigation is unlikely to

lead to a different safeguarding conclusion and the important factors are to identify issues and

risks and ensure an appropriate protection plan is implemented to reduce the risk of a re-

occurrence to an acceptable level.


As with the notification form completion of this form is fairly self-explanatory. Common

problems identified with completion of this form are 1) delays in completing and forwarding to

the safeguarding adults team. 2) incorrect dates recorded on the form 3) incorrect use of the

authorisation boxes on the back page 4) What to do with the form once completed.

1. Delays in completing and forwarding the form. Monthly reporting is greatly affected

by delays in outcome forms being passed to the safeguarding adults‟ team. With a

local performance indicator aiming for safeguarding interventions to be completed

within 28 days of notification an outcome form that takes three months to be

forwarded to the safeguarding team greatly affects this performance indicator. If the

correct date is entered on the form regarding when the outcome decision was made

this can be input retrospectively and the overall performance indicator should reflect

this as outcomes are inputted.

2. Incorrect dates recorded on the form. Recognising when the intervention is

concluded is extremely important. Historically if a worker is involved on a longer term

basis with a customer they have not concluded a safeguarding event until reviews etc

have taken place. This severely affects the data being monitored. The outcome form

has been recently revised to try to capture this information with a “date of outcome

decision” field being added. (Figure 17)

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January 2010

1. Incorrect use of the authorisation box. It is important that due attention is paid to

ensuring the correct authorisation/sign-off of the outcome. Recent revisions to the form

will hopefully clarify this. On the back page of the outcome form there are three boxes

that require a signature (Figure 18).

The first box should usually be completed by the practitioner that took a lead

investigator role and had oversight of the whole process (within an NCC investigation

into an individual allegation of abuse this would usually be a care manager or social

worker). The second box should usually be completed by the line manager of the

practitioner that led the investigation (within an NCC investigation into an individual

allegation of abuse this would usually be a principal care manager/principal social

worker or team manager). The third box in all circumstances will be completed by a

service manager within NCC.

Figure 17

This date must be entered carefully. It should

indicate the date when the SOVA investigation

was completed and a safeguarding protection plan

has been agreed and put in place. (not the date

when the form was completed or signed off)

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January 2010

Figure 18

12.5 WHAT TO DO WITH THE FORM ONCE COMPLETED?

In all circumstances the outcome form should be forwarded to the safeguarding adults‟ team

with accompanying information e.g. record of strategy discussion/meeting, minutes of any

case conferences, copies of any protection plans, copy of investigation report, copies of

relevant case notes and/or correspondence. Supporting evidence is required to enable the

NCC service manager to be fully informed when they sign off the outcome form. If sent

by post the envelope should be marked as confidential. Smaller amounts of supporting

evidence can be faxed with the outcome form.

Send to:

Northamptonshire County Council


Oxford House, Floor 2,

West Villa Road, Wellingborough

Northants, NN8 4JR

Fax: 01933 220768

Practitioner that took a

lead investigator role

should complete this

section

Line manager of the

practitioner that took a

lead investigator

should complete

section

role

this Service Manager

within NCC should

complete

section

this

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January 2010

13 APPENDICES

13.1 APPENDIX 1: NCC SPECIFIC GUIDANCE:

1A: Content required when sending a carefirst message regarding a new safeguarding

notification.

1B: Searching for a provider organisation on Carefirst 6. (messaging)

1C: Record a safeguarding initial assessment as part of a care-assess contact assessment

part 1.

1D: Record a safeguarding initial assessment when not completing a care-assess contact

assessment part 1.

1E: Completing a care-assess investigation assessment form.

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January 2010

NCC SPECIFIC GUIDANCE – CONTENT REQUIRED WHEN SENDING A CAREFIRST

MESSAGE REGARDING A NEW SAFEGUARDING NOTIFICATION.

Screen Print Of careFirst Message Screen

Field Content

From: This field should self-populate with either your worker ID or team

ID

To: Select “team” and enter the safeguarding team ID OA0068

About: If you are sending the message from the customer record this

box should self-populate. If you are sending a message

regarding an organisation you will need to search for the

organisation.

