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Local ASP Procedures

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Adult support and protection enquiries and investigations are undertaken by NHS Highland Adult Social Care Professionals who work in partnership with Police Scotland and Highland Council and other agencies. This work is overseen by the Highland Adult Protection Committee.

1. Introduction

Welcome to the Highland Adult Protection Local Procedures webpage – “Local Practice in Highland”.

Comprehensive Practice Guidance for the Adult Support and Protection (Scotland) Act 2007 is contained within its Code of Practice, July 2022. It is important that professionals – officers from the Council, Health Board and Police - refer directly to the Code of Practice when they are performing functions under the Act.

Information on this webpage relates to our local, multi-agency and multi-disciplinary Highland procedures and practices which partners use to co-ordinate the protection of adults at risk in our Area. In particular, the information provided details the procedures and practices which involve co-operation between the local authority (as effected by the Highland Council and NHS Highland Adult Social Care) and its other local partners. These local procedures therefore address:

  • referral and initial response;
  • inquiry, including an investigatory stage if required;
  • assessment and risk assessment;
  • adult protection conferences and protection planning;
  • risk and protection planning monitoring; and
  • risk and protection plan review.

Note: the following links are to documents which are essential to our local procedures:

Scottish Government - ASP Code of Practice

Adult Support and Protection (Scotland) 2007 Act

2. Referral and Initial Response

2.1 What is Harm?

Section 53 of the Adult Support and Protection (Scotland) Act 2007 states that "harm" includes all harmful conduct and gives the following examples:

  • conduct which causes physical harm
  • conduct which causes psychological harm (e.g. by causing fear, alarm or distress)
  • unlawful conduct which appropriates or adversely affects property, rights or interests (eg theft, fraud, embezzlement or extortion)
  • conduct which causes self-harm

The list is not exhaustive and no category of harm is excluded simply because it is not explicitly listed. In general terms, behaviours that constitute harm to a person can be physical, sexual, psychological, financial, or a combination of these. The harm can be accidental or intentional, as a result of self-neglect, neglect by a carer or caused by self-harm and/or attempted suicide.

  • Other forms of harm

These can include domestic abuse, gender-based violence, forced marriage, female genital mutilation (FGM), human trafficking, stalking, scam trading and hate crime. Some such cases will result in adults being deemed as at risk of harm under the terms of the Act, but this will not always be the case.

Evidence of any one indicator should not be taken on its own as proof that abuse is occurring. Conversely, individuals may well be subject to more than one type of abuse at a time. Practitioners should consider making further assessments, consider other associated factors, and consider making relevant and appropriate referrals in order to support and safeguard the individual concerned.

Further details about types of harm:-

Social Care Institute for Excellence - types and indicators of abuse

ASP Code of Practice - excerpt re Harm

2.2 Share an Adult Protection Concern

Important: Report an Adult Protection concern - for Professionals and Partner Agencies

If you are a health or social care worker, a professional or a member of a partner agency wishing to report an Adult Concern, please use the following link to information about how to do this:

NHS Highland Adult Protection - Report an Adult Protection Concern

In cases of Urgency please phone the local Adult Social Work Team

If someone is in imminent danger a call to the emergency services may be required.

2.3 Initial Responses in a Case of Urgency

2.3.1 Initial Referral Discussions

Following a referral to the appropriate Adult Social Work Team which suggests that an adult may immediately need protective actions taken on their behalf, discussions (referred to in these procedures as “initial referral discussions”) will occur, usually by phone or on “Teams”, in relation to the adult at risk between the Nominated Officer Social Work (usually the Team Manager) and the following officers:

  • Nominated Officer Health
  • Nominated Officer Police

Document: the Nominated Officer

Where necessary and appropriate these discussions will also include representation from other partner agencies – including those involved in providing a service to the individual or with an interest in the adult’s welfare.

The purpose of these Initial Referral Discussions will be to:

  • Establish what information agencies already have about the people involved and what further information is required
  • Share all available information in order that it can be determined whether criminal investigation is indicated
  • Establish where there is evidence that the adult meets the “3 point test” criteria
  • Establish whether there are capacity/mental health or mental disorder issues requiring the input of the Mental Health Officer service.
  • Consider what kind of investigation should be undertaken, who should be involved and which agency has the lead role. This should include consideration of the need for interviews, medical examinations and examinations of records under the Adult Support and Protection (Scotland) Act 2007
  • Consider whether any urgent protection orders or warrants under the 2007 Act are indicated; or whether interventions using other acts may be indicated
  • Decide whether a Large Scale Investigation is indicated because potentially more that one adult at risk may be involved.

