Adult Safeguarding Assessment: Section 42 Enquiries Guide

Understanding Adult Safeguarding

Adult safeguarding is about protecting adults who have care and support needs from abuse or neglect. Under the Care Act 2014, local authorities have a duty to make enquiries, or cause others to do so, when they have reasonable cause to suspect that an adult is experiencing, or at risk of, abuse or neglect.

The adult safeguarding assessment—formally known as a Section 42 enquiry—is the process of establishing facts, determining what the adult wishes to happen, and agreeing on actions to prevent or stop abuse or neglect.

Section 42 Duty: The Three-Part Test

A Section 42 enquiry is triggered when all three criteria are met:

1. The person has care and support needs (whether or not those needs are being met by the local authority)
2. They are experiencing, or at risk of, abuse or neglect
3. As a result of their care and support needs, they are unable to protect themselves from the abuse or neglect, or the risk of it

Types of Abuse and Neglect

The Care Act 2014 statutory guidance identifies ten categories of abuse:

• Physical abuse: Hitting, slapping, pushing, restraint, inappropriate sanctions
• Domestic abuse: Psychological, physical, sexual, financial, or emotional abuse by intimate partner or family member
• Sexual abuse: Rape, indecent exposure, sexual harassment, inappropriate touching
• Psychological abuse: Emotional abuse, threats, humiliation, coercive control, isolation
• Financial or material abuse: Theft, fraud, exploitation, misuse of benefits or property
• Modern slavery: Human trafficking, forced labour, domestic servitude
• Discriminatory abuse: Based on race, gender, disability, sexuality, age, religion
• Organisational abuse: Poor care practice, neglect or abuse within an institution or care setting
• Neglect and acts of omission: Ignoring care needs, withholding necessities
• Self-neglect: Not meeting own care needs, hoarding, refusing services

Making Safeguarding Personal

Making Safeguarding Personal (MSP) is the cornerstone of adult safeguarding practice. It means:

• The adult is at the centre of the safeguarding process
• Their views, wishes, feelings, and beliefs guide the enquiry
• Outcomes are defined by what the adult wants to achieve
• The process is person-led rather than process-driven
• The adult is involved in safeguarding decisions to the extent they wish

Key Questions to Ask

• "What outcomes do you want from this safeguarding process?"
• "What would help you feel safer?"
• "How would you like to be involved in the enquiry?"
• "Is there anything you don't want to happen?"
• "What support do you need during this process?"

The Safeguarding Enquiry Process

Stage 1: Concern Raised

• Safeguarding concern received
• Initial information gathering
• Decision: Does this meet Section 42 criteria?
• If yes, proceed to enquiry
• If no, consider other responses or signpost

Stage 2: Planning the Enquiry

• Identify who will lead the enquiry
• Seek the adult's views and desired outcomes
• Consider mental capacity and need for advocacy
• Assess immediate safety
• Determine scope and timescale

Stage 3: Conducting the Enquiry

• Gather information from relevant sources
• Speak with the adult (with support as needed)
• Interview others involved
• Consider evidence and establish facts
• Assess ongoing risk

Stage 4: Outcomes and Action

• Determine findings and conclusions
• Agree protection plan if needed
• Take action to address risk
• Consider whether adult's outcomes have been met
• Close enquiry with clear rationale

Capacity and Consent in Safeguarding

Adults with capacity have the right to make their own decisions, including decisions that others may consider unwise. However, this doesn't mean safeguarding concerns should be ignored.

When the Adult Has Capacity and Refuses Help

• Respect their decision but ensure it's fully informed
• Explore reasons for refusal and any pressure or coercion
• Offer information about support available
• Keep door open for future contact
• Consider whether others may be at risk
• Document clearly the capacity assessment and their decision

When the Adult Lacks Capacity

• Follow the Mental Capacity Act 2005
• Make decisions in their best interests
• Involve family, advocates, or IMCA as appropriate
• Still seek to understand their wishes and feelings
• Use least restrictive options

Advocacy in Safeguarding

Under Section 68 of the Care Act 2014, an independent advocate must be arranged if:

• The adult has substantial difficulty in being involved
• There is no appropriate person to support them

Substantial difficulty may relate to:

• Understanding relevant information
• Retaining information
• Using or weighing information
• Communicating views, wishes, and feelings

Documentation Requirements

Thorough documentation is essential in adult safeguarding. Your records should include:

At the Start

• Source and nature of the concern
• Decision-making about whether Section 42 criteria are met
• The adult's views and desired outcomes
• Capacity assessment if relevant
• Enquiry plan and timescale

During the Enquiry

• Who was spoken to and when
• Information gathered (including evidence)
• The adult's involvement throughout
• Any changes to risk
• Professional judgments and rationale

At Conclusion

• Findings and conclusions
• Whether the adult's outcomes were achieved
• Protection plan if applicable
• Actions to be taken and by whom
• Rationale for closure

Working with Risk

Risk assessment in adult safeguarding involves balancing:

• The adult's right to autonomy and self-determination
• The duty to protect from abuse and neglect
• The impact on others who may also be at risk
• Public interest considerations

Risk Factors to Consider

• Nature and severity of the abuse
• Vulnerability of the adult
• Intent and capacity of the person causing harm
• Pattern or history of abuse
• Access and opportunity for further harm
• Protective factors in place

Multi-Agency Working

Effective adult safeguarding requires collaboration across agencies:

• Police: Criminal investigation, protection, and information sharing
• Health services: Assessment, treatment, and medical evidence
• Care providers: Information about care, concerns, and protective measures
• Housing: Accommodation needs and safety measures
• Finance: DWP, banks for financial abuse concerns
• CQC: Regulatory concerns about providers

Self-Neglect Cases

Self-neglect was included in the Care Act 2014 categories and presents unique challenges:

• Often involves capacity considerations
• May involve hoarding or refusing services
• Requires persistent, relationship-based approach
• Multi-agency coordination is essential
• Consider environmental health, fire service involvement
• Balance respect for autonomy with duty of care

Organisational Abuse

When concerns relate to a care provider or institution:

• Consider all adults who may be affected
• Coordinate with CQC and commissioners
• Use large-scale or provider enquiry processes
• Consider whether concerns are systemic
• Plan for ongoing monitoring

Conclusion

Adult safeguarding assessment is about more than following procedures—it's about genuinely protecting adults while respecting their autonomy and ensuring their voice is central to the process. By embedding Making Safeguarding Personal principles and maintaining rigorous documentation, social workers can navigate these complex situations while keeping the adult at the heart of all decisions.

The most effective safeguarding enquiries are those that achieve outcomes the adult themselves has identified as important, while ensuring they are protected from ongoing harm.