(see appendix 1b)

Priority: You should always select “high”

13.1.1 APPENDIX 1A

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January 2010

Subject: Individual notification

Subject should always be recorded as:

SOVA notification – [insert client name carefirst & ID no.]

e.g. SOVA notification – Joe Bloggs NT000000

Institutional notification

Subject should always be recorded as:

SOVA notification – institutional

Message: The message field should contain the following:

- Date/time of incident - Type of abuse alleged (see pg 6 of this guidance) - Brief description of alleged abuse to enable safeguarding

team to prioritise urgency. - Name/role/team of person sending message.

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January 2010

NCC SPECIFIC GUIDANCE – SEARCHING FOR A PROVIDER ORGANISATION ON

CAREFIRST 6 (MESSAGING).

1. Click on the write message icon within the carefirst desktop and select “organisation”

2. Click on the drop-down menu.

3. Use the name section using basic name and a wildcard e.g. Ecton Brook House EPH

could be entered as Ecton% and then click search. This should bring back search

results and enable a team message to be sent regarding a provider

For guidance on the content required in the message if it is regarding a new SOVA notification

see Appendix 1A.

13.1.2 APPENDIX 1B:

1. Select the “organisation option

2. Drop down menu

3. Use the name section using basic name

and a wildcard e.g. Ecton Brook House EPH

could be entered as Ecton% and then click

search. This should bring back search results

and enable a team message to be sent

regarding a provider

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January 2010

NCC SPECIFIC GUIDANCE – RECORD A SAFEGUARDING INITIAL ASSESSMENT

AS PART OF A CARE-ASSESS CONTACT ASSESSMENT PART 1.

Within the contact assessment part 1 there is a specific question regarding safeguarding;

question 5.1.6. If you answer “yes” to this question this will automatically initiate a

safeguarding initial assessment to the safeguarding adults team.

Please note:

The safeguarding initial assessment will only be recorded and visible to the safeguarding team

once the contact assessment has been authorised. If for any reason the safeguarding initial

assessment opens up to your team, or you as an individual, this can be rectified by clicking the

re-assign button and re-assigning the initial assessment to the safeguarding team code

OA0068.

As well as completing the care-assess form the following actions should also be

completed.

1. SOVA notification form completed and uploaded/scanned to carestore. (only fax if carestore

is unavailable, otherwise this duplicates screening work as multiple referrals are received

and it is not necessarily the same member of staff reviewing all notifications).

2. Team message to be sent to safeguarding adults team – see Appendix 1A.

13.1.3 APPENDIX 1C

Specific safeguarding question

within contact assessment part 1

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January 2010

3. Where the case is urgent it is good practice to also phone through to the duty worker in the

team to discuss on 01933 201064.

The safeguarding team will then carry out an initial assessment and progress the care-assess

form as appropriate. When there is an allocated worker in a team already working with a

customer it is likely that the safeguarding investigation form will be assigned back to the

primary worker as they will lead the investigation.

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January 2010

NCC SPECIFIC GUIDANCE – RECORD A SAFEGUARDING INITIAL ASSESSMENT

WHEN NOT COMPLETING A CARE-ASSESS CONTACT ASSESSMENT PART 1

In your Worker Desktop View

1. Click on the Icon

2. In Subject field, click on button enter your search criteria and click button

3. Select your customer from list (now highlighted in yellow)

4. Click button

5. Click on button to view current assessments (click in to view all assessments)

6. Click button, record a new agreement

7. ADD the following information using to select where appropriate

Questionnaire

Context

SAT

Assessment Type Initial Assessment

Priority Leave Blank

Worker Double Click your worker name

Team Automatically appears e.g. OA0068

Start Date Ensure the correct date is entered

8. Click button

9. Re-assign the SAT – initial assessment form to the Safeguarding Adults Team code OA0068

13.1.4 APPENDIX 1D

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January 2010

Please note:

The safeguarding initial assessment will only be recorded and visible to the safeguarding team

once the contact assessment has been authorised and re-assigned.


completed.

1. SOVA notification form should be completed and uploaded/scanned to carestore. (only

fax if carestore is unavailable, otherwise this duplicates screening work as multiple

referrals are received and it is not necessarily the same member of staff reviewing all

notifications).

2. Team message to be sent to safeguarding adults team – see Appendix 1A.

3. Where the case is urgent it is good practice to also phone through to the duty worker in

the team to discuss on 01933 201064.

