Adult Support and Protection (ASP) National Minimum Dataset, 2024-25 – Technical Report

Annex 2: Glossary

In July 2022, there was an update to the Adult Support and Protection (Scotland) Act 2007: Code of Practice (July 2022). The definitions used within the ASP National Minimum Dataset (NMDS) 2024-25 reflect the updated terminology.

ASP referrals

ASP referrals are made by different stakeholders where it is known or believed that an adult is at risk, and that further action may be required to protect the person’s wellbeing, property or financial affairs.

There is a duty on certain public bodies or office holders who know or believe that a person is an adult at risk of harm and that action may need to be taken to protect them, to make an ASP referral. However, ASP referrals may be received from sources in addition to public bodies, including third sector organisations, members of the public, or the person at risk themselves.

Referrers do not need to have evidence that all elements of the three-point criteria, as referred to in the Act, have been met. Good practice would dictate that even if in doubt the referral should be made. This should be counted as an ASP referral by the HSCP’s Adult Protection Service receiving it.

Following receipt of an ASP referral, if the council knows or believes that the adult is at risk of harm and that it might need to intervene to protect their wellbeing, property or financial affairs, a S4 inquiry must be undertaken.

Inquiries undertaken with and without the use of investigatory powers

The purpose of an inquiry, with or without use of investigatory powers, is to ascertain whether adults are at risk of harm, and whether the council may need to intervene in order to protect the person’s wellbeing, property, or financial affairs. Any use of investigatory powers is triggered through the S4 duty to inquire under the Act.

An inquiry using investigatory powers requires the involvement of a council officer (an individual appointed by a council to perform specific functions under the terms of the Act). It may also require production of a risk assessment if initial inquiries show that further ASP activity is warranted. An inquiry which does not use investigatory powers may or may not require the involvement of a council officer, depending on local arrangements and the nature of the tasks.

The collation and consideration of relevant materials, including consideration of previous records relating to the individual and seeking the views of other agencies and professionals, does not necessarily need to be undertaken by a council officer if these inquiries do not include use of investigatory powers. Investigatory powers will be required, and a council officer involved, where there is a need for a visit and direct contact with the adult for interview or medical examination, or for the examination of records (undertaking activity from Sections 7-10 of the Act).

Inquiries may involve a single agency or more, as relevant to the case.

It should be noted that use of inquiries (with or without use of investigatory powers) supports a move away from talking about inquiries and investigations, and is aligned with the revised Code of Practice (July 2022).

Case conferences

The purpose of such meetings will be defined by local procedures, but should include the sharing of information relating to possible harm, the joint assessment of current and ongoing risk, the continued implementation of any existent management plan, and the need to consider and, if appropriate, agree a specific and detailed support and protection plan.

Case conferences should be as inclusive of multi-agencies as relevant. There is a presumption that the adults themselves will be in attendance (unless there is serious risk to their attendance) or the adult freely chooses not to attend with no undue pressure from others; arrangements should be made to ensure that the adult’s views and wishes can be conveyed to the meeting.

The case conference will consider actions that may need to be taken under the Adult Protection legislation, but may also explore options for protecting people under other legislation – including (but not restricted to) provisions under the Mental Health (Care and Treatment) (Scotland) Act 2003 and the Adults with Incapacity (Scotland) Act 2000.

Actions taken following inquiries

For the ASP national minimum dataset, local authorities report data on the outcomes of the inquiries undertaken (with or without the use of investigatory powers) as one of the following six categories:

• Does not meet the three-point criteria – no further action: This is where the adult does not meet the three-point criteria, there is no requirement for any social work involvement and no requirement to refer to another agency i.e. No further Action.
• Does not meet the three-point criteria – non-ASP support offered or provided: The person does not meet the three-point test but might be offered support under a different statute i.e. Social Work (Scotland) Act 1968.
• Meets three-point criteria — non-ASP support provided or offered: An inquiry where the adult is an adult at risk (as defined under the Adult Support and Protection Act) but it is not of benefit, or it is the least restrictive option to continue that intervention under a different statute i.e. Social Work (Scotland) Act 1968.
• Meets three-point criteria – ongoing ASP work: The person is already under a Protection Plan and will continue to receive (adjusted) support under ASP.
• Meets three-point criteria — no opportunity for further ASP intervention: This should be selected in instances where there is no opportunity for further ASP intervention, for example, where the adult has died during the ASP process and there is no opportunity to complete an inquiry. 
• Pending / Unknown: For all inquiries, where the outcome is still being determined or the outcome is unknown.

