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Safeguarding Adults at Risk
Safeguarding investigation requested by SCC
of another organisation
Under Section 42 of the Care Act
Adult at risk:
First name(s)
Address
Post Code
Last name
SCC ID No
Date of birth
DoD (if applicable)
Phone No
Name of organisation
Date of referral
Date investigation initiated or started
Date investigation concluded
Investigated allegations/concerns
In this section detail the allegations/concerns that are being investigated as agreed with Somerset County
Council. This section should not be a long account of the issues, simply record the following:
 Each alleged type of abuse to be stated (e.g. physical, sexual, emotional/psychological, financial,
neglect (or acts of omission), discriminatory or institutional) as a heading and numbered.
 Under each alleged type of abuse, list key incident(s) that make up the allegation summarised as
bullet points
Delete all guidance notes from the finalised document.
<Example:
1. Physical abuse
1A. Mr Bloggs alleged he was slapped on the face by Mr Taylor (who is a fellow resident) on the
1.1.12
1B. Mr Bloggs alleged he was punched in the arm by Mr Taylor (who is a fellow resident) on the
7.1.12 >
Detail activities and actions taken as part of your investigation
List details of persons interviewed or consulted, records or policies checked.
This chronology is not for recording incidents/events leading up to the investigation. Only record what you
have done as part of the investigation, for example, interview with adults at risk, interview with witnesses,
and person(s) alleged to have caused harm, reviews of case records.
Activity/action
Dates
All information contained within this report is restricted. It should not be used for any purpose other
than the safeguarding or care of the adult(s) concerned.
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Evidence collated
Record the evidence gathered in relation to each specific allegation/concern investigated. Then record a
summary of the evidence you have found. Make sure it is always clear who the adult at risk is and who is
alleged to have caused harm.
In the event that further allegations emerge during the course of the investigation, inform the Adult Social
Care Team Manager overseeing this investigation and seek their advice as how to proceed
< For example
1. Physical abuse
1A. Mr Bloggs alleged he was slapped on the face by Mr Taylor (who is a fellow resident) on the
1.1.12
Mr Bloggs states....
Mr Taylor states....
Care Plan Y states....
Mr Bloggs’s Client records state...
1B. Mr Bloggs alleged he was punched in the arm by A.N. Other (who is a fellow resident) on the
7.1.12
Mr Bloggs states....
Mr Taylor states....
Witness X states....
Care Plan Y states....
Mr Bloggs’s Client records state... >
What is your view following your investigation
This section should be used to understand the evidence gathered and consider ‘what happened’ ‘how’
and ‘why’.
Consider and describe whether the evidence supports or challenges the allegation of abuse. As part of
this, consider how the actions/incidents fit with accepted practice. You may need to reference local or
national policies or legal requirements to determine what accepted practice is.
The Service Provider Manager must form an objective view based upon the evidence. The analysis in
this section will support the view offered in the next section
< For example;
Physical Abuse
All information contained within this report is strictly confidential. It should not be used for any purpose
other than the safeguarding or care of the adult(s) concerned.
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1A. Mr Bloggs alleged he was slapped on the face by Mr Taylor (who is a fellow resident) on the
1.1.12
Mr Bloggs’s allegations were denied by Mr Taylor in relation to the incident on the 1.1.12. Mr
Bloggs did not report the incident until a week later and there was then no evidence of any
marking. There were no witnesses to the incident.
1B. Mr Bloggs alleged he was punched in the arm by Mr Taylor (who is a fellow resident) on the
7.1.12
Mr Bloggs’s allegations were denied by Mr Taylor in relation to the incident on the 7.1.12. Mr
Bloggs reported the incident immediately after it was alleged to have occurred. No staff or other
residents were present. However, a visitor confirmed Mr Bloggs’s account of events on the 7.1.12
and mild bruising was noted on his arm consistent with his account >
All information contained within this report is strictly confidential. It should not be used for any purpose
other than the safeguarding or care of the adult(s) concerned.
