May 2025
- Workbooks updated to latest revision
- Single Guidance document added
October 2024
Workbooks updated with:
- Named contact for the ASP Minimum Dataset for your locality requested (front page)
- Indicators 10 & 11 - The categories for actions taken following inquiries: concluded without the use of investigatory powers; using investigatory powers have been revised, along with accompanying guidance
- Indicators 15 a & b - ‘Human trafficking and/or exploitation’ has been added as a principal type of harm
- Indicators 17 a & b - The following have been added as additional client group categories:
- Autism / Autism spectrum
- Palliative care
- Acquired brain injury
- Alcohol-related brain damage
- Revised Glossary entry for LSIs
June 2024
- The Phase 1 workbooks were removed from web page as part of the rollout of the full Phase 2 dataset for the year commencing April 2024.
March 2024
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Guidance relating to Indicators 2 (Count of inquiries concluded without the use of investigatory powers) and 3 (Count of inquiries using investigatory powers)
It is the trigger point of an inquiry that determines what quarter it should be recorded in. This is pertinent to inquiries that conclude without use of investigatory powers, and to inquiries that use investigatory powers.
Further notes:
We do not expect ASP referrals to match the number of inquiries. We know, for example, that multiple agencies can make an ASP referral for the same person- triggered by the same or a different incident.
Neither should we equate the number of inquiries with the number of adults being inquired about. For example, a fresh ASP referral may result in a new inquiry being triggered in a quarter, if the previous inquiry has been closed. If it has not been closed, it would be a continuing inquiry with new information. Equally, if an initial case conference is pending or an adult has an ASPP in place, an ASP referral would provide new information, but would not necessarily trigger a new inquiry.
We are aware that, in certain areas, some ASP referrals are closed to ASP processes before an S4 inquiry has been undertaken (separate from those circumstances described above). These may be passed/signposted to another team or service in the absence of a S4 inquiry. Guidance and clarification has been requested from the Scottish Government on the general duty to make inquiries under S4 of the Act. Any clarifying or best practice information received will contribute to future minimum dataset guidance regarding these particular indicators. -
Guidance relating to Indicators 10 (Actions taken following inquiries concluded without the use of investigatory powers) and 11 (Actions taken following inquiries using investigatory powers)
Please count all inquiries triggered in a quarter and record actions taken where these are known. Actions can be tracked up to the submission date you have been provided with for each quarterly data return.
To illustrate:
If 100 inquiries were begun in Quarter 1 (1 April - 30 June inclusive) we ask you to record what actions were taken, tracking these up to August 12th, the Scottish Government submission date for returns. Please select the action taken from the list of categories provided.
We understand that there may be delays that result in actions taken being recorded as pending/unknown. We ask you to provide commentary in the free box on the reasons for delays eg. delay in receipt of financial records requested of other agencies as part of an inquiry.
February 2024
- Quarterly data return dates added
- Email address for returns added
November 2023
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How to count inquiries without/with use of investigatory powers – revised guidance
Investigatory powers relate to S7-10 activities as described in the ASP Minimum Dataset glossary, with the revised Code of Practice (July 2022) providing greater clarity on Council Officer roles in relation to statutory use of S7-10 in response to an ASP referral. As such, any inquiries where a visit, for example, has been undertaken by a non-Council Officer, should be counted under inquiries WITHOUT use of investigatory powers.
It is for localities to consider how it is possible to capture activity undertaken by non-Council Officers that includes visits and interviews as part of an inquiry, why this is the case and how it can inform workforce planning going forward.
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How to count Adult Support & Protection Plans (ASPPs) – revised guidance
Re Indicators:
8a Number of adults on ASPPs in total at the end of quarter (Phase 2 only)
8b Number of adults with newly commenced ASPPs within quarter only (Phase 1 & 2)Guidance (8a)
Total ASPPs are the number of plans open under ASP at the end of a quarter.
Guidance (8b)
Total newly commenced ASPPs are those started in a quarter and exclude review plans. An ASPP revised at a review Case Conference is NOT a new ASPP.
Further note
By subtracting newly commenced plans from all open or live plans in a quarter, this will provide you with new and previously existing plans. - Revised FAQs added with additional guidance around sharing data.
October 2023
- Additional guidance on ASP referral source categories added to both P1 and P2 workbooks. Guidance derived from that listed under June 2023 updates below.
August 2023
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New field added to workbooks to capture submitting local authority area (from dropdown).
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Additional guidance added for Indicator 1 on ASP referrals:
Guidance on the relationship between ASP referrals and S4 inquiries
ASP referrals tell us about the number of referrals received, and importantly from which sources they come from to inform training needs and awareness raising activities. They should not be expected to match the number of adults referred to ASP Services or subsequent S4 inquiries.
More than one ASP referral can be received for the same individual from different agencies that have come into contact with the adult. This may be for:- The same individual, same incident, and same type of harm at a singular point in time
- The same individual but separate incidents or different types of harm within a short timescale
Such referrals may or may not generate a separate inquiry. This will depend on local practices and whether different ASP referrals for the same individual are linked in systems.
