The Safeguarding Plan

All of the overarching aims, duties and principles of adult safeguarding apply.

These are:

• The aims of adult safeguarding;
• The duty to promote individual Wellbeing;
• The six key principles of all adult safeguarding;
• Making Safeguarding Personal; and
• The principles of the Mental Capacity Act.

See: Overarching Aims, Duties and Principles Procedure

Strengths based approach

Wherever possible, every conversation with the adult (or their representative) should be from a strengths perspective. This means that before you talk about external solutions to help achieve an outcome or manage a risk you must support the adult to explore whether there is:

1. Anything within their own power that they can do to help themselves; or
2. Anything within the power of their family, friends or community that they can use to help themselves.

A strengths based approach is empowering for the adult and gives them more control over their situation and how best to resolve any issues in the best way for them. The end result may still be that the local authority or another organisation intervenes, but this decision will have been reached knowing that it is the most proportionate response available.

Adopting a strengths based approach involves:

1. Taking a holistic view of the adult's needs, risks and situation in the context of their wider support network;
2. Helping the adult to understand their strengths and capabilities within the context of their situation;
3. Helping the adult to understand and explore the support available to them in the community;
4. Helping the adult to understand and explore the support available to them through other networks or services (e.g. health);
5. Exploring some of the less intrusive/intensive ways the local authority or other organisations may be able to help (such as through prevention services or signposting).

Good information and Advice and Prevention

The duty to provide good information and advice and to consider ways to prevent, reduce or delay needs for Care and Support applies at all times.

It is vital that you understand your duties in relation to the above. Please use the links below to access further information as required.

• Preventing Needs for Care and Support for information about the duty to prevent, reduce or delay needs;
• Providing Information and Advice for information about the duty to provide good information and advice, including the duty to make sure that information and advice is accessible to the person receiving it.

A Safeguarding Plan must be developed when:

• There is an on-going risk to the adult; and
• There is a benefit to the adult in them having a plan; and
• The adult consents to having a plan.

Whenever all of the above applies there is a duty under the Care Act to develop a Plan.

Where consent has not been provided a Safeguarding Plan should still be developed when one of the caveats around consent applies (see below).

A Safeguarding Plan should only be developed with consent of the adult, unless one of the following caveats applies:

1. The adult lacks capacity to consent, and developing a plan is deemed to be in their best interests; or
2. Other vulnerable adults (or a child) are (or may be) at risk; or
3. There are concerns that consent is being withheld as a result of coercive control or undue influence.

In cases where a plan is being developed for an adult that has withheld consent, the Lead Investigator and their line manager (or Chair) should ensure that any interventions in the plan are limited to those which are necessary to reduce the risk of harm only.

The Lead Investigators line manager (or Chair) is ultimately responsible for making a decision about the benefit in developing a Safeguarding Plan. However, wherever possible all agencies involved in the case should be in agreement.

Note: If the manager/Chair is not available, they should designate an appropriate colleague to deputise in their absence.

The decision should be clearly recorded in line with local recording requirements.

The record should be clear about the rationale behind the decision made and how the views and wishes of the adult have been regarded.

If the adult does not wish to be involved in the development or review of the Safeguarding Plan, their views and wishes in relation to desired outcomes and risk management strategies should be sought and regarded.

If the adult expresses a clear view or wish about outcomes or risk reduction and management strategies the Safeguarding Plan should reflect these as closely as possible.

The adult should still be provided with a copy of the Safeguarding Plan and supported to be a part of any subsequent reviews, if they wish to be.

If an independent advocate has been appointed (or an appropriate other person identified) they must be involved in the development and of the plan to ensure the adult is effectively represented.

Even if the adult has been assessed as lacking capacity to make their own decisions within the safeguarding adult's process, it is still important that they are consulted.

The purpose of consulting and involving the adult is to understand, as far as is reasonably ascertainable:

1. What their views are on any matters affecting the decision;
2. What is important to them (the relevant factors); and
3. What their preferred outcomes may be.

Note: 'Reasonably ascertainable' means the information that can be gathered in the time that is available before the decision needs to be made. What is available in an emergency will be different to what is available in other situations.

You must not proceed to make any Best Interest decision without carefully considering the information gathered from the person during consultation.

For further guidance see the Mental Capacity Act 2005 Resource and Practice Toolkit: Preparing to make a Decision.

The professionals and agencies involved in any planning meeting/s relating to the enquiry should also be involved in developing and/or reviewing the Safeguarding Plan, unless there has been a change in circumstances and their involvement is no longer relevant.

If the adult requests that a particular person is involved in the development or review of the plan, for example a family member or friend that person should be involved (see below for guidance if that person is the person alleged to have caused harm). This will promote the aims of principles of safeguarding, and ensure a strength based approach.