Adult Support and Protection Plans (ASPPs) 

An Adult Support and Protection Plan is a set of actions and strategies agreed by relevant agencies (single or multi-agency) and put in place to support and protect ‘adults at risk’ meeting the three-point criteria. The Plan is designed to eliminate or reduce risk, manage this over time and respond to changing circumstances, overseen through case conference processes. Plans will stay in place until agreed that they are no longer necessary.

Adult Support and Protection Plans should be agreed across all relevant agencies identifying who is responsible for which aspects of the plan, the anticipated timetable, and reporting arrangements. This should include a date for a review meeting - unless it has been agreed that no further actions are required under the terms of the Act. It is also expected that the adult should be supported to contribute to the fullest possible extent and understand the actions in said Plan.

An Adult Protection Plan can be initiated at any point of the ASP process depending on need or urgency or local processes, but most commonly arise at a case conference.

Protection orders

The Act allows for application to a sheriff for a protection order. Applications must be made by the council, with the exception of banning orders. Here, the application may also be made by or on behalf of the adult whose wellbeing or property would be safeguarded by the order, or any other person who is entitled to occupy the place concerned. 

Protection orders may be applied for at any time.

The three types of protection orders are:

• Banning or temporary banning orders: An order granted by a sheriff to ban the person causing, or likely to cause, the harm from being in a specified place. It may have other conditions attached to it and may last for a period of time not exceeding 6 months. The subject of the order may be a child or adult. Serious harm must be evidenced. In case of urgency, a council can apply to a justice of the peace of the area in which the adult is located, as opposed to a sheriff, with different arrangements in place for this.
• Assessment orders: An order granted by a sheriff to help the council decide whether the person is an adult at risk and, if so, whether it needs to do anything to protect the person from harm. These may be to carry out an interview or medical examination of a person and are valid for 7 days.
• Removal orders: An order granted by a sheriff to remove an adult at risk to a specified place to assess and protect them, effective for a maximum of 7 days after the day on which the person is removed, which must take place within 72 hours of the order being granted.

Large Scale Investigations

A Large Scale Investigation (LSI) is conducted when it is suspected that more than one adult in a given service may be at risk of harm. This may relate to adult residents in a care home, supported accommodation, an NHS hospital or other facility, or those who receive services in their own home. The risk of harm may be due to another resident, a member of staff, some failing or deficit in the management regime or in the environment of the establishment or service.

Decisions about whether to proceed to an LSI or not, are expected to take place in a multi-agency meeting and for these meetings to be chaired by a senior officer of the council.

Age and gender

This indicator collects age group and gender of clients across all inquiries. It includes men, women, trans and non-binary, and “prefer not to say” categories to provide an inclusive overview of gender. The age groups aim to provide comparability to other data sets, as well as having a distinct category for 16 and 17 year olds to capture data specifically on individuals from this age cohort. Based on feedback received from ASP stakeholders, we recently reviewed the current age bandings within the ASP National Minimum Dataset (NMDS). The new categories are more aligned with other national data sets to allow for easier comparison.

Ethnicity

This indicator collects the ethnicity reported for all inquiries. The ethnicity categories are based on the census categories to ensure comparability to census data.

Primary client group

Below is a list of primary client groups used in the ASP NMDS in 2024-25. This means the primary vulnerability someone has which would (potentially) contribute to them meeting the three-point criteria for being an “adult at risk” (as per section 3 of the ASP Act: because they are affected by disability, mental disorder, illness or physical or mental infirmity, are more vulnerable to being harmed than adults who are not so affected).

The ASP NMDS 2024-25 only collected the primary client group. This does not mean that individuals might not also have fitted in or belonged to other client groups.

Where local authorities thought the primary client group did not fit within one of the existing categories in the ASP NMDS (as below), they could report it as ‘other’ and provide further details.

Acquired brain injury

People with an acquired brain injury usually have a complex mixture of physical, cognitive, emotional, and behavioural, disorders or difficulties. This may affect how the person perceives the world and their abilities to remember, concentrate, reason and judge. The person’s emotional state may be disturbed; personality, behaviour, communication and relationships are also frequently altered. Mobility, sensation, vision, hearing and balance, smell and taste, respiration, heartbeat, and bowel and bladder control may also be affected.

Alcohol related brain damage

Alcohol related brain damage (ARBD) describes a clinicial syndrome due to structural and functional brain changes which occur as a result od chronic, heavy alcohol use. Those affected may have problems with their memory, performance, and ability to function. They may also experience difficulties formulating and executing plans, and learning new information. Both brain changes and functional impariments are at least partially reversible if the individual stops using alcoholm, but will often progress with ongoing use.

