The 3-stage test for adult safeguarding, derived from Section 42 of the Care Act 2014, outlines the specific criteria that must be met for a local authority to initiate a safeguarding enquiry. This test is crucial for ensuring that adults with care and support needs who are at risk of abuse or neglect receive the necessary protection and support.
Understanding the Three-Stage Safeguarding Test
For a local authority to have a safeguarding duty under Section 42 of the Care Act 2014, all three conditions of the test must be satisfied. These conditions ensure that interventions are focused on individuals who genuinely require safeguarding support due to their specific circumstances.
Here are the three stages of the test:
| Stage | Description | Key Considerations |
|---|---|---|
| 1 | The adult (aged 18 years or older) is experiencing, or is at risk of, abuse or neglect. | This includes various forms of abuse such as physical, sexual, psychological, financial, organisational, neglect, self-neglect, domestic abuse, modern slavery, discriminatory, or spiritual abuse. |
| 2 | The adult has needs for care and support (whether or not the local authority is meeting any of those needs). | This refers to an individual's need for assistance with daily living activities, personal care, or other support requirements, regardless of whether they are currently receiving services from the local authority. |
| 3 | As a result of those care and support needs, the adult is unable to protect themselves from the abuse or neglect, or the risk of it. | This stage assesses the individual's capacity to safeguard themselves. It considers whether their care and support needs diminish their ability to avoid, stop, or report the harm they are experiencing or are at risk of. |
Details of Each Stage
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Stage 1: Abuse or Neglect
This stage identifies that there is a concern regarding harm. It encompasses a wide range of harmful behaviours or omissions, including:- Physical abuse: e.g., assault, restraint, over-medication.
- Domestic abuse: e.g., psychological, physical, sexual, financial, emotional abuse within intimate relationships.
- Sexual abuse: e.g., rape, sexual assault, sexual exploitation.
- Psychological abuse: e.g., emotional abuse, threats, intimidation.
- Financial or material abuse: e.g., theft, fraud, exploitation of property.
- Modern slavery: e.g., human trafficking, forced labour.
- Organisational abuse: e.g., neglect and poor practice within an institution or specific care setting.
- Neglect and acts of omission: e.g., ignoring medical needs, withholding necessary care.
- Self-neglect: e.g., failing to care for personal hygiene, health, or surroundings to an extent that it endangers personal safety or wellbeing.
- Discriminatory abuse: e.g., harassment, slurs, or unequal treatment based on protected characteristics.
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Stage 2: Needs for Care and Support
The individual must have care and support needs. These needs do not have to be formal, assessed needs, nor do they need to be currently met by the local authority. For example, a person may have significant health conditions requiring support from family members, or they may be managing their needs independently but still possess an underlying need for care and support. -
Stage 3: Inability to Self-Protect
This is a critical element, linking the individual's care and support needs directly to their vulnerability. It focuses on whether their needs for care and support impair their ability to recognise abuse, resist it, seek help, or remove themselves from harmful situations. This doesn't necessarily mean a lack of mental capacity, but rather an inability to protect themselves as a result of their care and support needs.
Importance and Application
The 3-stage test serves as the threshold for local authorities to activate their statutory safeguarding duties under the Care Act 2014. If all three criteria are met, the local authority must make enquiries, or cause others to do so, into how the abuse or neglect occurred and what action might be needed.
- Triggers for action: Meeting these criteria triggers a formal safeguarding process, which can include investigations, risk assessments, and the implementation of protection plans.
- Focus on vulnerability: The test ensures that safeguarding efforts are targeted towards individuals whose specific vulnerabilities, stemming from their care and support needs, make them unable to protect themselves from harm.
- Beyond capacity: It's important to note that the test is not solely about an individual's mental capacity. An adult with full mental capacity may still be unable to protect themselves due to physical frailty, social isolation, or coercion, especially when linked to their care and support needs.
Further Resources
For a comprehensive understanding of adult safeguarding duties, refer to:
- Care Act 2014: The primary legislation outlining the duties of local authorities regarding adult social care and safeguarding. You can find the full text on Legislation.gov.uk.
- Care and Support Statutory Guidance: This guidance, accompanying the Care Act 2014, provides detailed information on how the Act should be implemented, including guidance on safeguarding duties. It is available on the GOV.UK website.