The person alleged to have caused harm can only be involved in the development or review of the Safeguarding Plan if the adult has expressly requested it and the Lead Investigators line manager (or Chair) agrees.

The rationale behind a decision of this nature should be clearly recorded in line with local recording requirements.

Appropriate safeguards should be put in place to ensure that the person is not able to unduly influence the adult or jeopardise the effectiveness of the plan.

Note: If the police are already investigating the person, they should be excluded from all discussions and meetings.

This site contains a comprehensive Risk Assessment procedure, applicable to a range of circumstances including Safeguarding.

It provides guidance about the key principles of risk assessment, how to identify risk and how to understand the impact of the risk on the adult.

The Safeguarding Plan should include:

1. Details of specific risks;
2. The likely impact on the adult if the risk/s occurs;
3. The proactive measures that will be taken to mitigate the risk; and
4. The reactive measures to any risk that occurs.

It should detail:

1. Clear objectives/actions (with timeframes where relevant);
2. Responsibilities and roles of individuals/agencies;
3. How the plan will be monitored;
4. When the plan will be reviewed.

Proactive measures are ongoing measures that reduce the likelihood of harm occurring again.

Examples of proactive measures could include:

1. Being part of a community group to build networks of local support;
2. Training for a carer to support them to manage the adult's needs or carry out safe manual handling;
3. Access to a specialist health service to maintain and promote good health;
4. A sitting service for a carer to enable regular breaks;
5. Respite away from home to support the carer to take regular breaks;
6. Contacting an alternative care provider in advance to register with them in the event they are needed;
7. Assistive technology to increase security and safety at home;
8. Increased monitoring of a Direct Payment.

Reactive measures (also known as contingency measures) are those that will be undertaken if the likelihood of harm increases or the proactive measures to mitigate risk are not effective.

Examples of reactive measures could include:

1. Emergency care provision arranged by the local authority (the local authority has a duty to arrange alternative care provision in the event of provider failure);
2. Changing from one care provider to another;
3. Additional formal care in the absence of informal care;
4. Requesting an urgent review of a Care and Support Plan;
5. Another family member stepping in temporarily if carer breakdown occurs.

The proactive and reactive risk mitigation measures in the Safeguarding Plan should be appropriate and proportionate based upon the level of risk identified and the likelihood of occurrence.

If the adult has expressed a clear view or wish about the measure/s they feel would work best (or vice versa), the plan should reflect this as closely as possible.

The right to safety needs to be balanced with other Human Rights, such as rights to liberty, autonomy, and rights to family life.

Where there is a risk that any of the measures being proposed may breach any of the adult's Human Rights, legal advice must be sought before the plan is implemented.

Examples may include:

1. Restricting contact with friends or family;
2. Supervising contact with friends or family;
3. Monitoring or surveillance.

Sometimes it may be deemed appropriate to arrange or alter paid service provision as part of the strategy to manage risk. For example, respite for a carer.

If they have not yet been involved, the service/team with responsibility for reviewing the Care and Support Plan (or health Care Plan) should be contacted to discuss the proposed changes.

If the changes cannot be achieved within the existing personal budget, relevant authorisation must be sought to agree an increase.

It is the responsibility of the Lead Investigator to record the plan.

The Safeguarding Plan should be recorded in a timely way and in line with local requirements.

The adult should always be provided with a copy of the Safeguarding Plan, unless doing so will increase the level of risk posed to them (or a child or other vulnerable adult) or jeopardise the effectiveness of the plan.

The plan should be provided in a format that is appropriate for the adult, based on their known communication needs. For example, in a preferred language, as an audio recording or with the addition of photographs or diagrams.

Support to understand the plan

It is important that the adult understands the Safeguarding Plan.

Where an independent advocate has been involved (or appropriate other person) they should arrange to talk through the plan with the adult.

All of the following should be considered, to take into account potential risk factors and distress:

1. When to speak with them (best time of day, location);
2. How to speak with them to ensure maximum understanding (in person, face to face, use of easy read material);
3. Any support they may need during or after the conversation.

Deciding not to provide a copy of the plan

It is the responsibility of the Lead Investigators line manager (or Chair) to make this decision.

If a decision is made not to provide the adult with a copy of the plan, the rationale for this should be clearly recorded in line with local recording requirements.

Note: If a specific action or element of the plan is the reason that providing a copy is problematic, it may still be possible to provide a copy with that particular information omitted.

Requests from the adult

If the adult requests that a particular person is provided with a copy of the Safeguarding Plan, for example a family member or friend a copy should be provided (see below for guidance if that person is the person alleged to have caused harm). This will promote the aims of principles of safeguarding, and ensure a strength based approach.

