Joint inspections of adult support and protection
Background
Phase 1 of our programme of joint inspections of adult support and protection services has now concluded, having taken place during 2020-23. The purpose of Phase 1 of the programme was to provide baseline information across the 26 adult protection partnerships not previously inspected in 2017/18. The intention was to follow this programme of inspections with a second phase of scrutiny and/or improvement activity, informed fully by Phase 1 findings.
We are now undertaking further scrutiny across Scotland, at the request of Scottish Ministers and in line with the Scottish Government-led improvement plan.
Phase 2 commenced on 1 August 2023 and will last two years. This phase of the programme will blend scrutiny activity with improvement support and include close collaboration with adult protection partnerships.
Scrutiny approach
Phase 2, first year
The programme provides assurance on the ongoing protection and risk management for adults at risk of harm. The first year of Phase 2 will include revisiting the six adult protection partnerships that were subject to adult support and protection inspections in 2017/18. We will use the inspection methodology we employed in Phase 1. These inspections will focus on key processes and leadership (see our quality indicator framework).
The first year of Phase 2 will also involve further development of the adult support and protection quality improvement framework by inspection partners, with input from stakeholders across the sector.
Phase 2, second year
Activity in the second year of Phase 2 will provide assurance of improvement and will include those partnerships that received inspection reports during Phase 1 where areas of weakness outweighed strengths. Some additional partnerships may also be revisited to provide assurance of improvement.
Additionally in this second year, indicators related to early identification of risk, early intervention and a trauma-informed approach will be applied on a voluntary basis with a select group of partnerships, which will augment their planned self-evaluation processes.
Scrutiny partners
The inspection programme will be led by Care Inspectorate in collaboration with His Majesties’ Inspectorate of Constabulary Scotland (HMICS) and Healthcare improvement Scotland (HIS). Each scrutiny agency has identified dedicated staff with appropriate levels of experience and expertise in adult support and protection. This scrutiny and assurance will be undertaken in the context of health and social care integration.
Phase 2 inspection focus
The focus of our joint inspection will be on:
- independent scrutiny and assurance of how partnerships ensure that adults at risk of harm are kept safe, protected, and supported
- providing assurance to Scottish Ministers about how effectively partnerships have implemented the Adult Support and Protection (Scotland) Act 2007
- taking the opportunity to identify good practice and support improvement more broadly across Scotland
- providing a quality assurance framework for the adult support and protection community to use for multi-agency audit, self-evaluation and improvement activity.
Purpose of activity
The purpose of this programme of joint inspections is to seek assurance that adults at risk of harm in Scotland are supported and protected by existing national and local adult support and protection arrangements. The programme is one element of the Scottish Government-led improvement plan.
The partnership briefing document relating to phase two, first year inspections was prepared by the inspection team to give you an overview of the joint inspection programme and is available on our website. The documents below are referenced within the partnership briefing document.
- Definition of adult protection partnerships
- The public services reform (joint inspections) Scotland regulations 2011
- ASP Quality Indicator Framework
- Case File Sample Guidance
- Pre inspection return FAQs
- Position Statement template
- Supporting Evidence List
- Local authority notification letter
The joint inspection team has made a number of other documents available to support partnerships. Each partnership will receive the relevant documents at the appropriate time.
- ASP overview for staff
- Staff Briefing Focus Groups
- Guidance for remote access to files
- Key processes and timescales
- Pre inspection return March 2021 (.xlsx)
- Phase 1 main sample file reading guidance
- Phase 1 main sample file reading tool
Our inspections take account of the adult support and protection code of practice. For us to understand the degree to which partnerships were progressing with implementation we issued a single question survey. The survey was shared with Chief Social Work Officers, adult protection committee conveners and lead officers. The question was 'Please briefly describe your partnership’s approach to key processes, including the role of the Council Officer, around inquiries/investigations in light of the revised Code of Practice'. Please find our summary findings from that survey.
A communication and engagement strategy is available in relation to our Phase 2, first year quality improvement framework (QIF). The QIF is being designed in collaboration with the National Implementation Group and other stakeholders. Key elements of this will be used to inform our supported self-evaluation activity in Phase 2, second year.