The safeguarding team will then carry out an initial assessment and progress the care-assess

form as appropriate. When there is an allocated worker in a team already working with a

customer it is likely that the safeguarding investigation form will be assigned back to the

primary worker as they will lead the investigation.

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January 2010

NCC SPECIFIC GUIDANCE – COMPLETING A CARE-ASSESS INVESTIGATION

ASSESSMENT FORM

In your Customer Desktop View

1. Click on the Icon

2. In the Assessment Screen. Check customer details change if necessary

3. Click on button to view current assessments (click in to view all assessments)

4. Select Assessment to be completed Investigation

5. Click button

6. Complete the Assessment Document, note the following

Certain fields are marked Required , and the document cannot be completed without this information

Certain fields will be Text

In a Date fields, you can:-

i. double click for today‟s date

ii. use the minus sign „ – „ followed by a number of days e.g. „-10‟ careFirst will subtract the number of days from today‟s date

iii. use the plus sign „+‟ followed by number of days e.g. „+10‟ careFirst with add the number of days from today‟s date

Radio Buttons, click into the radio button to select the relevant answer

Use to select from pick list where appropriate

Relationship Section, search for your person click button create person if

necessary, once complete click button to complete the question

Classification Section, combination of pick lists, date fields and text fields, once

completed click button to complete the question

Need Section, combination of pick lists, date fields and text fields, once completed

click button to complete the question

button allows you to view answers previously recorded in base data and text

fields in a previous assessments. To add the text to new assessment click

13.1.5 APPENDIX 1E

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January 2010

allows you to view text previously recorded and copy & paste into new assessment

Click button at end of each page then Click button to move to next page Or you can select next page required by clicking on the tab New screen shot

7. Click button, enter the following information

Share Data? Yes

Details Free Text enter any relevant details

End Date *Date Assessment Complete

Outcome A-Investigation Substantiated/not

substantiated etc

End of Community Care

Process Click to put a tick in this

Reason Code A-PP in Place

Completed By Double click to put your ID number

there

Authorised By Leave for your manager to

authorise

8. Click button

9. Return to Client Desktop click on icon

* The date the assessment is completed is not necessarily the date that you are

completing the form; it is the date the safeguarding event is concluded.

Section A3.11.1 of the Northamptonshire Inter-agency Safeguarding Vulnerable Adults

procedures state that:

The intervention is concluded when:

The Safeguarding Adults issues have been addressed, which might mean that an

appropriate Safeguarding Plan is in place; or

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January 2010

The circumstances leading to the concern have been resolved; or

A risk assessment and acknowledgment that no more actions can be undertaken

has been agreed

Whilst you may continue to monitor safeguarding interventions as part of a care plan

the safeguarding event will usually be completed when you have made the

safeguarding outcome decision and a protection plan is in place (when required).

Please note:

The safeguarding investigation form will only be recorded and the safeguarding event ended

once the investigation assessment has been authorised.


completed.

1. Complete the safeguarding outcome form and forward to the safeguarding adults‟ team

with accompanying information e.g. record of strategy discussion/meeting, minutes of

any case conferences, copies of any protection plans, copy of investigation report,

copies of relevant case notes and/or correspondence.

2. Supporting evidence is required to enable the NCC service manager to be fully

informed when they sign off the outcome form.

3. If sent by post the envelope should be marked as confidential. Smaller amounts of

supporting evidence can be faxed with the outcome form.

Send to: Northamptonshire County Council


Oxford House, Floor 2,

West Villa Road, Wellingborough

Northants, NN8 4JR

Fax: 01933 220768

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January 2010

13.2 APPENDIX 2: NOTIFICATION/REFERRAL FORM - SA1 (TEMPLATE)

DCS_CONFCM_001

Notification/Referral Form - SA1 Adult Protection

Page 1 of 4 Date Extracted: 14/07/2010 Save to CareStore Folder: Confidential CM Form version 7 03Feb2010

„This document contains information which is CONFIDENTIAL and may also be privileged. It is for the exclusive use of the inte nded recipient(s). If you are not the intended recipient(s) please note that any form of distribution, copying or use of this document or the information in it is strictly prohibited and may be unlawful.‟

Details of Alleged Victim

ID / NHS No:

Name:

Also Known as:

Address: Post Code

Tel:

DoB: Marital Status:

Gender: Religion:

Ethnicity:

Language:

Communication Issues: Yes No

Dates, times and witness to any incidents. Concise description of abuse/allegation/concern. Any immediate actions taken

If further detail is necessary, please continue on a separate sheet. Keep descriptions brief and factual. Any opinion expressed must be clearly identified as such.