Following on from the Initial Referral Discussions decisions will be made on the most appropriate course of actions, these will include:

  • No further action
  • Referral to appropriate agencies
  • Exploration of social support via needs assessment / personal outcome planning processes;
  • Pursue interventions using other Scottish protective legislation (e.g. Adults with Incapacity (Scotland) Act 200 and/or Mental Health (Care and Treatment) (Scotland) Act 2003)

Inquire/Investigate under the Adult Support and Protection (Scotland) Act including appointing a Council Officer and pursuing protective actions and orders as required.

See also:

Document: Mental Health Officer Service & ASP

ASP Code of Practice excerpt Re Council Duties

3. Inquiry, including an investigative stage, if required

The Adult Support and Protection (Scotland) 2007 Act, Section 4, places a duty on us to make inquiries about an adult at risk's well-being, property or financial affairs where we know or believe that we may need to intervene to protect the adult's wellbeing, property or financial affairs.  Please note - The Adult Support and Protection (Scotland) Act 2007 (the Act) revised Codes of Practice (COP) indicate that an inquiry can be undertaken by a non-Council Officer, unless there is a need to use investigative powers.  

 

The COP stipulates that ‘Good practice would ensure that a Council Officer is involved in overseeing or supervising all activity relating to the Act’ (Pg. 48, ASP Code of Practice). For more information on the Non Council Officers role in the inquiry please see the following document:-

 

Document: Oversight Of Non Council Officers Guidance

 

Non-Council Officers undertaking inquiries must be supported by a Council Officer (who could be a frontline practitioner or manager*) regarding their ASP role and the related tasks involved in the inquiry work, supporting the non-Council Officer to adhere to local ASP procedures.  

 

Once non-Council Officers have completed the tasks required as part of the desk-top inquiry, their findings should be reviewed by a Council Officer and/or a manager

 

An Inquiry is seen as the overarching process within which the investigatory powers set out in the Act may be used to enable us to fulfil our obligations to conduct inquiries.

 

Initial information gathering might determine whether or not further action is required under our ASP processes. Where information gathering finds no evidence to suggest there may be an adult at risk, then inquiries would cease. However, other support or intervention activity may still be required, including onward referrals and provision of services to the adult.

 

All decision making and reasoning should be recorded on the appropriate CareFirst Assessment form (CareFirst 1&2 Assessment form). 

3.1 Initial Inquiry

When an Adult Social Work Team becomes aware of a new concern, the Nominated Officer for Social Work will ensure information is gathered in respect of the circumstances described to seek to determine whether there is an “Adult at Risk of Harm” in need of protection. The purposes of the Initial Inquiry will be to:

  • establish what information agencies already have about the people involved and what further information is required
  • share all available information in order that it can be determined whether a criminal investigation may be required
  • establish whether there is evidence that the adult meets the “3 point test” criteria
  • establish whether there are capacity/mental health or mental disorder issues requiring the input of the Mental Health Officer service
  • consider what kind of investigation should be undertaken (if any), who should be involved and which agency has the lead role. This should include visits, interviews, medical examinations and examinations of records under the Adult Support and Protection (Scotland) Act 2007
  • consider whether any urgent protection orders or warrants under the Adult Support and Protection (Scotland) Act 2007 or interventions under other legislation may be required
  • decide whether a large scale inquiry is needed because potentially more than one adult at risk is involved (or adults and children)

Good practice suggests that these inquiries should be carried out by a Council Officer – however other members of Social Work staff may collect Initial Inquiry information if necessary. If, at this stage, there is evidence to suggest a crime may have been committed then this must be reported to the Nominated Office Police via the Nominated Officer Social Work.

Once the Initial Inquiry is complete (and recoded on CareFirst ASP1 form) a decision will be made on the most appropriate course of action. This decision will be made between the Nominated Officer Social Work and the following officers:

  • Nominated Officer Health
  • Nominated Officer Police

Document: the Nominated Officer

Document: Mental Health Officer & ASP

The outcome of the Initial Inquiry will be recorded on the CareFirst ASP2 Assessment form, and can include:

  • No further action
  • Referral to appropriate agencies
  • Exploration of social support via needs assessment / personal outcome planning processes;
  • Pursue interventions using other Scottish protective legislation (e.g. Adults with Incapacity (Scotland) Act 200 and/or Mental Health (Care and Treatment) (Scotland) Act 2003)
  • Inquire/Investigate under the Adult Support and Protection (Scotland) Act including appointing a Council Officer and pursuing protective actions and orders as required

Document: ASP Timescales

3.2 Investigative Activity (The Investigation)

If, after the Initial Inquiry, it is decided that there is evidence to suggest that we may need to intervene to protect the adult's wellbeing, property or financial affairs, then further exploration, including a comprehensive risk assessment, will be needed to determine the nature of the intervention(s) and safeguarding activity to be progressed. In Highland this is part of the process is called “The Investigation”.