We are at the very early stages of developing Phase 2, second year methodologies and will aim to include any relevant updates and material here when it is appropriate to do so.
Please email any enquiries to the joint inspection team at This email address is being protected from spambots. You need JavaScript enabled to view it.
Counter Fraud, Bribery and Corruption
Counter Fraud, Bribery and Corruption
The Care Inspectorate will:
- take all reasonable steps to prevent fraud and corruption
- ensure we have processes in place to detect fraud and corruption wherever possible
- investigate fraud and corruption where it is detected or reported
- pursue appropriate formal action against those involved in fraudulent or corrupt activities
We will take action where fraud, bribery or corruption has been found to have been committed in accordance with our Formal Action Policy.
What to do if you suspect fraud, bribery or corruption
If you are an employee of the Care Inspectorate please follow our internal procedures for reporting concerns.
If you are not an employee of the Care Inspectorate and you believe that there is fraudulent activity taking place, please report this using the details below or you may wish to report your concerns directly to the police.
You can contact the Care Inspectorate directly:
Jackie Mackenzie
Executive Director Corporate and Customer Services
(Fraud Champion)
This email address is being protected from spambots. You need JavaScript enabled to view it.
Kenny Dick
Head of Finance and Corporate Governance
(Fraud Liasion Officer)
This email address is being protected from spambots. You need JavaScript enabled to view it.
Or you can write to Jackie or Kenny at the address below:
Care Inspectorate
Compass House
11 Riverside drive
Dundee
DD1 4NY
You can if you prefer, report your concerns to Audit Scotland.
Further detail on the Care Inspectorate’s counter fraud, bribery and corruption approach can be found here.
Podcasts
We have been working hard behind the scenes for some months now to learn the way of podcasting. We’re now ready to launch our very first box set of episodes - all about the Visiting, Meaningful Connection and Anne’s Law project.
The Anne’s Law project advisers have spoken with real-life people about real-life stories that will resonate with all of us. People like Jenny, manager at Glennie House; Ken, a care home resident; Natasha, the daughter of Anne, who Anne’s Law is named for; professionals from across the sector and many more. Packed with insightful, thought-provoking ideas and tips to stay connected with your loved ones, these podcasts have something for everyone.
Listen anywhere, anytime to the episodes that interest you. Listen on Spotify, Amazon Music, Google or wherever you get your podcasts. Alternatively, you can listen on our website.
What's the Anne's Law project all about?
Barbara Lawson and Sheri Kerr introduce this podcast series and what the Anne’s Law project is about, how this will support connection for people living in adult and older people’s care homes.
Useful links:
Meaningful connection - Literature review
Meaningful connection - factsheet
Meaningful connection - Engagement repor
The impact of social isolation and loneliness
Barbara Lawson and Sheri Kerr introduce findings from their literature review on meaningful connection. This episode focuses on the impact social isolation and loneliness has on our physical, mental and emotional health and wellbeing.
Useful links:
Meaningful connection - Literature review
Webinar on supporting meaningful connection
Factsheet to accompany webinar on meaningful connection
The road to Anne's Law
Sheri Kerr welcomes Natasha Hamilton from Care Homes Relatives Scotland to share the background to the Anne’s Law campaign.
Useful links:
Meaningful connection factsheet
Anne's Law petition
Anne's Law consultation information
Anne's Law consultation responses paper
New Health and Social Care Standards for care homes
Twitter – Care home relatives Scotland
Partners in care - including family carers
Barbara Lawson and Sheri Kerr focus on how family carers can be included as partners in care.
Useful links:
Care Inspectorate - Meaningful connection webpage
Meaningful connection - Literature review
Meaningful connection - Engagement report
Meaningful connection - Self-evaluation tool
Webinar on family carers as partners in care
Factsheet to accompany webinar on family carers as partners in care
New Health and Social Care Standards for care homes
Guide for providers on personal planning for adults
Scottish Human Rights
The right to connect
Sheri Kerr and Cathy Asante (Scottish Human Rights Commission) discuss the importance of a human rights-based approach and how this can support meaningful connection for people who live in care homes.
