Legal Requirements of a Care and Support Plan Review and Tools (Disability Locality Teams and Transitions)

1. When to use these Procedures

These procedures should be used whenever you are carrying out a statutory review of a Care and Support Plan.

When the adult has an Education, Health and Care Plan

There is an expectation under the Care Act that any EHC Plan review is combined with any Care and Support Plan review to avoid duplication for the adult and reduce administration.

You should either:

1. Carry out the EHC Plan review yourself at the same time as you carry out the Care and Support Plan review; or
2. Request a suitably skilled person carries out the EHC Plan review as part of the planned process to carry out the Care and Support Plan review.

2. The Purpose of a Care and Support Plan Review

The Care and Support Plan/Support Plan review is the primary monitoring function of the Care Act. It is vital that reviews are carried out to ensure that the duty to meet eligible needs is being met on an on-going and continuing basis.

The purpose of a Care and Support Plan review

The Local Authority has a statutory duty under section 27 of the Care Act to:

1. Keep Care and Support Plans under general review (using the timescales set out in the Act); and
2. Review the Care and Support Plan upon any reasonable request to do so.

Under the Care Act the purpose of a Care and Support Plan review is to:

1. Reflect on what is working and not working about the Care and Support Plan;
2. Consider what may need to change about the Care and Support Plan;
3. Make sure the plan remains up-to-date;
4. Make sure the plan remains relevant to the adult's needs and identify any need for reassessment;
5. Make sure the plan remains relevant to the adult's aspirations; and
6. Mitigate the risk of people entering a crisis or safeguarding situation.

What the Care and Support Plan review must establish

There are particular broad elements that you must establish when carrying out a Care and Support Plan review:

1. Have the adult's circumstances and/or Care and Support needs changed?
2. What is working in the plan, what is not working, and what might need to change?
3. Have the outcomes identified in the plan been achieved or not?
4. Does the adult have new outcomes they want to meet?
5. Could improvements be made to achieve better outcomes?
6. Is the adult's personal budget enabling them to meet their needs and the outcomes identified in their plan?
7. Is the current method of managing the personal budget still the best one for what they want to achieve (for example, should a Direct Payment be considered)?
8. Is the personal budget still meeting the sufficiency test?
9. Are there any changes in the adult's informal and community support networks which might impact negatively or positively on the plan?
10. Have there been any changes to the adult's needs or circumstances which might mean they are at risk of abuse or neglect?
11. Is the adult, carer, independent advocate or other person involved satisfied with the plan?

3. Legal Requirements of Review

Timing of a Care and Support Plan Review

The review should be carried out in a timely way. This must be within the statutory timeframes described in the Care Act, which are as follows:

1. A review of a new service or Care and Support Plan should be carried out within 6-8 weeks of the service/change commencing;
2. A review of an on-going stable Care and Support Plan should take place no less than 12 months after the date of the 6-8 week review, and then no less than once every 12 months after that;
3. Where the adult's needs or circumstances are likely to change reviews should be arranged as required to monitor the situation and respond to changes in a timely way.

Who must be involved in a review

Whenever you carry out a review you must involve:

1. The person with Care and Support needs;
2. Anyone else that the person has asked you to involve;
3. Any carer that the person has;
4. The person's representative (when they lack capacity or have substantial difficulty);
5. Where the person lacks capacity, anyone else that the Local Authority deems it would be in the person's best interests to involve.

The timing of a Direct Payment review

1. Where the adult is managing part or all of their personal budget with a Direct Payment an initial review of the Direct Payment must be carried out no later than 6 months after the first payment is made; and
2. Further reviews of the Direct Payment should take place no less than every 12 months.

Combining a Direct Payment Review with a Care and Support Plan Review

Wherever possible there is an expectation under the Care Act that a Care and Support Plan review and a Direct Payment review are carried out at the same time, preferably as a joint process. Doing so will prevent unnecessary duplication for both the adult and the Local Authority.

Click here to access the Direct Payment review procedure.

Combining an EHC Plan Review with a Care and Support Plan Review

There is an expectation under the Care Act that any EHC Plan review is combined with any Care and Support Plan review to avoid duplication for the adult and reduce administration.

You should either:

1. Carry out the EHC Plan review yourself at the same time as you carry out the Care and Support Plan review; or
2. Request a suitably skilled person carries out the EHC Plan review as part of the planned process to carry out the Care and Support Plan review.

If you carry out the EHC Plan review yourself you should also refer to the EHC Plan review procedures by clicking here.

Who can carry out a review

Any person carrying out a review must be:

1. Competent to carry out the function; and
2. Possess the skills, knowledge and competence required based on the adult's needs and circumstances (for example being skilled to adapt communication appropriately for someone with a learning disability, or to work confidently alongside a multidisciplinary team).

There are specific requirements when the person has a diagnosis of Autism or is Deafblind. These are the same requirements that apply when carrying out an assessment and can be accessed by clicking here.

The responsibility of review

4. Tools and Practice Guidance for Review

General practice guidance

These procedures contain comprehensive general practice guidance to support an effective review process. Click here to access additional practice guidance that can support the processes of establishing needs, Care and Support Planning and review when the adult has specific or complex needs.

