Pan Lancashire and Cumbria SAB Logo

Top of page

Size: View this website with small text View this website with medium text View this website with large text View this website with high visibility

Stage Three: Assessment/Applying Thresholds

This chapter was added to the manual in April 2015.


  Decision Stage
  Decision that the Referral is Not Appropriate
  Feedback to Referrer
  Lead Role Responsibility for Investigation/Assessments

Decision Stage

Following a referral process detailed in Stage Two: Making a Referral Procedure, the Local Authority Adult Social Care/Safeguarding manager will make the following decisions and take the following actions about the Referral. This is called the decision stage and should occur within one working day of the Referral.

  • Is the Referral appropriate?
  • Should safeguarding be initiated?
  • If not, consideration should be given to alternative routes of referral
  • Communicate the decision to the person who raised the Alert and any other appropriate agency or individual;
  • If the Safeguarding Process is initiated a safeguarding assessment strategy will be formulated.

The procedure for decision making within each Local Authority may vary slightly. You must refer to your local procedures.

Decision that the Referral is Not Appropriate

  • Where a decision is made that the referral is not covered by the Safeguarding Adults Procedures, appropriate information or advice will be provided as to an alternative route for support will be taken (see Thresholds Graphic - to follow);
  • The person or agency that raised the alert will be informed of the decision and how that decision was reached;
  • The agency that raised the alert should record the feedback for future reference.


  • That the adult appears to be at risk and that action should be taken under the safeguarding procedures as set out below; or
  • That the referral is not covered by the Safeguarding Adults Procedures but an alternative route for referral to another agency is being made for the provision of advice and information or other services which may assist the adult concerned; or
  • That no further action is required.

Feedback to Referrer

Feedback on the outcome of a Referral should be provided to the referrer, including where no further action is to be taken. If the referrer does not receive feedback, he/she should contact the manager in the Adult Safeguarding team again. If unsatisfied with the response, the referrer should discuss the matter with their own manager.

This applies to anyone making a Referral, whether internally or from an external agency.

In the case of a Referral by a member of the public, feedback should be provided in a way which will respect the confidentiality of the Adult at Risk.

Lead Role Responsibility for Investigation/Assessments

Type of Investigation or Assessment Agency Responsible
Criminal (including assault, theft, fraud, hate, crime and domestic violence, bogus callers) Police
Fitness of a registered provider or manager under the Health and Social Care Act 2008 Care Quality Commission/
Breach of service regulations relevant to the service Care Quality Commission/
Unresolved serious complaint in a health setting Care Quality Commission
Breach of rights of person detained under The Mental Health Act Care Quality Commission
Breach of terms of employment or disciplinary procedures Employer
Breach of professional code of conduct Professional Regulatory Body
Breach of Health and Safety Legislation Health and Safety Executive
Complaint regarding failure of service (Including neglect of provision of care and failure to protect one service user from the actions of another) Service provider, such as a manager or proprietor of service or Complaints Department
Breach of contract to provide care Service commissioner
Rogue traders Trading Standards Officers
Misuse of Enduring/Lasting Power of Attorney Office of the Public Guardian
Misuse of appointeeship or agency Department of Work and Pensions
Inappropriate decisions about the care and wellbeing of an adult without mental Capacity which are not in the adult's best interests Court of Protection
Assessment of need for health and social care provision (service users and carers) Local Authority or Health Trust