Useful links:
Scottish Human Rights website
Scottish Human Rights - Care about Rights
European Convention on Human Rights
Human Rights Act 1998
Webinar - A human rights based approach including the Health and Social Care Standards
Factsheet to accompany webinar on A human rights based approach including the Health and Social Care Standards
Scottish Human Rights - Human Rights Based Approach
Convention on the Rights of Persons with Disabilities
Human Rights Bill Scotland consultation
Safe to visit
Barbara Lawson speaks with Andrea Wyllie (CEO of Greenock Medical Aid Society) to find out how visiting was introduced and supported during the pandemic. Andrea shares the background to the human rights-based approach that influenced and ultimately supported all care homes to enable safe visiting during this time of crisis.
Useful links:
New Health and Social Care Standards for care homes
Scottish care home team’s efforts to bring loved ones together during pandemic wins nursing accolade (qnis.org.uk)
Open with Care: supporting meaningful contact in adult care homes – principles
The chance to connect
Barbara Lawson and Dr Edel Roddy, My Home Life Facilitator, explore how meaningful connection can be enhanced by recognising opportunities to be present with someone, how connection can be enhanced for people living with advanced dementia.
Tools and resources can help people recognise everyday opportunities to be present and capture the moment of connection and emotion.
Useful links:
My Home Life Charity resources
My Home Life Charity - A place in the fun
My Home Life Charity - lingo of connection
My Home Life Charity - rights made real
Hearts and Minds
Namaste Care
New Health and Social Care Standards for care homes
Care Inspectorate - Come on in
Positive peer relationships
Barbara Lawson and Sheri Kerr look at what research tells us about positive peer relationships in care homes, how services can create a culture of connection to enable friendships through intentional practices, such as know your neighbour, lounge and meal experiences, and how some barriers can be overcome through thoughtful personal planning and consideration.
Useful links:
Care Inspectorate - Meaningful connection webpage
Meaningful connection - Literature review
Meaningful connection - Engagement report
Webinar on positive peer relationships
Factsheet to accompany webinar on positive peer relationships
The Kings Fund - Is your care home dementia friendly?
Health and Social Care Standards
Guide for providers on personal planning for adults
Supporting loss
Barbara Lawson and Jenny Karimlar manager from Glennie House Care Home, explore death and dying and how services can support people living in care homes with the loss of a peer.
Useful links:
Guide for providers on personal planning for adults
Anticipatory care planning guidance
Getting out and about
Barbara Lawson and Louise Kelly from the Care About Physical Activity (CAPA) project discuss the importance of getting out and about to support wellbeing and connection. They explore ways to connect with nature, becoming aware of the seasons, the benefits of bringing the outside into the care home and including intergenerational opportunities.
Useful links:
Care Inspectorate - Care about Physical Activity
Trellis Scotland
Paths for All
Ken's story
Barbara Lawson and Ken Graham who moved into Glennie House Care Home during the pandemic. He shares his story and what is important to him to remain active as someone living in a care home.
Useful links:
Guide for providers on personal planning
The Hub - Care about physical activity
Person-centred personal planning
Barbara Lawson and Sheri Kerr discuss the importance of person-centred personal planning and how this can support meaningful connection.
Useful links:
The Hub - Health and Social Care Standards
The Hub - Guide for providers on personal planning for adults
The Hub - A quality framework for care homes for adults and older people
Care Inspectorate - Come on in
Mental Welfare Commission - Rights, risks, and limits to freedom
A family carer's perspective
Sheri Kerr is joined by Catharine Fletcher, who is a family carer and Care Inspectorate volunteer. Catharine shares her experiences and gives her views on what is important.
Useful links:
Care Inspectorate - Meaningful connection webpage
How inspection supports connection
Barbara Lawson, Sheri Kerr and Marie Paterson (Chief Inspector for Adults Regulation at Care Inspectorate) discuss the values of connection and how the inspection process and ways of working support this.
