Adult Safeguarding Referrals: The Local Authority Process Explained
Knowing when to refer is only half the job — knowing what happens next, and what CQC separately expects, is where many Registered Managers feel least confident.
Safeguarding referrals sit at the intersection of two separate systems that new Registered Managers often assume are one and the same: the local authority’s statutory adult safeguarding duty under the Care Act 2014, and CQC’s own regulatory notification requirements. Understanding both — and how they interact — matters far more than memorising a single flowchart. This guide covers adult safeguarding specifically: the process for a care home, supported living service, or domiciliary agency raising a concern about an adult with care and support needs, not the separate children’s safeguarding system.
When to Make a Referral
The threshold is deliberately low. A referral is appropriate whenever there is a reasonable belief that an adult with care and support needs is experiencing, or is at risk of, abuse or neglect — covering ten categories the Care Act statutory guidance describes: physical abuse, domestic violence, sexual abuse, psychological abuse, financial or material abuse, modern slavery, discriminatory abuse, organisational abuse, neglect and acts of omission, and self-neglect (Care and support statutory guidance, chapter 14). You do not need to have proven anything happened; a reasonable concern, reported promptly, is the standard.
| Category (Care Act statutory guidance, chapter 14) | Includes |
|---|---|
| Physical abuse | Assault, hitting, slapping, pushing, misuse of medication, restraint, inappropriate physical sanctions |
| Domestic violence | Psychological, physical, sexual, financial or emotional abuse; so-called ‘honour’ based violence |
| Sexual abuse | Rape, indecent exposure, sexual harassment, inappropriate touching or looking, sexual acts without consent or under pressure |
| Psychological abuse | Emotional abuse, threats of harm or abandonment, humiliation, intimidation, coercion, harassment, verbal abuse, cyberbullying, isolation, unjustified withdrawal of services or support |
| Financial or material abuse | Theft, fraud, internet scamming, coercion over financial affairs or wills, misuse or misappropriation of property or benefits |
| Modern slavery | Slavery, human trafficking, forced labour and domestic servitude |
| Discriminatory abuse | Harassment or similar treatment because of race, gender or gender identity, age, disability, sexual orientation or religion |
| Organisational abuse | Neglect and poor care practice within an institution or care setting, from one-off incidents to ongoing ill-treatment |
| Neglect and acts of omission | Ignoring medical, emotional or physical care needs; failing to provide access to appropriate health, care, support or educational services; withholding necessities such as medication, nutrition or heating |
| Self-neglect | A wide range of behaviour including hoarding. CQC’s and the local authority’s own guidance note this may not always meet the section 42 threshold; it is assessed case by case |
The mistake that causes the most harm
Waiting to gather more evidence before referring is one of the most common — and most damaging — safeguarding mistakes. The local authority’s role is to investigate; yours is to report the concern as soon as it’s reasonably formed, not to build a case first.
What a Referral Record Should Actually Say
A vague internal note that “a concern was raised” gives the local authority almost nothing to act on and reads badly at inspection. A usable referral is factual, dated, and specific about what was observed rather than what was assumed.
✗ Vague — avoid this
“Staff were concerned about a resident’s wellbeing and a safeguarding referral was made.”
✓ Specific — use this
“On 4 September at 14:20, carer observed unexplained bruising to resident’s left forearm. Referral submitted to [local authority] adult safeguarding team same day, ref. no. logged, manager notified, CQC statutory notification submitted 5 September.”
The Local Authority Process, Step by Step
- Referral received. The local authority safeguarding team logs the concern and screens it against the Care Act 2014 threshold, which has three parts under section 42: the adult has needs for care and support (whether or not the local authority is meeting them), is experiencing or at risk of abuse or neglect, and, as a result of those needs, is unable to protect themselves against it (Care Act 2014, section 42). All three must apply for the statutory duty to make enquiries to be triggered.
- Decision on enquiry. If the threshold is met, a Section 42 enquiry opens — a formal safeguarding investigation into whether the person is at risk and what action is needed.
- Enquiry conducted. This may involve the provider, the person concerned (whose wishes should be central under the Making Safeguarding Personal approach), family members, and other professionals.
- Outcome and safeguarding plan. If risk is confirmed, a safeguarding plan sets out the actions needed, which the provider is typically expected to implement and evidence.
- Review and closure. The plan is reviewed against agreed timescales and formally closed once actions are complete and the person confirms they feel safe, in line with Making Safeguarding Personal.