Pursuing an Investigation may result in us using the investigatory powers within Sections 7 to 10 of the Act.  These powers may also be necessary to ascertain if the adult is at risk, prior to the determination of the interventions required.

Investigative activity seeks to elicit more detailed information to contribute to decision making, risk assessment, and protection planning.

An adult protection Investigation will contain any, or all, of the following elements, all of which require the involvement of a Council Officer:

  • a visit
  • an interview with the adult
  • a medical examination of the adult (including assessment of Capacity)
  • the examination of records
  • the collection of other pertinent information
  • The completion of a Needs and Risk Assessment [See Chapter 4 below]

Document: Capacity Assessment Request Form

See also Chapter 3.3.4 of these procedures.

Investigation activity should be carefully planned and managed to ensure that:

  • all available information is gathered and considered against the respective domains of risk
  • the adult is fully supported to participate
  • any medical evidence and medical intervention is provided
  • Where further evidence/information is collected which suggests that a crime may have been committed this is reported immediately the Nominated Officer Police
  • Where further evidence/information is collected which suggests that the individual does or does not definitively meet the “3 Point Test” criteria this is reported to the Nominated Officer Social Work
  • appropriate arrangements can be made for support for, and protection of, the adult, by performing functions under the Act or otherwise
  • Involvement of other agencies

3.2.1 Involvement of Other Agencies

In conducting an Investigation the Council Officer may be assisted through various sources, for example statutory bodies and independent and third sector providers.

Where inquiries under s.4 have indicated that a criminal offence may have been committed against the adult, this should be reported to the Nominated Officer Police at the earliest opportunity. The role of the police in investigating crime should not be compromised. Particularly important is ensuring that evidence is not destroyed or contaminated before the police arrive at the scene.

However, this does not remove our collective responsibility to take any immediate action to protect the adult at risk in such cases, but any proposed action should be taken in consultation with the Nominated Officer Police.

The adult should be kept fully informed at every stage of the process in a manner or format which best suits their needs. Any reason why this does not or cannot happen should be recorded.

3.2.2 Where an adult at risk declines to participate

An adult may seem to meet the criteria of an adult at risk under the terms of the act, but may decline any support and/or protection.

Such a decision does not absolve us and/or our partners of our responsibilities to investigate the adult's circumstances and the degree of risk. Furthermore, our investigations should consider the adult's capacity to understand the risks they are exposed to and the possible consequences of not engaging with investigations, risk assessment, or protective interventions.

Practitioners should retain a trauma informed approach when considering reasons for an adult not engaging and remain alert to the possibility that undue pressure might have contributed to a decision to refuse co-operation.

Even where there are no concerns in relation to capacity or undue pressure, the adult's refusal to co-operate in an adult protection investigation should not automatically signal the end of any investigation, assessment or intervention.

Whilst the adult has a right not to engage in the ASP processes, we and our partners should still work together to offer any advice, assistance and support to help manage any identified significant risks. Such assistance should be proportionate to the risk identified and any need to support carers' needs should also be considered.

3.3 Interviews

3.3.1 What is an interview?

Section 8 of the 2007 Act permits a Council Officer, and anyone accompanying the officer, to interview an adult in private within the place being visited as part of the Investigation.

This power applies regardless of whether a sheriff has granted an assessment order authorising the Council Officer to take the person to another place to allow an interview to be conducted.

The purpose of an interview is to enable or assist us to decide whether we need to do anything to protect an adult at risk of harm. This includes:

  • establishing if the adult has been subject to harm
  • establishing if the adult feels their safety is at risk and from whom
  • discussing what action, if any, the adult wishes or is willing to take to protect themselves
  • determining whether the adult is at risk of harm
  • officers conducting interviews must ensure appropriate recording of the content of the interview and any decisions made by the adult including those about who attends e.g. a family member. Local policies give guidance to such officers on the methods and formats of recording.

ASP Code of Practice - excerpt re Interviews

3.3.2 Where can an adult be interviewed?

An interview may take place within any place being visited, e.g. the adult's home, a day centre, care home or hospital. The decision about where to conduct the interview will be taken by the Council Officer and all those involved in planning of the Investigation on the basis of information received. This will involve a judgement based on the wishes of the adult themselves and ensuring that the adult can participate as fully and freely as possible. The Council Officer should also consider if an independent advocate should be in attendance to assist the adult with the interview.