Useful links:
Care Inspectorate - Meaningful connection webpage
Meaningful connection - Self-evaluation tool
The Hub - Improvement support section
The Hub - A quality framework for care homes for adults and older people
Scottish Government - Open with Care
New Health and Social Care Standards
Webinar on family carers as partners in care
Factsheet to accompany webinar on family carers as partners in care
What our inspectors are looking for
Sheri Kerr and Barbara Lawson explore what inspectors in adult services would look for when considering care and support around meaningful connection.
Useful links:
The Hub - A quality framework for care homes for adults and older people
The Hub - Health and Social Care Standards
The Hub - Improvement support section
The Hub - Guide for providers on personal planning for adults
Meaningful connection - Self-evaluation tool
Technology enabled care
Sheri Kerr is joined by Nicky Cronin, who is Care Inspectorate’s Senior Improvement Adviser for Technology Enabled Care. They discuss why technology has become increasingly important to support people’s human rights and the need for a person-centred approach to support meaningful connection.
Useful links:
The Hub - Technology practice guide
The Hub - Guide for providers on personal planning for adults
Connecting with dementia
Sheri Kerr and Gareth Hammond Care Inspectorate Service Manager highlight some considerations around supporting people living with dementia in a care home to remain connected.
Useful links:
Care Inspectorate - Meaningful connection webpage
Care Inspectorate - Enriched model of psychological needs poster
Care Inspectorate - Come on in
The Hub - Guide for providers on personal planning for adults
The Hub - Dementia
The Bradford Wellbeing Profile
The Kings Fund - Is your care home dementia friendly?
Scottish Government - Coronavirus (COVID-19): living with dementia in care homes
Infection prevention and control
Barbara Lawson and Marie McKerry (Care Inspectorate Chief Nurse) look at some of the considerations around infection prevention and control, and why essential visiting is important.
Useful links:
National Infection Prevention and Control Manual
The Care Inspectorate - Meaningful connection webpage.
Scottish Government - Open with Care
New Health and Social Care Standards
Public Health Scotland
Staying up to date and getting in touch
Week by week guide
Our joint inspections of services for children at risk of harm last for around 22 weeks in total from the notification letter being received by the partnership being inspected to the report being published. The actual timespan may be longer if the period of the inspection includes school or public holidays.
Each inspection begins with a preparation stage, is then conducted over three phases, and concludes with a reporting stage. More information about what happens during each of these is available here:
We will share information about the scope and process of the inspection and the rationale for this, during scheduled meetings with partnership representatives at the start of and during the inspection. We will discuss which scrutiny activities will best help us to clarify any areas of uncertainty.
Shout out to carers
Justice
Our approach
The Care Inspectorate was tasked by the Scottish Government to lead on scrutiny and assurance to support the implementation of the community justice model and provide up-to-date scrutiny and assurance of justice social work.
The Community Justice (Scotland) Act 2016 introduced the current model of community justice. The Scottish Government outline the priorities in the national strategy for community justice.
The Act also established a national body, Community Justice Scotland to oversee community justice and introduce requirements to achieve national and local outcomes. These are highlighted within an Outcomes, Performance and Improvement Framework (OPIF).
The Scottish Government also commissioned the Care Inspectorate to develop a guide to self-evaluation for community justice in Scotland. The self-evaluation guide aligns to the national strategy and the OPI Framework (OPIF).
The guide is primarily for community justice partnerships to support continuous improvement. It also informs our approach to scrutiny and assurance of justice social work.
Since the strategic justice strategic team was established in 2018, we have undertaken a range of scrutiny, assurance and improvement activities in collaboration with a number of partners. We published an overview report in December 2021 which details our work and summarises the key findings.
How we do it
For detail on the methods we have used below, follow this link.
- Justice social work: inspections of community payback orders
- Community justice partnerships: supported and validated self-evaluation
- Community justice social work: throughcare review
- Our other work with scrutiny partners
Getting involved
We are committed to meaningfully involving people with lived experience of the justice system in our scrutiny, assurance and improvement activities. We want to develop an ethical, person-centred approach that promotes best practice. A pilot approach was developed in partnership with a national third sector agency. However, intended activities were disrupted by Covid-19. We aim to progress this work in 2022/23.