Is the alleged victim aware of the safeguarding referral?

Has the alleged victim given consent to the referral?

Yes

Yes

No

No

Not Known

Not Known

If NO, give reasons for proceeding:

Has a referral been made on this vulnerable adult before?

If “Yes” please give date

Tick if “Yes”

Is the alleged victim known to any other agency? e.g. PCT/NHT/Other LA

If “Yes”, please give details

Tick if “Yes”

Has the alleged victim agreed to an investigation proceeding, or are they deemed not to have the capacity to consent?

Yes No No Capacity

If NO, who advocates on behalf of the vulnerable adult? Name:

Details of Referrer

Name:

Title/Role:

Address:

Post Code

Tel:

Email:

Person Completing Form:

Name:

Date:

Team/Org/ Provider:

DCS_CONFCM_001




Has the vulnerable adult agreed to take part in an investigation?

Yes No

- Has the Nearest relative/Carer been informed?

Yes

No Capacity

No

- Do they wish to be part of the investigation? Yes No

Does the alleged victim have capacity in relation to this safeguarding issue?

If NO has a Mental Capacity Act assessment taken place?

Yes

Yes

No

No

Not Known

Not Known

Are any of the following involved? Psychiatrist IMCA CPN Advocate

Is the Alleged Victim Traditionally Funded? Other LA funded?

An SDS customer? A Carer? Self Funder? CHC Funded?

Vulnerable adult category

Ill Health or Frailty Learning Disability Older Person Mental Health

Older Person

Substance Misuse

Mental Health Physical or Sensory Impairment

Ethnic origin of alleged victim

White British

White Irish

Other White Background Black Caribbean Black African Any Other Black Background White and Asian White and Black African White and Black Caribbean Chinese Any Other Mixed Background Any Other Ethnic Group Bangladeshi Pakistani Indian

Any Other Asian Background Refused

Gypsy/Roma Information not yet obtained

Traveller of Irish heritage

Place of residence of alleged victim

Own Home Shared Lives Homeless

Residential Home Respite Care Other

Nursing Home Parents/Relatives Not Known

Supported Housing

Type of abuse (please select all categories that apply)

Discriminatory Financial & Material

Neglect or act of omission Physical

Institutional

Psychological Sexual

Location of alleged abuse

Vulnerable Adult‟s Own Home

Vulnerable Adult‟s Relative‟s Home

Residential Home

Nursing Home

Respite Care

Alleged Perpetrator‟s Home

Public Place

Supported Accommodation / Shared Lives

Mental Health In-patient Setting

Acute Hospital

Community Hospital

Other Health Setting (inc Hospice)

Education/Training/Workplace Establishments

Day Centre/Service

Other

Not Known

Is there any child or other vulnerable adult resident at the location where abuse is alleged to have taken place? If YES which relevant agency has been contacted & when?

Yes No

DCS_CONFCM_001




Ethnic origin of alleged perpetrator

White British White Irish Other White Background Black Caribbean Black African Any Other Black Background White and Asian White and Black African White and Black Caribbean Chinese Any Other Mixed Background Any Other Ethnic Group Bangladeshi Pakistani Indian Any Other Asian Background Gypsy/Roma Traveller of Irish heritage Refused Information not yet obtained

Relationship of alleged perpetrator to vulnerable adult

Main family carer Social Care Staff (LA/IND) – Domiciliary

Partner Social Care Staff (LA/IND) – Res/Nursing

Other family member Social Care Staff (LA/IND) – Day care

Friend/Neighbour Social Care Staff (LA/IND) – Social Worker/Care Man

Volunteer/Befriender Social Care Staff (LA/IND) – Self-directed Care Staff

Service/Institution Social Care Staff (LA/IND) – Other

Other vulnerable adult Health Care Worker (any type)

Stranger

Other professional Other (give details in box below)

Not known

ID / NHS No.