The timing of the interview should be a planned component of the Investigation, taking into account again the extent to which the timing will enable the adult to participate as fully and freely as possible.

3.3.3 Consideration of the adult's rights

Section 8(2) of the 2007 Act provides that the adult is not required to answer any questions, and that the adult must be informed of that fact before the interview commences. The adult can choose to answer any question but cannot be forced to answer any question that they do not want to answer. Support must be provided where necessary in order to enable the adult to come to a decision on whether to answer any questions, e.g. where they have some level of incapacity.

The adult must be assisted to participate as fully as possible in any interview(s). Where an adult can make some contribution (or participate to some extent) then the planning process for the interview must consider all appropriate ways of assisting the person to participate. This might include the use of communication aids, the location of the interview and the personnel present during an interview. The purpose of supports will be to assist the adult to make a contribution whilst always protecting the rights of the adult.

An adult might not fully understand the purpose of the interview and the possible consequences but may be able to contribute in some way. In such situations the planning process must give careful consideration to ensuring the adult can make a contribution, while also protecting the adult's rights. Independent advocacy or the presence of other supports/people are options the planning process could consider.

The point of seeking the consent of the adult to be interviewed is to ensure that the adult is given appropriate opportunity and encouragement to answer questions whilst also respecting their right not to.

Section 35(6) does not permit the Council Officer or medical practitioner to ignore an adult's refusal to be interviewed or medically examined even after an assessment order has been granted.

3.3.4 Capacity

Someone's capacity can vary over time and in respect of different types of decision making. Capacity is relevant in relation to the ability to consent to, e.g. a medical examination, or to take decisions relating to care arrangements, or financial dealings. Capacity applies to both decision making and the implementation of decisions. A person can have the capacity to make a particular decision but through illness or infirmity may not have the physical capacity to implement that decision.

In seeking advice regarding a person's capacity it is important that the determination of capacity is specific in relation to which areas of decision making and executive action the person may lack capacity.

The following factors may be considered where there is doubt about the adult's mental capacity:

  • does the adult understand the nature of what is being asked and why?
  • is the adult capable of expressing their wishes/choices?
  • does the adult have an awareness of the risks/benefits involved?
  • can the adult be made aware of their right to refuse to answer questions as well as the possible consequences of doing so?

The possible scenarios that may emerge include the following:

  • the adult has capacity and agrees to be interviewed
  • the adult has capacity and declines to be interviewed
  • the adult lacks capacity and is unable to consent to being interviewed
  • the adult has capacity but is thought to have been influenced by some other person to refuse consent

3.3.5 Participation

A lack of capacity to consent to being interviewed does not automatically prevent the adult participating in the interview process. The principle of the adult participating 'as fully as possible' should be adhered to. Additionally, if the adult is thought to have been influenced to refuse consent, consideration should be given to whether there has been 'undue pressure' applied and therefore a need to consider application for an assessment order.

We also have to promote the adult's participation in the interview by taking account of the adult's needs where these are identified, for example:

  • communication skills or attention span
  • sensory impairment
  • the adult's first language being other than English any other relevant factors

Where applicable, consideration should be given to

  • a specialist in sign language or other form of non-verbal communication such as "Talking Mats"
  • a language interpreter
  • an independent advocate
  • an appropriate adult where police are interviewing an adult who would meet the definition of a mental disorder under the Mental Health (Care and Treatment) (Scotland) Act 2003
  • a family member or carer to help communication

3.3.6 Can others be present at the interview?

It is good practice to ask an adult if they would wish another person to be present during the interview, e.g. a family member, paid carer or an independent advocacy worker.  This should be facilitated where possible.

Section 8 of the 2007 Act allows a Council Officer, and any person accompanying the officer, to interview the adult in private. The appropriateness of using this option will be decided on the basis of whether it would assist in achieving the objectives of the Investigation. The Council Officer or persons accompanying them may decide to request a private interview with the adult where:

  • a person present is thought to have caused harm or poses a risk of harm to the adult
  • the adult indicates that they do not wish the person to be present
  • it is believed that the adult will communicate more freely if interviewed alone
  • there is a concern of undue influence from others

3.3.7 Interviewing others

Section 8 of the 2007 Act allows the interviewing of any adult found in a place being visited under s.7 of the act. In some circumstances it may be in the interest of the adult for another person to also be interviewed, e.g. someone who shares their home with the adult or, in a regulated care setting, a care worker. Provision exists under s. 8(2) that anyone so interviewed is not required to answer any questions, and that they are informed of this before the interview commences.