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Addition to Indicator 19 on LSIs. An extra field (19c) was added to capture NHS code for any LSI taking place in a hospital setting. Guidance on new indicator added:
LSIs – inclusion of NHS codes
For LSIs taking place in a hospital setting, please record the relevant national hospital code found in this list of 'Current NHS Hospitals in Scotland' [Hospital Codes - Current NHS Hospitals in Scotland - Scottish Health and Social Care Open Data]. (See Location code, column 2). Please note that these national codes are different to local NHS Board ones. If the hospital in question is not on this national list, please record 'not on the national list.'
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New scrutiny question added to Indicator 1 on ASP referrals:
"How many adults have been referred to ASP services, as opposed to the number of ASP referrals received, and if a disparity exists, what might that tell you?" -
New scrutiny question added to Indicator 5 on Adults invited to attend a case conference (Phase 2 only):
"To what extent is the adult and / or their representatives active contributors to the meeting – ie what is the quality of their participation?" -
Various minor changes and bug fixes.
June 2023
Updates for Phase 1 roll out (2023-24):
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Guidance on how to count inquiries using investigatory powers
Investigatory powers relate to S7-10 activities and as described in the ASP Minimum Dataset glossary. The revised Code of Practice (July 2022) has aimed to provide greater clarity on Council Officer roles with the implications for current practice. Currently, a few APCs, non-Council Officers are involved in some S7-10 activities ie. home visits or interviews (in any format) with adults known or believed to be at risk. Until all practice is aligned with the Code of Practice, we offer the following guidance for 2023-24 Minimum Dataset returns.
Please count all inquiries using investigatory powers regardless of who did them (Council Officer or not). This is to avoid undercounts, especially in areas with low levels of Council Officers.
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Changes to ASP referral dropdown categories
We have replaced ‘Other Child Protection agencies’ with Children’s Services as feedback indicated that this would be more useful.
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Updated guidance on ASP referral source categories
These are standard umbrella categories, reflecting service types. We need something that will work for all 32 Local Authority areas. We appreciate, however, that how services are managed (and what professionals are involved within these services) will be different in different areas. Hence the illustrations that we have provided in the table below, are just illustrations, and may not be an exact fit with how things are organised in your particular environment.
Please be guided by the service type
For example, there are Social Work Occupational Therapists (OTs) as well as NHS OTs. The former would be recorded as a social work referral as it is the service, not the job role, which has key importance here. Similarly, workers with the same job title can work in different service types eg a nurse may work in Primary Care, in Acute Services or in Community Health Services.
We appreciate that referrals from integrated teams will be harder to categorise. This will need to be a local decision as to whether there is a broad fit with the categories provided’ or if you feel the need to include under ‘other’ - recording further details and any caveats to highlight data issues going forward.
Please remember that where you are using the ‘other category’ that you should provide information specifying the referral source. We will review the use of ‘other’ going forward.
Be guided by the reason for collecting the ASP referral source
Remember that a key reason for collecting the source of an ASP referral is to help you understand what local services are contributing to ASP work, and to inform and help you target what training or awareness raising is required.
To support this, you might want to consider training to ensure the data is captured in a consistent way and takes account of how services are organised in your local area. And, while not a requirement of the Minimum Dataset, you may choose to provide further sub-categories under the umbrella categories we have provided locally.
ASP referral categories – with some illustrative examples provided
ASP referral categories Illustrative examples Health Improvement Scotland Scottish Ambulance Service NHS 24 NHS Primary Care GPs, dentists, pharmacists, optometrists or District Nurses. NHS Acute Services General hospitals including maternity hospitals, some other community hospitals specialising in care such as rehab or long-term care may be included here or could be added to the community health category. NHS Community Health Services Health visitors, school nurses, family nurses, midwives, community hospital staff, Allied Health Professionals (rehab, day services etc); possibly district nursing depending on local service arrangements. Mental Health Services – hospital and community This would cover all in-patient and community based mental health services including Learning Disability services, CAMHS, Psychiatric Liaison and crisis.
Also psychology services - mostly mental health but may include other service areas depending on local arrangements.
It may also include GP based mental health practitioners - again, depending on local arrangements.
NHS Specialist Drug and Alcohol services This would cover all NHS drug and alcohol services in-patient and community based. Please note that drug and alcohol services are typically led and managed under mental health services in the NHS. Other Health Eg Public Health, Private Healthcare, Prison Healthcare Care home This would include care homes from the public, private and third sectors and a mix of professionals. Housing This would be inclusive of housing provided by local authorities, private landlords or housing associations and homelessness services. Children’s Services Eg Children’s reporter, CELCIS, Barnardos, Women and Children First. Other (please specify)
December 2022
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Health categories within ASP referral sources revised
Changes made reflecting learning and input from partners.
New Old NHS 24 NHS Primary Care NHS Primary Care (GP staff + dentists) NHS Acute Services Hospital staff (NHS) NHS Specialist Drug and Alcohol services NHS Community Health Services Mental Health Services – hospital and community Other health (Eg Public Health, Private Healthcare, Prison Healthcare) Independent health practitioners, private health, and allied health professionals, not directly employed by health boards