Gender:

Date of Birth:

Age (mark “E” if estimate):

Details of Alleged Perpetrator

Name:

Also known as:

Address:

Post Code

Telephone No.

,

Has a referral been made on the alleged perpetrator before?


Tick if “Yes”

Has a referral been made on this service before?


Tick if “Yes”

Does the alleged perpetrator live with the vulnerable adult?

Yes No Sometimes Not known

Other observations regarding the alleged perpetrator and his/her relationship to the vulnerable adult

DCS_CONFCM_001




AND

Source of referral

The vulnerable adult

Vulnerable adult‟s family

Friend / Neighbour

Care Quality Commission

Education/Training/Workplace Establishments

East Midlands Ambulance Service

Housing

Other Service User

Other (including Anon / N.K)

Police

Probation/Criminal Justice

Primary Care (including GP)

NHS Provider Service

NHS Commissioning Service

KGH

NGH

NHT

Social Care Staff (LA/IND) – Domiciliary

Social Care Staff (LA/IND) – Res/Nursing

Social Care Staff (LA/IND) – Day care

Social Care Staff (LA/IND) – Social Worker/Care Man

Social Care Staff (LA/IND) – Self-directed Care

Staff St. Andrews Hospital

Organisations contacted about the allegation (please tick all that apply)

Police PCT

Social Services NHS Trust

Other local Authority Care Quality Commission

Residential Home Provider agency

Domiciliary Care Agency Public Protection Unit (Hate Crimes)

Mental Health Services

Other (please give details)

This form must be completed & forwarded by fax or email to the Adult Care Team on the

same day as you make the referral.

Fax: 01604 236828

Tel: 0845 124 4500

Email: [email protected]

Where there is a safeguarding lead co-ordinator within your own organisation you must also

send a copy of the notification form to this person (please refer to your own organisation‟s

guidance)

mailto:[email protected]


January 2010

13.3 APPENDIX 3: STRATEGY DISCUSSION/MEETING FORM - SA3

Page 61 of 64


DCS_CONFCM_006

Page 1 of 6

Section 1a – Alleged victim (AV) details and concerns.

Is this an institutional

concern?

Service details

Yes No Name

If “yes” complete service

details and move to section

1b – worker details;

If “no” move to AV details

Address

Tel number

AV Name NCC ID

Address

Telephone Gender

DOB Age

Is the AV considered to have the mental capacity to make an informed decision

in relation to this SOVA notification/concern?

Yes involve AV where possible in the strategy discussion/meeting

No Complete:

Mental Capacity Act (2005) 2 stage test at earliest possible opportunity

If deemed not to have capacity please record any best interest decision

Details

Date of Best interest decision

Individuals involved in making the best interest decision

Name Role/Relationship Employing organisation (if

applicable)

Does the AV have an advocate?

Yes No Not required Refused

If “yes” please provide details

Safeguarding Adults Strategy Discussion/ Meeting Form Form: SA3 This form is to be completed by whoever leads the Strategy discussion/meeting

DCS_CONFCM_006

Page 2 of 6

IMCA Other formal advocate Informal (family/friend)

Name

Organisation & Address

Tel no.

Section 1b – Worker details.

Worker leading

strategy

discussion/meeting

Organisation

& Contact

address

Job role Tel no

Date of SOVA notification/referral

Date of strategy discussion/meeting

Section 2 – Involvement in strategy discussion/meeting.

Has the AV been given the opportunity to attend or provide information for this

strategy discussion?

Yes Deemed “No capacity”

No N/A – other vulnerable adults/children

at risk

Ensure the funding authority has been consulted and are aware of the SOVA

and are involved in the strategy discussion/meeting if possible

Please list the details of those involved in the strategy discussion/attending the

strategy meeting

Name Job role Organisation (if applicable)

Please list the details of those who gave apologies to the meeting or who were

contacted but not available at the time of the discussion


DCS_CONFCM_006

Page 3 of 6

Section 3 – The safeguarding concern.

Please indicate any desired outcomes the AV hopes will be achieved by the

safeguarding intervention. (Please ensure these outcomes, wherever possible are

SMART: Specific, Measurable, Achievable, Relevant and have a Timescale). Where

the AV is able to give desired outcomes in their own words this should be

indicated by quotation marks (“ “). It may be difficult to make outcomes SMART

in these instances but precedence should be given to recording the AV’s views

in their own words.

