Wales Interim Policy & Procedures for the …

1 WWaalleess IInntteerriimm PPoolliiccyy && PPrroocceedduurreess ffoorr tthhee PPrrootteeccttiioonn ooff VVuullnneerraabbllee AAdduullttss ffrroomm AAbbuussee November 2010 Commissioned by the four Adult protection Fora. 2 CONTENTS Page(s) 1 Document Status 6 2 Introduction 7 - 8 3 Notes to Reader 9 Linked Documents 9 Review of the Policy and Procedures 9 Comments 9 The Ten Stages and Timescales in the Adult protection Process 10 - 11 Policy 12 5 Principles, Values and the Legal Context 13 Principles 13 Values 14 Putting the principles and Values into Practice Means 14 Information Sharing 15 - 17 Legal Context 18 6 vulnerable adults and Adult Abuse 19 Definition of a vulnerable Adult 19 Mental Capacity 20 - 21 Consent 21 - 22 Abuse 22 - 23 Categories of Abuse 24 - 30 Other Forms of Abuse 30 - 35 Abuse by Another vulnerable Adult 36 - 38 Abuse by Children 39 Child protection 39 - 40 Managing Risk 30 - 42 Large Scale/Service Level Concerns and Investigations 42 Multi-Agency Public protection Arrangements (MAPPA)

2 43 Case Reviews and Serious Case Reviews 44 7 Roles and Responsibilities 45 Adult protection Structures in Wales 45 Everyone Health and Social Care, Police and other Signatory Partners 45- 46 Responsibilities of Agencies 46 - 47 Wales Audit protection Advisory Committee 47 Local Authority Elected Members, Health Board Members and Police Authority Members 47 Strategic Lead/Senior Co-ordinating Officer 47 Adult protection Fora 48 Adult protection Committees 48 Adult protection Co-ordinators 48 - 50 Social Services Departments 50 Health Boards 50 - 52 Designated Lead Manager 52 - 54 Care Managers and Care Co-ordinators 54 - 56 Agency Responsibilities for vulnerable adults placed outside their Local Area 56 3 Page(s)

3 Police 57 Role of the Crown Prosecution Service 57 - 59 Role of the Intermediary 59 Coroners 59 Care and Social Services Inspectorate Wales 60 Health and Safety Executive 60 - 61 Environmental Health 63 Healthcare Inspectorate Wales 63 - 65 Fire and Rescue Services 65 Ambulance Service 65 Commissioning and Contracts Managers and Officers 66 - 67 Service Providers (Proprietors, Managers and their HR Departments) 67 - 68 Schools and Further Education 68 - 69 Advocates and Independent Mental Capacity Advocates 69 - 70 Relatives and Carers 70 8 Preventing Abuse 71 Supporting vulnerable adults to protect themselves from Abuse 71 - 72 Minimising Risk 72 - 76 9 Education and Training 77 Training for Staff 77 - 78 Training for vulnerable adults 78 10 Support for Victims, Families and Alleged Perpetrators in the Adult protection Process 79 Supporting Victims of Abuse throughout the Adult protection Process 79 Keeping Families, and others concerned.

4 Supported and Involved during the Adult protection Process 82 Responsibilities to Alleged Perpetrators 82 - 83 Responsibilities to Whitstleblowers 83 11 Complaints about the Adult protection Process 84 - 86 Procedures 87 12 Introduction 88 The Ten Stages and Timescales in the Adult protection Process 89 - 90 13 Managing Risk 91 - 92 Risk Assessment procedure for Designated Lead Managers 93 - 94 14 Stage 1 Alert 95 The Adult protection Alert 95 Role of the Person raising the Alert 95 Action on Alert 95 - 98 Actions on Alert for Specific People 98 Recording an Alert 99 15 Stage 2 Referral 100 The Adult protection Referral 100 - 101 Taking a Referral (Social Services and Health) 101 - 103 Taking a Referral (Police) 103 16 Stage 3 Initial Evaluation 104 Who undertakes the Evaluation 104 Undertaking the Initial Evaluation 104 4 Page(s)

5 Distinguishing between Poor and Abusive Practice 105 Possible Conclusions and Outcomes of the Initial Evaluation 105 - 106 Recording the Initial Evaluation 106 - 107 17 Stage 4 Strategy Discussion 108 Participants in a Strategy Discussion 108 Undertaking the Strategy Discussion 108 - 110 Capacity, Consent and Support 110 - 111 The Possible Outcomes of a Strategy Discussion 111 - 112 Sharing Information about a Strategy Discussion 113 Recording the Strategy Discussion 113 - 114 Adult protection Case Files 114 protection Plans 114 - 116 Holding a Strategy Meeting 116 18 Stage Five Strategy Meeting 117 The Purpose of the Strategy Meeting 117 - 118 Conducting and Recording the Strategy Meeting 118 - 121 protection Plans 121 Deciding upon and setting up the Remit for an Investigation 121 - 124 Responsibilities if a Decision is made Not to Investigate 124 Large Scale

