Adult Support and Protection: Large Scale Investigation guidance

5. Principles of a Large Scale Investigation

5.1 Principles in the Adult Support and Protection Act (Scotland) 2007

As with individual ASP Investigations, an LSI should follow the principles of the Adult Support and Protection (Scotland) Act 2007.

The principles in section 1 require that any intervention in an adult’s affairs under the Act should:

• provide benefit to the adult which could not reasonably be provided without intervening in the adult’s affairs, and
• be the option that is least restrictive to the adult’s freedom.

The principles in section 2 require that any public body or office holder performing a function under the Act must have regard to the following:

• the general principles in Section 1
• the wishes of the adult - any public body or office holder performing a function or making a decision must have regard to the present and past wishes and feelings of the adult, where they are relevant to the exercise of the function, and in so far as they can be ascertained. Efforts should be made to assist and facilitate communication using whatever method is appropriate to the needs of the individual. Also, where the adult has an Advance Statement made under Section 275 of the Mental Health (Care and Treatment) (Scotland) Act 2003 then this should be given due consideration. Advance Statements should be considered as part of any care plan.
• the views of others – the views of the adult's nearest relative, primary carer, a guardian or attorney, and any other person who has an interest in the adult’s well-being or property, must be taken into account if such views are relevant. It is important that the adult has the choice to maintain existing family and social contacts. What the Act seeks to provide is support additional to the networks that may already be in place. Thus, a person who may be an adult at risk may have neighbours or friends who have an interest in their wellbeing and are willing to give support. Every effort should be made to ensure that any action taken under the Act does not have an adverse effect on this.
• the importance of the adult participating as fully as possible – the adult should be enabled to participate as fully as possible in any decisions being made. It is therefore essential that the adult is also provided with support and information to help that participation, and in a way that is most likely to be understood by the adult. Any needs the adult may have for help with communication (for example, translation services or signing) must be met barring exceptional circumstances. Any unmet need must be recorded. Wherever practicable the adult should be kept fully informed at every stage of the process. This includes information about their right to refuse to participate.
• that the adult is not treated less favourably – there is a need to ensure that the adult is not treated, without justification, any less favourably than the way in which a person who is not an ‘adult at risk’ would be treated in a comparable situation.
• the adult’s abilities, background and characteristics – including the adult’s age, sex, sexual orientation, religious persuasion, racial origin, ethnic group, and cultural and linguistic heritage – are taken account of and will inform the decision-making process and the nature and extent of any proposed interventions.

These principles should always be considered when decisions, including decisions taken as part of an LSI, are required about action that may be taken to protect an adult. However, there will be situations where their consideration produces potential conflicts, such as occasions when the adult at risk refuses any form of intervention but the professionals involved believe that Adult Support and Protection interventions would provide a benefit to them. In such circumstances, the expectation is that decision-making should take place on a multi-agency basis to enable full and complete discussion of potential protective actions and the application of the principles set out above.

For the purposes of these principles, making a decision not to act is still considered a decision and the reasons for taking this course of action should be recorded as a matter of good practice.

5.2 The LSI principles from the 2023 National Framework

The Large Scale Investigation principles were originally created for the 2023 Adult Support and Protection National Large Scale Investigation Framework. These are values that inform the process of an LSI throughout. They have now been adapted for this guidance.

Principle 1: Person-centred. This includes taking a rights-based and relationship-based approach to all LSIs. While an LSI will look at systemic and management issues, the wellbeing, safety, rights and experiences of the adults at risk of harm are always the central concern of all LSIs. An LSI begins when there is more than one adult at risk of harm and it ends when there are no adults at risk of harm.

Principle 2: Supportive. It is important to start from the belief that everyone involved in an LSI wants to provide good care and support unless proven otherwise. LSIs can be emotionally demanding for all involved, and it’s important to recognise and address this from the beginning.

Principle 3: Planned. This is about what the LSI aims to achieve, and how it will get there. Clear planning of the scope and scale of the LSI from the very beginning is important. While it is possible that circumstances may change during the course of the LSI, clear planning and the identification of agreed, time-bound milestones while the LSI is taking place helps the LSI remain on track.

Principle 4: Multi-agency. An LSI is a multi-agency response. While the Council has the principal responsibility, there is a statutory duty of co-operation for the agencies involved. Professionals need to be clear in their own responsibilities, and able to articulate these responsibilities to others.

More than a statutory duty, however, is the benefit to all – particularly adults who may be at risk of harm – when there is joined-up working. All those working on an LSI should strive to reduce duplication and promote collaboration. This includes senior leaders as well as frontline managers and staff.

Principle 5: Professionally curious. Professional curiosity is about changing information into intelligence. It means questioning, challenging and analysing the information received, thinking through different possibilities, being able to identify concerns, and to make connections between different types of information. It’s also about being open-minded and being prepared to have difficult conversations. LSIs use professional curiosity throughout, in order to get to the heart of the issue – both about individuals and the ‘big picture’ over time.

Principle 6: Lawful. Under Adult Support and Protection legislation, Councils have a duty to investigate harm. While LSIs are not mentioned in law, the Adult Support and Protection (Scotland) Act 2007 Code of Practice sets out statutory powers and are the principal basis on which an LSI is carried out. As well as statutory powers, the council may have contractual powers whereby the council is a purchaser of the service and has a contract with the provider where certain requirements have to be met. Alongside the Adult Support and Protection (Scotland) Act 2007, there are other Acts that may be relevant to an LSI. These include the Health (Tobacco, Nicotine etc. and Care) (Scotland) Act 2016 (Part 3, establishing offences related to the willful neglect or ill-treatment of adults receiving health and social care), the Adults with Incapacity (Scotland) Act 2000, and the Mental Health (Care and Treatment) (Scotland) Act 2003.

Principle 7: Clearly communicated. LSIs can be confusing and distressing. Clear and regular communication is fundamental. Everyone has a duty to ensure that – to the best of their ability – the right information is shared at the right time with the right people.