Information obtained/shared as part of strategy discussion/meeting (please

indicate the source of the information if specific)

Information Source

Summary of risks identified

Is a protection plan required to manage risks?

Yes Complete safeguarding protection plan form: SA4

No Please provide a justification as to why a safeguarding protection

plan is not required in this instance

DCS_CONFCM_006

Page 4 of 6

Section 4 – Outcome of strategy discussion/meeting.

Please select one option only and complete further information section to justify

reason and complete any actions required in the grey shaded areas.

Is it possible to reach a safeguarding outcome decision without further

investigation? (NB the option of “not determined” is not available. If it is not possible

to determine whether abuse has occurred at this stage further investigation should

follow)

No SOVA investigation required Identify lead organisation/worker

complete section 5 – Investigation plan

Police investigation Police investigation takes precedence,

Please indicate

crime/incident reference no:

however it may be possible to jointly

investigate through negotiation with the

police. Complete section 5 - investigation

plan

Complete sec 6 of this form - authorisation

Yes please indicate appropriate “no further action” outcome and complete

relevant outcome actions

Substantiated Partially Substantiated Not Substantiated

No further action under safeguarding procedures

NFA within safeguarding procedures

(not a regulated/commissioned

service)


(regulated/commissioned service) –

provider information passed to

commissioning/contracts

Other

Complete sec 6 of this form (authorisation)

Complete safeguarding outcome form SA6

Pass safeguarding information to

commissioning / contracts

Complete Sec 6 of this form - authorisation

Complete safeguarding outcome form SA6

Further details

Are other vulnerable adults potentially

at risk either individually or as a result Or

of institutional concerns?

Are there any potential concerns

Raise individual notifications

Raise institutional notification

Alert your line manager and refer as

regarding the welfare or safety of

children?

appropriate to the police & children’s services

DCS_CONFCM_006

Page 5 of 6

Section 5 – Investigation plan (if required).

If safeguarding investigation required please provide further details

Lead organisation

Name Tel no.

Case Lead (manager)

Lead investigator

(practitioner)

Initial plan for investigation

(this is not an exhaustive list & the plan will develop as the investigation is progressed)

Continue investigation using appropriate safeguarding investigation report: SA5

Complete sec 6 of this form (authorisation)

Complete sec 7 of this form (information sharing)

DCS_CONFCM_006

Page 6 of 6

Section 6 - Authorisation

Lead worker completing strategy

discussion/meeting form (name

& job role)

Signature Date

Counter-signature: strategy

decisions (name & job role)

Signature Date

Section 7 – Information sharing

Where appropriate a copy of this form should be forwarded to the people

involved in the strategy discussion/meeting and to other individuals and/or

organisations that may have a safeguarding interest in this case for their

records. Please give details of relevant parties provided with a copy of this form:



January 2010

13.4 APPENDIX 4: PROTECTION PLAN FORM - SA4 (TEMPLATE)

Page 62 of 64


of 3

DCS_CONFCM_008

Section 1a – Alleged victim details and concerns.

Is this an institutional concern? Service details

Yes No Name

If “yes” complete service details and move to

section 1b – worker details;


Address

Tel number

AV Name NCC ID

Address

Telephone Gender

DOB Age


Worker Organisation

completing & Contact

protection plan address

form

Job role Tel no

Date of SOVA notification

Date of protection plan

Safeguarding Adults protection plan Form: SA4 This form is to be completed by the worker identified in section 1

of 3

Section 2 – Involvement in protection planning.

Please list the details of those involved in the development of the protection plan.


Section 3 – The protection plan.

Concern

Action Plan to address Risk

Expected Outcome

Responsibility

& timescale

of 3

Where this is a protection plan relating to an individual person please indicate any desired outcomes the AV hope will be

achieved by the safeguarding intervention. (Please ensure these outcomes, wherever possible are SMART: Specific,

Measurable, Achievable, Relevant and have a Timescale). Where the AV is able to give desired outcomes in their own words

this should be indicated by quotation marks (“ “). It may be difficult to make outcomes SMART in these instances but

precedence should be given to recording the AV’s views in their own words.

Further Information

Please record any further guidance or information in relation to the implementation of this protection plan as appropriate.