Legal Requirements and Statutory Guidance

The Care Act does not require that a specific tool (or any tool at all) is used to support or shape the review process, but it does acknowledge that a good tool can be helpful. However, any tool should:

1. Facilitate and maximise the adult's involvement;
2. Support the information gathering process;
3. Be flexible and adaptable; and
4. Be appropriate and proportionate to the needs being met by the Care and Support Plan.

See below for details of the tools that are available for you to use as required.

Considerations when using tools

The process of review involves having a skilled conversation about:

1. What is working/not working;
2. What may have changed about the adult's situation, need or outcomes; and
3. What may need to change in the Care and Support Plan as a result.

Depending on the nature of the review and the presenting issue there may be a need to explore in more detail:

1. Changes in Needs; and
2. Risk.

You should consult with the adult and/or others when arranging the review to understand the specific communication needs that the person has so that any review tool you use will ensure their involvement in the conversation.

If you not feel that the review tools available to you will be appropriate you should speak to your manager about how they can be adapted.

Sometimes you may need to supplement the available tools with more bespoke tools to support the specific communication needs of the adult. For example, you may need to use photographs or pictures. This is entirely appropriate under the Care Act as it will ensure the involvement of the adult and will also support you to meet the duty to provide information in an accessible way.

Available tools

Across the country and even within each Local Authority there are a range of models and frameworks used to support or shape the process of review. These are known as tools.

The following are additional tools available to you that may enhance any review conversations and accessibility.

Click here to to access a range of tri.x person centred tools that can:

1. Support an adult to think about what matters most to them, now and in the future;
2. Support an adult or family member to think about Wellbeing;
3. Support an adult or family member to think about needs and what a good day/bad day looks like; and
4. Support an adult or family member to think about what is working/not working about a Care and Support Plan and any services or support they receive.

Think Local Act Personal have also produced an online tool to support everything from preparing a person for an assessment, to having a skilled conversation and developing a Care and Support Plan through to review. This can be accessed by clicking here.

5. Light Touch Review

The Care Act expects a light touch review to be carried out whenever this is deemed appropriate. 

The primary focus of a 'light touch' review is to gather enough information to be satisfied that the Care and Support Plan is working effectively as intended with no issues or adjustments needed. During a light touch review there is only a requirement to 'touch' upon needs, Wellbeing and outcomes, unless doing so identifies the need for a more explorative conversation.

A light touch review is less intrusive for the adult and avoids unnecessary duplication or repetition of information recently provided. The recording of a light touch review should also be more proportionate.

A light touch review is normally appropriate and proportionate whenever:

1. There are no known changes in need or circumstances; and
2. There are no changes required to a Care and Support Plan (or minimal changes to how existing Care and Support is provided only); and
3. There are no changes required to the personal budget.

A light touch review should be specifically considered in the following circumstances:

1. At the 6-8 week review; and
2. When there is/has been on-going monitoring of the adult's needs or circumstance.

6. Refusal of a Review by the Local Authority

Who can request a review

Anybody can make a request for a Care and Support Plan to be reviewed and the Local Authority must consider all requests made. There is a duty to carry out a review whenever a request is deemed 'reasonable'.

Deciding whether a review request is 'reasonable'

Any request for a review that is made at a time when there is a statutory responsibility to review at that time is reasonable. If these are the circumstances of the request a review must be arranged and carried out at the earliest opportunity.

Deciding whether a review request made at any other time is 'reasonable' involves considering a number of factors before making a professional judgement. These include:

1. Is the information on which the request is being made accurate?
2. If a review has been carried out in the last 6-8 weeks, has there been a change in need or circumstance?
3. Is the Care and Support Plan still working as intended?
4. Are the eligible needs identified at assessment being met?

Click here to access a tri.x tool that can support decision making following a request to review.

The need to consult with the adult

The adult whose Care and Support Plan it is must be consulted before any decision is made about the need to review, and their views must be regarded.

If the adult lacks capacity to be consulted you should consult with an appropriate person, where possible this should be somebody with the legal authority to represent the person and make decisions relating to Care and Support.

When a review is deemed 'reasonable'

If the review is deemed reasonable you should make arrangements to carry it out at the earliest opportunity, using these procedures.

When a review is deemed 'unreasonable'

There is no duty to carry out a review if the request is deemed 'unreasonable'.

If the decision is made not to carry out a review you should inform the adult whose Care and Support Plan it is, and the person who made the request (if this was a different person) as soon as possible.

You should explain:

1. That the review request has been declined;
2. The evidence upon which the decision was made;
3. When a planned review will be carried out;
4. What the person should do if their needs or circumstances change before then; and
5. The person's right to complain about the decision.

You must also provide information and advice about:

1. Adult Care and Support in general as required;
2. Ways that needs could be prevented, reduced or delayed.

In all cases where communication has been provided by telephone a follow up letter confirming the conversation and outcome should be sent to the adult as a formal record.

You should also make a proportionate record of the decision, the adult's views and the information that has been given to them, specifically any timescales that have been agreed.

Monitoring the situation

A proportionate response to a review request may be to agree monitoring arrangements.

There is a duty under the Care Act to carry out proportionate monitoring whenever there is a risk that an adult's needs may change or their situation may become unstable.