4. Assessment and Risk Assessment

Completing a Risk Assessment and, where necessary, a Needs Assessment are key components of completing the Investigation.

4.1 Risk Assessment

To ensure robust risk assessment, any reports generated as part of, or at the conclusion of, the Investigation should include all relevant information and a chronology, to be completed by the Council Officer. An analysis of risk and the adult's ability to safeguard themselves are important. Reports should also include information pertaining to significant others in the adult's life, and provide a clear overview of the risks, vulnerabilities and protective factors, as well as the adult's views.

The recorded Risk Assessment (CareFirst ASP 3 Assessment form) completed by the Council Officer will include a recommended risk management plan. This can be developed at any point throughout the adult support and protection activity and should be updated to reflect emergent risks and relevant information.

The recommended risk management plan should clearly outline the risks: it should reflect multi-agency views, including concerns, as they become apparent. The CareFirst ASP 3 Assessment Form should also record what action is already being taken to mitigate the risks identified. The completed Risk Assessment will be available at the Case Conference to support Protection Planning there.  (See also Chapter 5 of these local procedures).

The Council Officer should record the following within the CareFirst ASP3 Assessment form:

  • Details on the adult’s communication, capacity and involvement needs
  • A chronology of significant events
  • An analysis of the current risks and concerns
  • A description of the current risks
  • Their assessment of the risks in relation to severity and likelihood
  • Their recommendation in relation to whether a Case Conference is necessary
  • Their recommendations in respect of the development of a support and protection plan (that can be single or multi-agency), that identifies actions and supports that will eliminate or reduce the risks identified and address needs
  • A record of actions already taken.

The Nominated Officer Social Work will receive the CareFirst ASP 3 Assessment form containing the Council Officer’s assessment of risk and recommendations as a result of their Investigation. The Nominated Officer Social Work will determine the Outcome of the assessment; these include;

  • Case Conference to be arranged
  • Support planning process to be initiated
  • Other legislation to be deployed

Document: ASP Timescales

IRISS - Working Together to Improve Adult Protection - Risk Assessment & Protection Plan

4.2 Needs Assessment

In many cases, good needs assessment processes and personal outcomes planning exist side by side with the risk assessment and protection planning processes. Meeting needs can be seen to be mutually inclusive within the risk assessment/ protection planning process and can be considered both at the Risk Assessment/ Investigation and the Protection Planning / Case Conference stages (CareFirst ASP3 and ASP4 Assessment forms). Ultimately adults in need of protection not only live their lives in the context of risk, they also live their lives in the context of need: therefore our processes must not only assess the need for protection they must also assess the need for care and support. In accordance with the Principles of the 2007 Act we are charged with working in the least restrictive way, and, where possible, prevent the need for formal powers – good needs assessment and creative personal outcomes planning can contribute to this and support good protection planning.

Also, the result of Initial Inquiries and Investigations can conclude that the adult does not meet the “3 point test” criteria and is therefore not an adult at risk of harm in need of protection. At this point there needs to be consideration by the Nominated Officer Social Work of whether the individual has needs which still be require to be met outside of the provisions of the Act, these include consideration of: other supports or involvement through other relevant legislation, invoking other local procedures, or arranging alternative services to respond to the individual's needs.

4.3 Chronologies

A chronology is:

  • a summary of events key to the understanding of need and risk, extracted from comprehensive case records and organised in date order
  • a summary which reflects both strengths and concerns evidenced over time
  • a summary which highlights patterns and incidents critical to understanding of need, risk and harm
  • a tool which should be used to inform understanding of need and risk. In this context, this means risk of harm to an adult

A chronology may be either single-agency or multiple-agency.

A multi-agency chronology must comply with information sharing guidance and protocols in the way that it is developed, held, shared and reviewed; reflecting information sharing guidance in this document, including duties to cooperate under s.5 of the Act. It must be accurate, relevant and proportionate to purpose.

A multi-agency chronology:

  • is a synthesis which draws on single-agency chronologies
  • reflects relevant experiences and impact of events for the adult
  • will include turning points, indications of progress and/or relapse
  • will inform analysis, but is not in itself an assessment
  • may evolve in a flexible way to integrate further necessary detail
  • may highlight further assessment, exploration or support that may be needed
  • is a tool which should be used in supervision

All chronologies:

  • are not comprehensive case records and cannot substitute for such records
  • are not lists of exclusively adverse circumstances

A multi-agency chronology is most likely to be developed by the Council Officer as part of inquiries, to contribute to the risk assessment and subsequent decisions. Contribution to the chronology is a collective responsibility. Forming a chronology should assist a shared understanding with and between those involved in the risk assessment, as well as to contribute to any subsequent support and protection plan, if appropriate. The perspective of the subject of the adult protection process should be explored to gain understanding of the impact of events and to check their perception of accuracy.