6 Investigations 125 19 Stage 6 Investigation 126 Preparing the Investigation 126 Criminal Investigation 126 - 134 Non-criminal Investigations 134 - 149 20 Stage 7 Further and Final Strategy Meetings 150 Further Strategy Meetings 150 The Final Strategy meeting 150 - 154 Records 154 21 Stage 8 Case Conference 155 Purpose of a Case Conference 155 Arranging the Case Conference 155 Role of Chair at Adult Case Conference 156 Possible Outcomes from a Case Conference 156 - 157 Records 157 22 Stage 9 - Reviews 158 Preparing for Reviews 158 - 159 Review of an Individual protection Plan 159 Review of a General protection Plan 159 - 160 23 Stage 10 - Closure 161 Timing of Closure of Cases 161 Decision Making 161 Closure Process 161 - 162 Documentation 163 Adult protection Suggested Documentation 164 - 167 Adult protection Referral form Confidential 168 - 172 Adult protection Case Management Record 172 - 187 Referral Acknowledgement Letter 188 protection of vulnerable adults Meeting Convening form 189 Minutes of Initial Strategy Meeting 190 - 191 Minutes of Further and Final Strategy Meetings 192 - 193 5 Page(s)

7 Minutes of Case Conference 194 - 195 Minutes of Review Meeting 196 - 197 All Wales Meeting Attendance List 198 Police Decision form 199 Individual protection Plan Risk Reduction Strategy 200 General protection Plan 201 Case Conference Invite Letter 202 End of Adult protection Process Letter 203 Date Collection form 204 - 211 Remit for Adult protection Investigation 212 - 213 Letter Requesting Attendance at Interview 214 Non-criminal Investigation Interview Template 215 - 216 Checklist: Evaluating Evidence 217 Adult protection Investigation Report 218 - 219 Adult protection Risk Rating Assessment 220 - 222 Initial Adult protection Risk Assessment form 223 - 224 Adult protection Risk Assessment Review form 225 - 226 Appendices 227 Appendix 1 Glossary of Terms Used in the Policy and Procedures 228 - 229 Appendix 2 Wales Guidance for Conducting Inter-agency Serious Case Reviews 230 - 257 6 1 Document Status This manual, comprising Policy , Procedures and documentation for the management of adult protection in Wales .

8 Was commissioned by the four Wales regional Adult protection Fora. The Chairs of three of the four regional Adult protection Fora asked Mick Collins, Chair of the fourth Forum, to convene a task and finish group to write this manual. The Chairs wish to record their thanks to their representatives who came together and produced this manual. Bev Larkins Adult protection Co-ordinator Wrexham County Council Margaret Cresci Senior Nurse for the protection of vulnerable adults Cwm Taf Health Board Leigh Thorne Adult protection Co-ordinator Bridgend County Council Louisa Laurent Adult protection Co-ordinator Caerphilly County Borough Council Andy Kaye Adult protection Co-ordinator Powys County Council Kevin Jones Secretary South Wales Adult protection Forum Alan Green Detective Superintendent North Wales Police Stephen Gould Detective Superintendent North Wales Police Tony Gately Acting Sergeant North Wales Police Thanks are

9 Also accorded for their contributions to the manual to the agencies and individuals who responded to the consultation on the first draft version, and additionally to: Des Mason South Wales Fire and Rescue Vicky Warner Cardiff and Vale University Health Board Kevin Barker CSSIW Natalie Cooper CSSIW Joel Martin Ceredigion County Council Steve Bartley Welsh Assembly Government Owen Davies Welsh Assembly Government Liz Burrows Flintshire County Council Kerry Marlow Independent Consultant & Trainer It is anticipated that the following organisations will adhere to this Policy and Procedures .

10 Welsh Local Authorities Welsh Police Forces Welsh Health Boards and Trusts CSSIW The Welsh Ambulance Service NHS Trust The Wales Fire and Rescue Service The National Probation Trust The Health and Safety Executive This document can be accessed electronically at: 7 2 Introduction Welcome to the first Wales Policy and Procedures for the protection of vulnerable adults from Abuse. This manual is intended to guide the safeguarding work of all those concerned with the welfare of vulnerable adults employ