Local ASP Procedures
On this page
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:
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).
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.
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.
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.
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Highland Adult Protection Committee
Information and news about the Highland Adult Protection Committee and the work it does.
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News Items, Newsletters, Reports and Audits
News, AP newsletters, audit reports, national and other Area review and Investigation reports - for Adult Protection...
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Protection topics
Criminal Exploitation, FGM, Financial Harm, Forced Marriage, Hoarding, Missing Persons, Modern Slavery, PREVENT, SARC...
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Tools, links, legislation and national guidance
Links to other organisations, external resources, related legislation and relevant national guidance.
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ASP training
Highland Adult Support and Protection (ASP) trainer-led events and e-modules are accessed via the Turas Learn system.