The format of a chronology should record purpose, authorship and date of completion. It should include the nature and sequence of events; outcomes or impact on the adult; sources of information; and responses to events as necessary for the purpose of this adult support and protection assessment.

IRISS - Chronologies in ASP - Moving from Current to Best

Care Inspectorate - Practice Guide to Chronologies

ASP Code of Practice - excerpt re Chronologies

Document: Chronology Template (Word docx format)

5. Adult Protection Case Conferences (including review conferences) and Protection Planning

Subsequent to an Initial Inquiry and Investigation - and where the outcome of the Investigation is that the adult is considered to be an adult at risk and in need of protection - the Council Officer’s Risk Assessment and recommendations, alongside an up to date and well balanced inter-agency chronology, will be considered by an interagency Adult Protection Case Conference. Here the engagement of the adult and all relevant agencies in the assessment of risks and strengths, and in planning for next steps, is sought.

A Case Conference should be held within 21 days of an Adult Concern being recorded (ASP1&2).

A report from the Council Officer detailing their Investigation should be made available to an Adult Protection Case Conference. [The CareFirst ASP 3 Assessment Form can be exported as a PDF document to facilitate this; albeit the Chair of the Conference will need to be clear about what information can and should be shared with those attending].

Document: LP - Professional Report For ASP Case Conference

The Case Conference aims to bring together all relevant agencies and parties. Its task is to form a coherent Protection Plan which will clearly demonstrate what support and protection measures are being put in place where, when and why [CareFirst ASP 4 Assessment form].

The ASP 4 records invitees, participants, participants’ views, some discussion and the Protection Plan (where the meeting considers one necessary). Part of the Protection Plan may be the need to convene a core group to ensure protective and supportive actions are progressed timeously

In Highland it is ordinarily the Adult Social Care Review Team (ASCRT) which provides a Chair for Adult Protection Care Conferences. The Single Operating Procedure for accessing a Chair is provided here:

Document: AP Case Conferences - Criteria for ACRT

Occasionally a member of the ASCRT will not be available within timescales. At this point an alternative Chair will need to be identified. This Chair will be a senior social worker at Team Manager Level or above. The chairing role requires someone who is well-versed in the Act and should have significant experience in adult protection practice. They should have sufficient authority, skill and experience to carry out the functions of the chair; and be able to challenge all contributing services on progress in supporting and/or protecting the adult at risk of harm.

The initial Case Conference itself – via the Chair – will determine the period between it and the Review Case Conference. This is dependent on the individual’s circumstances and therefore flexible - up to a maximum period of 3 months. A Review Case Conference is recorded on the ASP5 electronic form.

5.1 The Chair's role

The Chair’s role includes

  • agreeing who to invite and ensuring that all persons invited to the case conference (or review case conference) understand its purpose, functions and the relevance of their particular contribution
  • sharing with the adult the nature of the meeting, and possible outcomes
  • ensuring that the adult's views are taken into account
  • facilitating information-sharing, analysis and consensus about the risks and protective factors
  • facilitating decisions and determining the way forward, as necessary
  • if progressing with a Protection Plan, facilitating the identification of a core group of staff responsible for implementing and monitoring the support and protection plan
  • agreeing review dates
  • following up on actions and responsibilities when these have not been met

Such meetings should be as inclusive as possible with the presumption that, wherever possible, the adult themselves will be in attendance or that arrangements have been made to ensure that the adult's views and wishes can be conveyed to the meeting. Consideration of timing, venue and accessibility of meetings can assist in making it easier for the adult to attend. The adult does have the right to decide not to attend and this should be respected, unless there is reason to believe that this decision has come about as a result of undue pressure.

Adult Support & Protection - Case Conferences leaflet

The purpose of such meetings will include the sharing of information relating to possible harm, the joint assessment of current and ongoing risk, the continued implementation of any existent management plan, and the need to consider and, if appropriate, agree a specific and detailed support and protection plan. Any such plan should include timescales for addressing risks and providing services to support and protect the adult. The plan should include reference to the adult's views, strengths, needs and concerns over time, for the purpose of reducing risk of harm.

An adult protection case conference may also need to consider other options for protecting people including under the provisions of the Mental Health (Care and Treatment) (Scotland) Act 2003, and the Adults with Incapacity (Scotland) Act 2000. However, such considerations should not compromise any actions that may need to be taken under Adult Support and Protection legislation. Given the above it may be appropriate to have a Mental Health Officer and/or a member of The Highland Council’s Legal Team present at a case conference.