Autism/autism spectrum

An autism spectrum diagnosis is characterised by the “triad of impairments” which are:

• Social interaction – difficulty with social relationships, for example appearing aloof and indifferent to other people.
• Social communication – difficulty with verbal and non-verbal communication, for example not fully understanding the meaning of common gestures, facial expressions, or tone of voice.
• Imagination – difficulty in the development of interpersonal play and imagination, for example having a limited range of imaginative activities, possibly copied and pursued rigidly and repetitively.

No formal diagnosis is required.

Dementia

Global deterioration of intellectual functioning. Normally a progressive condition resulting in cognitive impairment ranging from some memory loss and confusion to complete dependence on others for all aspects of personal care. Exclude confusion due to other causes e.g. medicines, severe depression.

Mental health (excluding dementia)

Mental health problems are characterised by one or more symptoms including: disturbance of mood (e.g. depression, anxiety), delusions, hallucinations, disorder of thought, sustained or repeated irrational behaviour. 

• Include: persons assessed as having mental health problems whether or not the symptoms are being controlled by medical treatment.
• Exclude: alcohol or drug related problems; dementia.

Learning disability

A significant, lifelong condition which has three facets:

• significant impairment of intellectual functioning resulting in a reduced ability to understand new or complex information; and
• significant impairment of adaptive/social functioning resulting in a reduced ability to cope independently; and
• which started before adulthood (before the age of 18) with a lasting effect on the individual’s development.

Palliative care

Palliative care is for people with serious health conditions to relieve suffering and enable them to live as well as possible. There is a move away from talking about ‘end of life’ or ‘end of life care’ and a life expectancy approach. It is not possible to predict and make judgements with any validity on when a person will die (nor should this be the basis for planning or offering support). This guidance will be reviewed/refreshed as necessary following publication of the Scottish Government’s incoming strategy on palliative care.

Physical disability

Physical disabilities have many causes in chronic illness, accidents, and impaired function of the nervous system, which, in particular physical or social environments, result in long term difficulties in mobility, hand function, personal care, other physical activities, communication, and participation.

Includes: visual impairment (blindness or partial sightedness – unless problems resolved by spectacles or contact lenses), hearing impairment (profound or partial deafness and other difficulties in hearing – unless problems resolved by a hearing aid), severe epilepsy; limb loss; severe arthritis; diseases of the circulatory system (including heart disease); diseases of the central nervous system (e.g. strokes, multiple sclerosis, cerebral palsy, spina bifida and paraplegia).

Substance misuse/addiction

Any person who experiences social, psychological, physical, or legal problems related to intoxication and/or regular excessive consumption and/or dependence as a consequence of his/her use of alcohol or drugs or chemical substances.

Other

Clients should be included in this client group if they do not fall under the other categories. For example:

• Clients with HIV/AIDS.
• Clients with multiple disabilities acquired after birth arising from damage to the brain through head injury, stroke, lack of oxygen, infection, or other causes.

Type of Harm

This indicator has the purpose of collecting the primary type of harm for each inquiry. This does not mean that other types of harm are not present in the relevant inquiry but for the purpose of the minimum dataset, we only collect the primary harm.

Where local authorities thought the harm type did not fit within one of the existing categories in the ASP NMDS 2024-25, they could report ‘other’ and provide further details.

Physical harm

Can include hitting, slapping, pushing, kicking, misuse of medication, restraint or inappropriate sanctions.

Sexual harm

Can include rape and sexual assault or sexual acts to which the adult at risk has not consented, could not consent or was pressured into consenting.

Psychological/emotional harm

Can include emotional abuse, threats of harm or abandonment, deprivation of contact, humiliation, blaming, controlling, intimidation, coercion, harassment, verbal abuse, isolation or withdrawal from services or supportive networks.

Financial or material harm

Can include theft, fraud, exploitation, pressure in connection with wills, property, inheritance, financial transactions, or the misuse or misappropriation of property, possessions or benefits.

Neglect and acts of omission

Can include ignoring medical or physical care needs, failure to provide access to appropriate health, social care or educational services, the withholding of the necessities of life, such as medication, adequate nutrition or heating.

Discriminatory harm

Includes actions (or omissions) and / or remarks of a prejudicial nature focusing on a person’s age, gender, disability, race, colour, sexual or religious orientation.