The person alleged to have caused harm

The person alleged to have caused harm can only be provided with a copy of the Safeguarding Plan if the adult has expressly requested it and the Lead Investigators line manager (or Chair) agrees.

The rationale behind a decision of this nature should be clearly recorded in line with local recording requirements.

Appropriate safeguards should be put in place to ensure that the safeguarding plan is not jeopardised.

Where appropriate safeguards cannot be identified a copy of the plan should not be provided. Depending on the adult's intentions, it may also be deemed a risk to provide them with a copy as well.

Sharing with others

With the person's consent (or in their best interests if they lack capacity) a copy of the plan should be shared with any individual/organisation who is responsible for carrying out actions or monitoring the effectiveness of the plan.

If the adult does not provide consent for the plan to be shared, the Lead Investigator should provide the individual/organisation with appropriate information to enable them to understand their role and responsibilities within the plan.

In all cases, decisions about sharing the plan should be made with regard to the Caldicott Principles, Data Protection legislation and local information sharing policies.

The purpose of a Safeguarding Plan review is to:

1. Reflect on what is working and not working about the plan;
2. Make sure the plan remains relevant to the identified risk;
3. Consider what may need to change about the plan (including whether or not the plan is still required).

The Safeguarding Plan is a working document that should be reviewed regularly in order to ensure that it continues to be fit for purpose.

When the plan is developed a timeframe for review should be agreed.

This should take into account;

1. The views and wishes of the adult (or their representative);
2. The views of professionals and others involved in developing the plan;
3. The level of intervention being provided to monitor the plan;
4. The likelihood and level of ongoing risk to the adult;
5. The complexity of the plan;
6. The stability of the overall situation.

The Lead Investigator is responsible for ensuring the reviews take place on time.

Note: When a plan has been developed at an early stage in the process, it should always be reviewed at the same time as enquiry findings are reviewed (or before this if deemed appropriate and proportionate).

Note: When a plan is to be developed or maintained after enquiries have concluded, the overall case should still be closed but the Lead Investigator should maintain their involvement to ensure the plan is reviewed as agreed.

Unscheduled reviews can be requested by the adult or anyone else involved in the safeguarding process at any time when there is evidence that:

• Elements of the plan are not working as anticipated;
• The adult is no longer happy with the plan;
• A less restrictive strategy to manage risk may now be available.

The decision about whether or not to arrange an unscheduled review is the responsibility of the Lead Investigators line manager following a review of information/evidence provided.

If the level of risk to the adult has increased the manager may deem it more appropriate to hold a further planning meeting to explore a wider range of potential actions.

Recording the decision

The decision made by the Lead Investigators line manager should be clearly recorded in line with local recording requirements.

The record should be clear about the rationale behind the decision made, and how the views and wishes of the adult have been regarded.

The Lead Investigator is responsible for organising the review.

This includes:

• When to hold the review;
• How to hold the review (i.e. face-to-face, virtually, telephone calls);
• Who to involve in the review (see below);
• Gathering or requesting information for the review.

See Section 5, Involving the adult in Safeguarding Plans and Reviews

The precise discussion should be determined by the nature of the safeguarding concern and the level of risk posed to the adult.

In all cases the following must be discussed:

• The aspects of the plan that are working/not working;
• The impact the plan is having on individual wellbeing;
• Whether the plan is meeting the adults identified outcomes;
• Whether the plan needs to continue;
• If the plan needs to continue, whether any aspects need to change;
• Any changes in circumstances that may impact on the plan;
• Is any other action required outside of the plan e.g. a referral;
• The views and wishes of the adult about all of the above.

There are a range of possible outcomes from the review:

1. Continue with the plan unchanged;
2. Amend the plan to include a more effective strategy;
3. Amend the plan to include a less restrictive strategy;
4. Continue with the plan and make further enquiries;
5. End the plan;
6. Supplementary actions, such as making a referral for additional support.

Everyone involved in the review should endeavour to agree the outcome. However, the Lead Investigators line manager (or Chair) is ultimately responsible for making this decision.

Safeguarding Plan to continue

If the Safeguarding Plan is to continue, it should be updated as required and a new review date set.

Ending a Safeguarding Plan

The Safeguarding Plan should only end when:

• Risks no longer exist; or
• On-going risk can be effectively managed through other means (for example a Care and Support Plan); or
• The adult has capacity and no longer wishes to have a Safeguarding Plan.

Note: If on-going risk is to be managed through other means (for example a Care and Support Plan), the Lead Investigators line manager (or Chair) must ensure that strategies have been incorporated into that plan.

The review discussion and outcomes should be clearly recorded in line with local recording requirements.

The record should be clear about the rationale behind decisions made, actions agreed and how the views and wishes of the adult have been regarded.