Section 4 – Information sharing .

Where appropriate a copy of this form should be forwarded to the people involved in protection planning and to other

individuals/organisations that may have a safeguarding interest in this case for their records. Please give details of

relevant parties provided with a copy of this form:



January 2010

13.5 APPENDIX 5: INVESTIGATION REPORT - SA5 (TEMPLATE)

Page 63 of 64


DCS_CONFCM_009

Page 1 of 7

Section 1a – Alleged victim details and concerns.

Is this an institutional

concern?

Service details

Yes No Name

If “yes” complete service

details and move to section

1b – worker details;


Address

Tel number

AV Name NCC ID

Address

Telephone Gender

DOB Age


Worker Organisation

leading & Contact

SOVA address

investigation

Job role Tel no

Date of SOVA notification

Date of strategy discussion/meeting

Safeguarding Adults Investigation report Form: SA5 This form is to be completed by the Lead investigator of the safeguarding concern

DCS_CONFCM_009

Page 2 of 7

Section 2 – Contents of investigation report.

Section 1 Alleged victim details and concerns

Section 1a Worker details

Section 2 Contents of investigation report

Section 3 Main investigation report

- Background

- Chronology

- Method(s) of investigation

- Investigation summary

- Continuing risk factors identified

- AV’s desired outcomes

- Conclusion (including investigator decision of outcome)

Section 4 Outcome of safeguarding investigation

Section 5 Authorisation

Appendix of

evidence

( please list

attached

evidence or

detail where

evidence is

available

from

should it be

required)

Evidence Date

obtained Description Available from

(e.g. photographic evidence) (e.g. Acute hospital

record, patient number:

12345 – Northampton

general hospital or

“attached in appendix”)

DCS_CONFCM_009

Page 3 of 7

Section 3 – Main investigation report.

Background

Chronology

Method(s) of investigation

Investigation summary

Continuing risk factors identified

DCS_CONFCM_009

Page 4 of 7

Alleged victims desired outcomes:

Please indicate any desired outcomes the AV hope will be achieved by the

safeguarding intervention. (Please ensure these outcomes, wherever possible are

SMART: Specific, Measurable, Achievable, Relevant and have a Timescale). Where

the AV is able to give desired outcomes in their own words this should be

indicated by quotation marks (“ “). It may be difficult to make outcomes SMART in

these instances but precedence should be given to recording the AV’s views in

their own words.

Conclusions (including lead investigators recommendation for outcome)

On the balance of probability the lead investigator recommends the SOVA

outcome is recorded as:

Substantiated Partially substantiated

Not determined Not substantiated

DCS_CONFCM_009

Page 5 of 7

Section 4 – Outcome of safeguarding investigation.

Please record lead investigators recommendation of actions required following SOVA

investigation.

Investigation complete - Further Action required under safeguarding procedures

Is a protection plan required as a matter

of urgency

Does a case conference need to be

convened

Complete protection plan form SA4

Complete sec 5 of form - authorisation

Convene case conference


Police investigation Ensure police referred to investigate


Investigation complete - No further action required under safeguarding procedures

Protection plan to be incorporated into

ongoing care plan and review

arrangements

NFA within safeguarding procedures (not

a regulated/commissioned service)

Complete or amend protection plan form

SA4 and ensure relevant aspects are

incorporated into day-to-day care plans


Complete safeguarding outcome form


(regulated/commissioned service) –

provider information passed to

commissioning/contracts

Pass safeguarding information to

commissioning / contracts


Complete safeguarding outcome form

Other

Further details

Are other vulnerable adults potentially at

risk either individually or as a result of Or

institutional concerns?

Are there any potential concerns

regarding the welfare or safety of

children?

Section 5 - Authorisation

Raise individual notifications

Raise institutional notification

Alert your line manager and refer as

appropriate to the police & children’s

services

Lead worker completing

investigation form (name & job

role)

Signature Date

Manager authorising

investigation form (name & job

role)

Signature Date

DCS_CONFCM_009

Page 6 of 7

Section 6 – Information sharing

Where appropriate a copy of this form should be forwarded to the people

involved in the strategy discussion/meeting and to other individuals and/or

organisations that may have a safeguarding interest in this case for their

records. Please give details of relevant parties provided with a copy of this form:


DCS_CONFCM_009

Page 7 of 7

Appendix.