If you have any questions about our work please email This email address is being protected from spambots. You need JavaScript enabled to view it.
How we do it
Justice social work: inspection of community payback orders
In our overview report published December 2021, we presented the key findings aggregated across all five inspections.
Between September 2018 and November 2020, we completed five inspections of justice social work services with a particular focus on community payback orders in these areas:
- Scottish Borders
- West Dunbartonshire
- Inverclyde
- Dumfries and Galloway
- Aberdeen City.
We produced an inspection guide for this activity. In summary the inspection methodology involved:
- submission of a self-evaluation by each local authority area
- review of a representative sample of relevant records of people who were or had been subject to a community payback order
- interviews with people currently subject to a community payback order
- focus groups and interviews with members of staff, partner agencies and stakeholders, and senior managers, chief officers, elected members with responsibility for community justice social work
- verbal feedback to the local authority on findings based on the analysis and evaluation of all aspects of the inspection
- publication of an inspection report for each participating local authority area that included evidence-based evaluations of key quality indicators using a six-point scale.
Community justice partnerships: supported and validated self-evaluation
Between 2018 and 2020, we worked in partnership with Her Majesty’s Inspectorate of Constabulary in Scotland (HMICS) to support the implementation of the new community justice model through a validated self-evaluation approach. We carried out assurance activities across the following five community justice partnerships, one of which incorporated three local authority areas:
- North Lanarkshire (did not involve HMICS)
- Clackmannanshire
- Ayrshire (North, South and East)
- Shetland
- East Lothian
For more information on the supported and validated self-evaluation methodology please refer to our guidance and additional information. In summary our activity included:
- support and guidance from a strategic inspector for partnership areas to undertake self-evaluation
- submission of a self-evaluation by the partnership
- analysis of the submitted documents by the Care Inspectorate/HMICS team
- follow-up activities with the partnership to explore any areas of uncertainty (these included visits, interviews and focus groups)
- verbal feedback on the findings to each partnership based on the analysis of all the evidence gathered
- publication of the validation letter.
Community justice social work: throughcare review
The Scottish Government established the national criminal justice Recover, Renew, Transform (RRT) programme in response to the ongoing impact of Covid-19 on the justice system in Scotland. One of the tasks of the Recovery of Community Justice and Prevention of Offending sub-group was to explore breach of licence and recall to prison. This was to further understand recall and related processes to reduce the number of people being recalled to custody, where appropriate.
In March 2021, the Care Inspectorate received a request from the sub-group to undertake a focused piece of work relating to breach of licence/recall to custody. The strategic justice team undertook a review of throughcare with a primary focus on community justice social work practice.
The review sought to:
- identify potential barriers to reintegration; and
- seek assurance that community justice social work contributions to breach and recall processes were operating as they should.
As part of the review, we also gathered the views of individuals from across Scotland who had been recalled to prison following a breach of their throughcare licence conditions.
We published a report of our findings in September 2021. The report contains more detail on the methods we used.
Our collaborative work with scrutiny and improvement partners
We have a long-standing commitment to contribute to inspections of prisons and other institutions led by Her Majesty’s Inspectorate of Prisons in Scotland (HMIPS). Over the past three years, our contribution has been led by the strategic justice team with support from other strategic colleagues as appropriate. Throughout 2020/2021, we contributed to HMIPS Covid-19 liaison activities through on-site visits and remote contact with community agencies.
Throughout 2021/2022, we will continue to work with scrutiny and justice partners to contribute to the thematic prison review of risk management, progression and early release.
A separate piece of collaborative work will focus on the extent to which community justice partners are delivering on national priorities relating to early intervention and prevention.
In July 2023, we commenced a joint thematic review of prison-based social work, in partnership with His Majesty’s Inspectorate of Prisons in Scotland (HMIPS). This thematic review will consider the strengths and challenges in the governance, leadership, and accountability of prison-based social work services in Scotland. The full Terms of Reference for the review can be found here. This work will conclude in April 2024.