It is standard practice, where possible, for a member of The Highland Council Legal Team to attend an adult protection case conference to provide general legal advice and specific legal advice if a protection order in terms of the ASP Act is being considered. They can also advise if the solution lies within the Adults with Incapacity (Scotland) Act 2000.

For meetings - which include a variety of agencies and the adult at risk - to be effective, wherever possible:

  • the chairperson should be trained in the skills necessary for that role including training on communication support and the ability to take account of the wishes and feelings of the adult at risk and the outcomes which matter to them
  • where the adult at risk has not attended, the reasons for this are recorded
  • consideration should be given to the size of the meeting when the adult is present in order not to make the meeting overwhelming
  • the meeting has accurate minutes and sets out who has been invited and who is present (for audit purposes those who have not responded should also be noted) and who has contributed information either in person at the meeting or through previous submissions
  • a support and protection plan may be agreed across all relevant agencies, including identification of who is responsible for each aspect of the support and protection plan, the anticipated timetable, and reporting arrangements
  • the adult has been able to contribute to the fullest possible extent and they understand the actions in the support and protection plan. Where the adult has not attended, arrangements must be agreed for how the outcome of the meeting is explained to them, and who will be responsible for doing this
  • a date for a review meeting has been agreed, unless it has been agreed that no further actions are required under the terms of the Act
  • There will be occasions where the alleged perpetrator of harm may be a carer or relative of the adult at risk of harm. In such circumstances there may also be a need to consider the provision of support to the alleged harmer as well as to the adult themselves.

LP - Case Conference Checklist

LP - ASP Timescales 

5.2 Protection Orders

5.2.1 Removal orders

If we feel that a person is at serious risk of harm in the place they are living, we can ask the sheriff to allow us to take them to a place of safety.

Protection orders provide the adult with a legal mechanism to help them protect themselves. In the majority of instances the person has to consent to the local authority applying for an order. The sheriff must not make a protection order if they know that the adult at risk has refused to consent to it. The sheriff can only ignore that refusal if he or she believes the adult has been unduly pressurised by someone else to refuse. In cases where the adult does not have the capacity to consent, the requirement to prove undue pressure does not apply.

5.2.1.1 Duration

An adult can be removed for a maximum of 7 days. If anything significant changes or new facts come to light the Sheriff can change the terms of the Removal Order.

5.2.1.2 Can we prevent the adult seeing other people during this time?

Not unless it is specified in the removal order.

5.2.1.3 Where can the person be taken to?

We have to identify somewhere appropriate and specify this in the application for the removal order. It may not necessarily be a care setting; it may be requested that the adult stays with a relative for the duration of the order.

5.2.1.4 What support is available to the adult?

Whatever is needed. For example, if the adult needs help to dress or to prepare meals, we must provide the relevant support services.

5.2.1.5 Can the adult refuse to stay at a place if they don't want to?

The order doesn’t give us any authority to detain the adult. If the adult doesn't want to stay, they are free to leave. In cases where the adult refuses but lacks capacity, we will consider whether the use of adults with incapacity or mental health legislation would be appropriate.

5.2.2 Banning orders

We can ask a sheriff to ban someone from a place if they think that an adult is at risk From that person.

5.2.2.1 Duration

The duration of a Banning Order can be up to six months. These orders are only granted if it’s in the interest of safety of all concerned.

5.2.2.2 How flexible are banning orders?

The Sheriff can issue an Order that requires or authorises any person to do, or to refrain from doing, anything else which is necessary for the proper enforcement of the order.

5.2.2.3 What happens if someone breaches a banning order?

Of itself, breach of a Banning Order is not a crime in law. However, a civil action may be raised which could result in the subject of the order being held in contempt of court. These orders can also be issued with the power of arrest attached to them.

Also, any actions which happen as a result, for example a breach of the peace or assault, may be dealt with as criminal offences.

5.2.3 Assessment orders

These allow us to take the adult to a place where a social worker can conduct a private interview. This is for a maximum of seven days. These might also be used to require the person to be assessed by a medical professional such as a GP, nurse or psychiatrist.

6. Risk and Protection Planning Monitoring

The Council Officer will, ordinarily, take a lead role in monitoring the effectiveness of any support and protection plan. This will need to be done in alongside all those involved in effecting the plan, the adult at risk and, where appropriate, their network. In situations where actions are not considered effective in managing risks the Council Officer will need to escalate the circumstances of the case to their Nominated Officer and/or the Chair of the initial Case Conference. New protective actions will need to be taken as required; and consideration should also be given to holding a Review Case Conference earlier than scheduled.

