Preparing to Establish Needs (Disability Locality Teams and Transitions)

1. Letting the Adult know you will be Carrying out an Assessment

In all cases

You should let the adult know that you will be carrying out the assessment unless:

1. They have requested you liaise with a nominated representative (for example an advocate, parent or teacher); or
2. They lack capacity and a decision is made that it would be in their best interests to liaise with another appropriate person.

You should contact the adult (or their representative/other appropriate person) as soon as possible to let them know that you will be carrying out the assessment, even if you are not able to make the arrangements to do so yet.

The method of communication should reflect that requested by the adult (or their representative/other appropriate person) and any specific communication needs they may have.

For the purposes of the Care Act communication about the assessment is subject to the same requirements as the provision of information and advice, and the duty to make it accessible therefore applies equally. 

Click here to read more about how to provide information in an accessible way under the Care Act.

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 (or their representative/other appropriate person) as a formal record.

Where the adult lacks capacity

If the adult lacks capacity you should let an appropriate person know that you will be carrying out the assessment. Unless there is a reason not to this should normally include the adult's parent/s and may also include:

1. Anyone legally authorised to represent the adult;
2. An independent advocate;
3. Where the adult lives in residential care, the manager of the care home;
4. Where the adult lives in an educational establishment, the responsible person.

Arranging an assessment

If you are able to make arrangements for the assessment to be carried out you should do so. Click here to access the procedure for arranging an assessment.

If you are unable to arrange the assessment yet

If you are not able to arrange the assessment at this first contact you should:

1. Be satisfied that the delay is not going to increase the risk of deterioration in need or circumstances;
2. Be satisfied that the delay is not going to increase the risk of abuse or neglect;
3. Provide any information or advice that may be beneficial at that time;
4. Be satisfied that urgent or interim support is not required;
5. Be satisfied that the adult (or their representative/ other appropriate person) understands the reason for the delay;
6. Agree a proposed timeframe for the assessment to be carried out and further contact to be made; and
7. Advise the adult (or their representative/other appropriate person) what to do should their situation change.

An element of monitoring should be incorporated into any delayed process to ensure that you remain aware of the adult's situation and are able to respond appropriately to any changes or need to re-prioritise their assessment.

If the timeframe for assessment agreed with the adult (or their representative/other appropriate person) changes you should let them know as soon as possible. If you experience difficulties prioritising your own work you should seek support from your line manager.

If the adult (or their representative/other appropriate person) is not happy about any delays and you are satisfied that you are taking all reasonable steps to make arrangements and reduce risk you must make them aware of their right to complain.

People and carers can be directed to the Croydon Council website for information about the adult social care complaints process.

Click here to read the complaints policy and procedure.

2. Notifying and Involving Parents and Step-Parents

When the adult is 18 years or over and has capacity

In line with the rights of all adults, from the age of 18 any adult with capacity to do so can refuse consent for anyone to be notified or involved in any assessment process, including parents.

The only exception to this is when that parent or step-parent is providing on-going informal care. In this situation the parent is now a carer and under the Care Act all carers must be involved in the assessment of the cared for person, regardless of whether consent is given.

If the parent or step-parent in question is not a carer you cannot notify or involve them in the assessment without the consent of the adult.

When the adult is 18 or over and lacks capacity

If the adult is over 18 but lacks capacity their parent/s or step-parent/s should be notified of the assessment and involved in it if:

1. The parent/s or step-parents in question provide on-going informal care to the adult (carers must be involved in the assessment); or
2. A best interest is made to this effect.

Click here to access the Mental Capacity Act 2005 Resource and Practice Toolkit, which contains guidance about assessing capacity and making best interest decisions.

It would normally be in the adult's best interests for their parent or step-parent to be notified and involved in any assessment unless doing so would place the adult at risk of harm or abuse.

Maximising the adult's involvement

Sometimes the relationship that the adult has with their parent (or the relationship that parents have with each other) may not ensure the involvement of the adult in the assessment process. For example:

1. The adult may become overly distracted by their presence;
2. The adult may become distressed at their presence;
3. Parents may be estranged and there is a high risk of conflict or disruption during meetings.

You have a duty to ensure the involvement of the adult so will need to consider any adjustments you need to make to the planned process.

Examples of adjustments could include:

1. Holding separate meetings with each parent;
2. Meeting with the adult without the parent's presence;
3. Involving a parent via consultation only; and
4. Involving the parent in some aspects of the assessment but not others.

When the adult is under 18

Regardless of capacity an adult under the age of 18 cannot refuse consent for their parent/s or step-parents to be involved in any assessment process unless:

1. The parent/step-parent in question does not have parental responsibility; and
2. The parent/step-parent in question is not a carer for the child.

If both of the above apply and the adult has capacity then you cannot notify or involve the parent/step-parent without their consent to do so.

Parental Responsibility

If the parent/step-parent in question has parental responsibility they have to be involved because parental responsibility does not end until the adult is 18. Having parental responsibility means being legally responsible for the welfare of the adult in a range of areas.