January 2010

13.6 APPENDIX 6: OUTCOME FORM – SA6 (TEMPLATE)

Page 64 of 64


DCS_CONFCM_007

Outcome Form - SA6 Adult Protection


‘This document contains information which is CONFIDENTIAL and may also be privileged. It is for the exclusive use of the inte nded recipient(s). If you are not the intended recipient(s) please note that any form of distribution, copying or use of this document or the information in it is strictly prohibited and may be unlawful.’

Details of Alleged Victim

ID / NHS No.:

Name:

Also Known as:

Address:

Post Code

Tel:

DoB: Marital Status:

Gender: Religion:

Ethnicity:

Language:

Communication Issues: Yes No

Date of original referral: Date of Outcome decision:

On the balance of probabilities was the allegation: No Further Actioned

Substantiated? Not substantiated?

Partially substantiated? Not determined/Inconclusive?

Date of Protection Plan: Was the Protection Plan accepted by the vulnerable adult?

Yes No Deemed no capacity

Outcome for vulnerable adult/safeguarding plan

Removed from property/service

Community Care assess / services

Management of access to finances

Management of access to alleged perpetrator

Application to change appointeeship

Move to increased/different care

Court of Protection

Counselling / Training

Referral to Advocacy

Civil action

Increased monitoring

Referral to MARAC

Guardianship/use of M.H.Act

Review of SDS (any)

No further action

Referral to Domestic Violence Service

Other (please specify)

Record vulnerable adult’s or advocate’s view of the outcome ideally in their own words or from

observation: e.g. I feel safe…. / I still feel at risk… / I did not want any action taken…. / eating better …

Quote/Observation: “

”

STRATEGY MEETINGS AND CASE CONFERENCES

Please record date(s) of and number per case: Strategy

discussion/meeting(s) Review meetings

Case conferences Institutional concerns meetings

If institutional concerns meeting(s) were held, regarding what type of establishment?

Name of lead agency to supervise Protection Plan:

Date of Protection Plan Review: Responsible for review:

Person Completing Outcome Form

Name:

Title/Role:

Address:

Post Code

Tel:

Email:

Person Completing Original Notification Form:

Name:

Date:

Team/Org/ Provider:

DCS_CONFCM_007

Outcome Form - SA6 Adult Protection


‘This document contains information which is CONFIDENTIAL and may also be privileged. It is for the exclusive use of the inte nded recipient(s). If you are not the intended recipient(s) please note that any form of distribution, copying or use of this document or the information in it is strictly prohibited and may be unlawful.’

Date informed of Outcome decision (Parties below should normally be informed; else put “N/A”)

Date By whom

Vulnerable adult

Carer

Staff member

Referrer

Details of person completing this form following their investigation:

Name: Date:

Designation: Office location:

Team: Phone number:

Signature:

Team/Provider/Organisation- Investigator’s line manager’s confirmation that the investigation has been completed and outcomes agreed and dated.

Name: Date:

Designation: Office location:

Team: Phone number:

Signature:

NCC Service Manager sign-off

Name Date

Signature

Further work required / planned (include timescales):

Outcomes for Alleged Perpetrator / Organisation / Services

Police action

Referral to registration body

Removed from property / service

Action by Care Quality Commission

Criminal prosecution / Formal Caution

Indep. Safeg. Auth (formerly POVA list).

Management of access to vulnerable adult

Management action e.g. supervision / training

Community Care assess / services

Continued monitoring

Disciplinary action

Carers’ assessment offered

Counselling/Training/Treatment

Referral to Court Mandated Treatment

Referral to MAPPA

Action under M.H. Act 1983 or 2005

Action by Contract Compliance

Exoneration

Other (please specify)

Not known

No further action

This form plus supporting documentation i.e. protection plan, investigation report, meeting minutes, etc. must be sent to the Safeguarding Adults Team immediately when the investigation is complete to enable NCC sign- off. The information is also used for quality assurance and statistical analysis and is a vital data source for Department of Health reporting.

Please send to: Safeguarding Adults Team, Northamptonshire County Council, Oxford House,

West Villa Road, Wellingborough, Northants NN8 4JR FAX: (01933) 220768

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