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Record any injuries on these body maps, for example, bruising, burns, friction marks
Name of person recording this body
map:
Views of the adult at risk (and views of relevant family members where relevant)
In relation to the investigation findings/recommendations. This may be achieved, for example, by being
interviewed again after the investigation is complete or where appropriate, by reviewing the investigation
report and providing feedback.
< For example; the findings of the investigation were discussed with Mr Bloggs on 14.1.12. Mr
Bloggs is satisfied that his concerns have been investigated and is satisfied with the
recommendations. Mr Bloggs understands there is no supportive evidence in relation his
allegation that he was slapped by Mr Taylor on 1.1.12, but maintains that this did happen >
Advocacy referral required?
Yes
No
Organisation manager’s view as to whether abuse has occurred
This section should clearly record the Manager’s opinion as to whether abuse has taken place based
All information contained within this report is strictly confidential. It should not be used for any purpose
other than the safeguarding or care of the adult(s) concerned.
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upon the collection and analysis of the evidence.
Information in this section should be recorded in the following format:
 Detail each type of abuse/concern, headed and structured as in the earlier sections.
 Recommend a case conclusion for each type of abuse alleged (not each incident, if different) and
your reasons for that recommendation.
 Use only the following case conclusion options: substantiated (abuse of this nature has
occurred), not substantiated (abuse of this nature has not occurred), or inconclusive (there is not
enough evidence to conclude whether it has or has not occurred).
< For example record:
1. Physical Abuse – substantiated
There was an independent witness that confirmed John’s account of being punched on 7.1.12.
On the balance of probabilities, in my view Mr Bloggs experienced physical abuse by Mr Taylor.
Views of the person alleged to have caused harm
Wherever practicable a person alleged to have caused harm is entitled to be able to respond to the
investigation’s findings and recommendations. This may be, for example, by being interviewed again
after the investigation if complete or where appropriate, reviewing the investigation report and providing
feedback.
< For example, the findings and recommendations of the investigation were discussed with Mr
Taylor on 14.1.12. He declined any further comment >
Advocacy referral required?
Yes
No
Risk assessment: Risks to the person and/or others
Record in this section identified risks of harm. Each identified risk will need to be specifically addressed
through the protection plan. A specialist risk assessment form will not always be required, however,
where one is used clearly reference this and attach it as an appendix
1. Decision making capacity
Has an assessment of mental capacity been undertaken in relation to the protection plan arrangements
or other required actions?
Assessment required: By whom:
Yes
No, Mental Capacity presumed
Is there a Lasting Power of Attorney for health and welfare for this person?
Yes
No
Not sure
Is there a Lasting Power of Attorney for finance for this person?
Yes
No
Not sure
Decisions made under the Mental Capacity Act (and relevant ‘best interest’ considerations)
< Guidance Note: Identify any specific decisions have been made in the person’s ‘best interests’.
Reference any Mental Capacity Assessment undertaken or Best Interest Decision Making Tool
used >
Protection plan
All information contained within this report is strictly confidential. It should not be used for any purpose
other than the safeguarding or care of the adult(s) concerned.
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Actions Required
Person Responsible
Date
Person responsible
Date
Person responsible
Date
< Guidance Note: The protection plan should relate specifically
to identified risks.



Every action must have a named responsible person for
completion of the action
Every action must be worded in a way that it is clear
what is to be done and how it is completed.
Every action must have a specific date for completion,
do not use terms such as ‘ASAP’ or a projected time
such as ‘a week’ or ‘a month’) >
Review arrangements
< Guidance Note: Where a protection plan is required or a risk
identified, a review should occur within 3 months, and
subsequent reviews within 6 months >
Contingency plan –
< Guidance Note: Consider and record what else could be done
if the plan was not working effectively>
Does the adult at risk accept the protection plan?
Record the adult at risks views in relation to the protection plan:
Yes
No
Unable to consent
Additional actions required
Actions: Including persons to be informed
Person Responsible
Date
Appendices: List any documents to be attached to this report
Name of Manager:
Signature:
Date:
All information contained within this report is strictly confidential. It should not be used for any purpose
other than the safeguarding or care of the adult(s) concerned.
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