Making Safeguarding Personal: Why the Person’s Wishes Matter
Making Safeguarding Personal (MSP) is the national approach underpinning the Care Act 2014 safeguarding process, and it changes how a “good” referral outcome is judged. Rather than the local authority or provider deciding unilaterally what happens next, the person at the centre of the concern is asked what outcome they want, and the response is built around that as far as safely possible. A safeguarding plan that ignores the person’s own wishes — even with good intentions — can itself become a governance concern if it isn’t documented why.
Safeguarding vs. CQC Notifications: Two Separate Duties
This is where confusion causes real problems. The local authority safeguarding referral and CQC’s statutory notification are not the same requirement, and doing one does not satisfy the other.
- The local authority leads the safeguarding response and any Section 42 enquiry under the Care Act 2014
- CQC separately requires registered providers to notify them of certain events directly, including safeguarding concerns, serious injuries, and deaths, under their own regulatory notification duties
- Both need to happen — referring to the local authority does not remove your obligation to notify CQC, and vice versa
- Neither should be held back pending the outcome of the other, and CQC’s own notification duty for these events is “without delay,” which in practice means as soon as the concern is identified, not once an enquiry has concluded
What CQC Looks For — And What Actually Reassures Them
A common misconception is that safeguarding referrals count against a service. In practice, the opposite is usually true: CQC explicitly looks for a culture of openness, where staff are confident raising concerns and providers report promptly rather than manage things quietly in-house. A service with a plausible number of referrals given its size and resident dependency, each one properly followed through, generally reads as safer than one with suspiciously few.
Building safeguarding evidence into your governance
If a safeguarding finding has become part of an inspection report or improvement plan, CQCLogic maps it to the specific regulation involved and structures the evidence trail CQC expects to see — see a real sample plan or view pricing.
Summary: What Every Adult Safeguarding Referral Must Include
- A factual, dated account of what was observed — not an assumption or a summary
- Submission to the local authority adult safeguarding team on the same day the concern is identified
- A parallel CQC statutory notification, submitted separately and not held back pending the enquiry outcome
- A logged reference number and named manager oversight of the referral
- The person’s own wishes recorded and factored into any resulting safeguarding plan, per Making Safeguarding Personal
- Clear internal tracking through to Section 42 enquiry outcome, safeguarding plan, and review
- Evidence any resulting actions were implemented and closed out, not just agreed
Frequently Asked Questions
When should a care home make an adult safeguarding referral?
Make a referral whenever there is a reasonable belief that an adult with care and support needs is experiencing, or is at risk of, abuse or neglect — including physical, financial, psychological, sexual, or organisational abuse, and neglect or self-neglect. You do not need proof before referring; a reasonable concern is enough, and the threshold under the Care Act 2014 is deliberately low.
Do I need to tell CQC as well as the local authority about a safeguarding concern?
Yes, usually both. The local authority safeguarding team leads the safeguarding response under the Care Act 2014, while CQC has a separate statutory notification requirement for registered providers to report certain incidents, including safeguarding concerns, directly to them. One does not replace the other, and both should normally happen on the same day the concern is identified.
What happens after a safeguarding referral is made?
The local authority screens the referral to decide whether it meets the Care Act 2014 threshold for a formal safeguarding enquiry (known as a Section 42 enquiry). If it does, an enquiry is opened, which may involve the provider, the person concerned, family, and other professionals, and results in a safeguarding plan if risk is confirmed.
Can a care home be penalised for making too many safeguarding referrals?
No — a high number of referrals is not, by itself, evidence of poor care, and CQC explicitly looks for a culture of openness and appropriate reporting. What concerns inspectors is the opposite: services with implausibly few safeguarding referrals given their size and resident dependency, which can suggest under-reporting rather than genuinely low risk.
What is the difference between adult safeguarding and child safeguarding referrals?
Adult safeguarding referrals concern adults with care and support needs and are governed by the Care Act 2014, led by the local authority’s adult social care safeguarding team, and centred on the person’s own wishes under the Making Safeguarding Personal approach. The statutory duty to open a section 42 enquiry applies only where all three legal conditions are met (care and support needs, experiencing or at risk of abuse or neglect, and unable to protect themselves as a result). Child safeguarding referrals follow a different statutory framework (the Children Act 1989 and Working Together to Safeguard Children) and go to a separate children’s services team — care homes for adults should always route concerns to the adult, not children’s, safeguarding team.