Self harm

When an individual, knowingly or unknowingly, behaves in a way that directly or indirectly, causes serious harm to their physical, psychological or social wellbeing. Self harm is complex and can vary widely from individual to individual. It can serve a variety of functions including but not limited to, a way of coping with distress or trauma, a way to regulate emotions, communicate feelings, gain control, as a form of self-punishment or as a way to feel present and alive. Self harm may manifest in various forms such as self-injury (eg. cutting or burning oneself), or self-poisoning (such as taking an overdose of drugs, medication or other substances). It can also include other health harming behaviours, such as having an eating disorder, problematic use of alcohol, drugs, or gambling, or simply not looking after their emotional or physical needs.

Self neglect

The inability (intentional or unintentional) to maintain a socially and culturally accepted standard of self-care with the potential for serious consequences to the health and wellbeing of the self-neglecter and perhaps even to their community. (Gibbons et al., 2006)

Self neglect can include:

• Lack of self-care to an extent that it threatens personal health and safety
• Neglecting to care for one’s personal hygiene, health or surroundings
• Inability to avoid harm as a result of self neglect
• Failure to seek help or access services to meet health and social care needs
• Inability or unwillingness to manage one’s personal affairs

Domestic abuse

Domestic abuse can be any form of physical, verbal, sexual, psychological or financial abuse which takes place within the context of a relationship. The relationship may be between partners (married, cohabiting, civil partnership or otherwise) or ex-partners. The abuse may be committed in the home or elsewhere including online.

Examples of domestic abuse include:

• Being threatened or name calling
• Controlling what you do, where you go and who you speak to
• Threatening your children
• Not being allowed see friends and famil
• Sharing - or threatening to share - intimate images of you with family, friends or work colleagues
• Being hit, kicked, punched, or have objects thrown at you
• Rape, being forced into sexual acts

Human trafficking and/or exploitation

Human trafficking and exploitation are complex and hidden crimes and involve perpetrators treating people as commodities and exploiting them for their personal profit or gain. Victims can sometimes appear to be criminals themselves.

The many purposes for which people are exploited - including commercial sexual exploitation, labour exploitation, criminal exploitation (for example benefit fraud and forced drugs cultivation and cuckooing), domestic servitude or compulsory labour, sham marriages and organ trafficking – are continually evolving. Victims can sometimes appear to be criminals themselves when forced into criminal exploitation.

Human trafficking involves the recruitment, transportation or transfer, harbouring or receiving or exchange or transfer of control of another person for the purposes of exploiting them. It is irrelevant if the victim ‘consented’ to any part of the action, neither does it require the victim to have been moved for this to be considered an offence. People can be trafficked within Scotland and the UK as well as across  international borders.

This might include:

Criminal exploitation: This is when an adult is coerced, controlled or manipulated into involvement in criminal activity for the financial or other advantage of the exploiter. It can involve force, threats or deception, taking advantage of a power imbalance.

These activities can include and combine (and are not an exhaustive list):

• cuckooing, i.e. taking over the home/property of a vulnerable person in order to establish a base for illegal drug dealing
• county lines drug networks and cannabis cultivation
• pick pocketing and forced shoplifting
• financial abuse and benefit fraud
• forced begging and busking

Labour exploitation: This is when a person is forced to work for little or no pay, or has access to their wages controlled or limited by another party. It can involve threats, intimidation and violence in order to force the person to work long hours in poor conditions. The person may also be forced to work without appropriate equipment in potentially dangerous situations. It is also important to recognise that labour exploitation can occur within legitimate business, with wages and/or bank accounts controlled by a perpetrator.

Common industries prone to labour exploitation are car washes, nail bars, construction, seafood/fishing, delivery drivers, and hospitality but it can also occur in private homes including activities such as painting and decorating, window cleaning, gardening and other domestic duties (domestic servitude).

Sexual exploitation: Sexual exploitation is the sexual abuse of an adult in exchange for attention, affection, food, drugs, shelter, protection, other basic necessities and/or money, and could be part of a seemingly consensual relationship. It involves someone taking advantage of an adult, sexually, for their own benefit and could be carried out by threats, bribes, deceit and violence. It doesn’t have to be physical contact, it can also occur online.

Adults can be sexually exploited in many ways. Examples include:

• Grooming
• Rape and sexual assault
• Being trafficked into, or around, the UK for the purpose of commercial sexual exploitation (e.g. prostitution, lap dancing, stripping, pornography)
• Sextortion, i.e. when a person being forced into paying money or meeting another financial demand after an offender has threatened to release nude or semi-nude photos of the person

Organ harvesting: Organ harvesting involves the removal of one or more organs from a person by means of coercion, abduction, deception, fraud, or abuse of power.