Dependent on the circumstances and complexity of the case (and/or effecting a Protection Plan) the decision may be taken at the Case Conference to convene a core group between the initial and review case conferences. A lead professional, ordinarily the Council Officer, should be identified to be kept informed of and collate relevant updates relating to the adult and implementation of the support and protection plan. Other professionals will be identified to comprise the core group – they will work alongside the lead professional to ensure the implementation of the protection plan is both progressed and its effectiveness monitored.

The core group would be those who have direct and ongoing involvement with the adult, and may also include the adult. They are responsible for implementing, monitoring and reviewing the support and protection plan, in partnership with the adult. The core group should:

  • be co-ordinated by the lead professional
  • meet on a regular basis to carry out their functions
  • keep effective communication between all services and agencies involved with the adult
  • activate contingency plans promptly when progress is not made or circumstances deteriorate
  • recommend the need for any significant changes in the plan to the case conference chair and provide updates to the review case conference, including any update to risk assessment and chronology
  • be alert, individually and collectively, to escalating concerns that may require immediate response and/or additional support.

6.1 Closure

Where the Protection Plan is considered to be effective, and the monitoring of the Council Officer and/or Core Group points to risks being managed and the adult to be no longer at risk, the circumstances exist to close the Adult Support and Protection process. Good practice will be to make the decision to close the ASP process at a Review Case Conference: this will allow all parties to agree with the assessment of risk and to give proper consideration of the ongoing support needs of the individual.

7. Large Scale Investigations (LSIs)

LSIs may be viewed as an example of public bodies and other agencies / office-holders performing their functions under s.5 and co-operating with each other to protect adults at risk of harm. Practitioners should also consult our local procedures. LSIs frequently involve other agencies including the Care Inspectorate, the NHS and the Police.

An LSI may be required where there is reason to believe that adults who are service users of a care home, supported accommodation, an NHS hospital or other facility, or who receive services in their own home, may be at risk of harm due to another service user, a member of staff, some failing or deficit in the management regime, or in the environment of the establishment or service.

An LSI may also be indicated by the need to address structures or systems that lead to possible harm for all those under such structures. In such circumstances, this means that there is a belief that a particular service may be placing some or all of its residents or service users at risk of harm.

An LSI should be considered if one or more of the following applies:

  • an adult protection referral is received that involves 2 or more adults living within or cared for by the same service;
  • a referral is received regarding one adult, but the nature of the referral raises queries regarding the standard of care provided by a service;
  • where more than one perpetrator is suspected;
  • institutional harm is suspected;
  • a whistle-blower has made serious allegations regarding a service;
  • there are significant concerns regarding the quality of care provided and a service's ability to improve. These concerns could come from a regulatory body such as the Care Inspectorate;
  • an adult or adults are living independently within the community but are subject to harm from a perpetrator or group of perpetrators, or it is strongly suspected that more than one adult is subject to such harm;
  • concerns regarding an adult are raised following their admission to hospital or discharge. This may include concerns about a care service that are evidenced by an admission to hospital, or concerns regarding an NHS service area;
  • concerns are raised via a complaint to the Care Inspectorate, NHS Board, or the local Council or Health and Social Care Partnership;
  • concerns are raised by General Practices, District Nurses, Dentists, Allied Health Professionals etc. who attend a service.

Within the setting of a care provision, harm may include:

  • financial, physical or sexual abuse;
  • neglect or omission of care;
  • exploitation, coercion or undue influence to the detriment of the adult;
  • psychological abuse, however subtle;
  • undignified or degrading treatment.

Document: Highland Large Scale Investigation Procedures - January 2024

LSIs often take place in parallel with other investigations, for example NHS-led Adverse Event Reviews or Care Inspectorate activity. Every effort should be made to coordinate such overlapping investigations to minimise duplication and maximise the opportunity for interagency learning.

Senior managers are responsible for initiating and overseeing LSIs. They should keep the Adult Protection Committee regularly appraised of the progress of any LSIs that may be underway, and provide the Committee with a final report once the LSI is concluded. Such a report might include the identification of patterns or themes arising in regulated care settings. This will ensure that any necessary actions arising out of the LSI relating to the duties of the APC can be noted and necessary responses actioned, noting that regulatory bodies may have ongoing responsibilities in keeping with their remit.

IRISS - ASP National LSI framework

ASP Code of Practice - excerpt re LSIs

Last updated: 25 October 2024

Next review date: 31 January 2025