Thresholds, Referrals & Section 42 — Getting the Safeguarding Response Right
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🔔 Blog 3 of 7 in our Expanded Safeguarding Series
Thresholds, Referrals & Section 42 — Getting the Response Right
Links to all 7 blogs in this series are at the bottom of this post.
📌 Why Thresholds and Referrals Matter
Recognising abuse is essential, but what happens next is equally critical. Thresholds determine whether a concern is managed internally, escalated to safeguarding leads, or referred to the local authority. Referrals must be timely, accurate, and proportionate — because delays can leave people at risk, while unnecessary referrals overwhelm local systems.
Commissioners want providers to evidence that they know when and how to escalate concerns. Inspectors ask staff how they would respond if they suspected harm — and they expect consistent, confident answers across the team.
⚖️ Understanding Thresholds
Local authorities issue safeguarding threshold guidance that sets out when concerns should become referrals. Providers should ensure staff understand:
- Low-level concerns — poor practice that can be addressed through supervision or internal QA.
- Moderate concerns — repeated issues, patterns of neglect, or potential financial exploitation, triggering safeguarding lead review.
- High-level concerns — significant risk of harm, abuse, or neglect that require immediate referral to the local authority.
In tenders, strong providers evidence how thresholds are applied in practice, often referencing bid strategy training or real-world case examples to demonstrate learning and proportionality.
📤 Making Referrals
When thresholds are met, staff must make referrals that are:
- Timely — same-day escalation for high-risk concerns.
- Detailed — including facts, observations, and records of what was said or seen.
- Confidential — sharing only with those who need to know.
- Collaborative — involving families or advocates where safe and appropriate.
Many providers choose to embed referral guidance into safeguarding method statements to strengthen tender responses. A domiciliary care bid, for example, might highlight processes for referring concerns about self-neglect, while a learning disability tender could reference accessible communication with advocacy partners.
📜 Section 42 Enquiries
Under the Care Act 2014, local authorities must make Section 42 enquiries if they believe an adult is experiencing, or at risk of, abuse or neglect. Providers play a central role in these enquiries by:
- Providing detailed records of concerns, incidents, and actions taken.
- Engaging in multi-agency meetings with honesty and openness.
- Ensuring staff are supported to contribute to enquiries without fear of blame.
- Embedding learning from enquiries into practice, policy, and training.
Inspectors look for evidence that providers are not defensive but instead welcome safeguarding enquiries as opportunities for improvement.
💡 Practical Example
Example (Home Care): A care worker notices a client with unexplained bruising. They immediately escalate to the safeguarding lead, who determines it meets the threshold for referral. The local authority accepts under Section 42. The provider contributes care logs, staff statements, and ensures the client has advocacy support. Outcomes and lessons learned are fed back into staff training.
This example shows recognition ➜ threshold judgement ➜ referral ➜ Section 42 ➜ learning — the cycle commissioners and inspectors expect to see.
📊 Evidencing Thresholds & Referrals in Tenders
Commissioners are not reassured by vague assurances like “we follow safeguarding procedures.” High-scoring responses show:
- Clear escalation pathways (staff ➜ safeguarding lead ➜ local authority).
- Training on thresholds, refreshed annually and tested in supervision.
- Data on referral volumes and outcomes, discussed at governance level.
- Examples of Section 42 participation and organisational learning.
Many providers back this up with safeguarding strategies or external tender reviews to ensure responses stand out in competitive bids.
📚 Catch up on the full Expanded Safeguarding Series:
- 📘 Why Safeguarding Matters in Social Care
- 🧭 Recognising Abuse, Neglect & Self-Neglect (Including Modern Slavery & Domestic Abuse)
- 🔔 Thresholds, Referrals & Section 42: Getting the Response Right
- 🤝 Making Safeguarding Personal (MSP) & Advocacy in Practice
- 🧩 Multi-Agency Working, Information-Sharing & Record-Keeping
- 🧯 Building a Speak-Up Culture: Whistleblowing, Supervision & Debriefs
- 📄 Evidencing Safeguarding in Tenders & Inspections