Examples of the welfare a person with parental responsibility is responsible for include:

1. Making sure that the adult has somewhere to live;
2. Making sure the adult is safe; and
3. Making sure the adult is cared for.

As the adult gets older and they become more and more able to make their own decisions parental responsibility reduces accordingly. This means that at the time the adult is assessed for adult Care and Support parental responsibility will be much diminished and the Mental Capacity Act will be the primary decision making framework.

Carers

If the parent/step-parent in question is also an on-going carer for the adult they have to be involved because carers have to be involved in any assessment relating to the person they care for.

Maximising the adult's involvement

Sometimes the relationship that the adult has with their parent (or the relationship that parents have with each other) may not ensure the involvement of the adult in the assessment process. For example:

1. The adult may become overly distracted by their presence;
2. The adult may become distressed at their presence;
3. Parents may be estranged and there is a high risk of conflict during meetings.

You have a duty to ensure the involvement of the adult so will need to consider any adjustments you need to make to the planned process.

Examples of adjustments could include:

1. Holding separate meetings with each parent;
2. Meeting with the adult without the parent's presence;
3. Involving a parent via consultation only; and
4. Involving the parent in some aspects of the assessment but not others.

3. Consent, Refusal and Engagement Difficulties

When an adult under the age of 18 does not consent to the assessment

A needs assessment can only be carried out if the adult it relates to has given their consent unless:

1. The adult is over 16, lacks capacity to refuse the assessment and you are satisfied that carrying out the assessment would be in their best interests; or
2. The adult is under 16, lacks competence to refuse the assessment and a person with parental responsibility consents; or
3. The person is experiencing, or is at risk of, abuse or neglect.

As long as none of the above criteria applies you do not have to carry out the assessment. You should:

1. Confirm to the adult (and their parents) that the assessment is not being carried out on the basis that they have refused it;
2. Provide any information and advice about adult Care and Support and the transition process as appropriate and relevant;
3. Provide any information and advice that will reduce, delay or prevent the need for Care and Support;
4. Let the adult (and their parents) know they have the right to an assessment at any point in the future on the appearance of need alone;
5. Provide information about how the adult (or their parents) can request an assessment in the future; and
6. Where there is a need to monitor the situation, agree how this will happen; and
7. Where the situation is to be monitored, explain that the Local Authority will offer the adult another assessment at any point that it feels this would be beneficial to them.

Where the adult who has refused an assessment has a carer (including a parent carer) the duty to assess the carer's transitional needs still applies, unless the carer also refuses the assessment.

Where communication about refusal is provided by telephone a follow up letter confirming the conversation and outcome should be sent to the adult (and their parents) as a formal record.

Where the adult over the age of 18 does not consent to the assessment

Any assessment can only be carried out if the adult it relates to has given their consent unless:

1. The adult lacks capacity to refuse the assessment and you are satisfied that carrying out the assessment would be in their best interests; or
2. The adult is experiencing, or is at risk of, abuse or neglect.

As long as neither of the above criteria applies you do not have to carry out the assessment. You should:

1. Confirm to the adult that the assessment is not being carried out on the basis that they have refused it;
2. Provide any information and advice about adult Care and Support as appropriate and relevant;
3. Provide any information and advice that will reduce, delay or prevent the need for Care and Support;
4. Let the adult know they have the right to an assessment at any point in the future on the appearance of need alone;
5. Provide information about how the adult can request an assessment in the future; and
6. Where there is a need to monitor the situation, agree how this will happen; and
7. Where the situation is to be monitored, explain that the Local Authority will offer the adult another assessment at any point that it feels this would be beneficial to them.

Where the adult who has refused an assessment has a carer (including a carer who is also a parent) the duty to assess the carer's needs still applies, unless the carer also refuses the assessment.

Where communication about refusal is provided by telephone a follow up letter confirming the conversation and outcome should be sent to the adult as a formal record.

If no monitoring activity has been agreed you should:

1. Make a proportionate record of the adult's refusal and the action you have taken;
2. Notify the person who requested the assessment (if this was not the person); and
3. Proceed to close the case.

Make sure it is only your own involvement that ends when the Local Authority is to remain involved in some way, for example:

1. Appointeeship.
2. Deputyship
3. Carers support
4. Tenancy in extra sheltered housing.

Consent and Capacity (from the age of 16)

If there are concerns that the adult may lack capacity to consent to the assessment then a proportionate mental capacity assessment must be carried out to determine whether this is the case. This can be carried out by a person other than the assessor if they have the necessary skills to do so.

If the adult has capacity to consent following the mental capacity assessment their consent must be obtained before carrying out the assessment.

If the adult lacks capacity to consent following the mental capacity assessment then a Best Interest Decision must be made to confirm that carrying out the assessment will be in their Best Interests. This decision should be made by the assessor as the decision whether to assess or not rests with them.

Click here to access the Mental Capacity Act 2005 Resource and Practice Toolkit, which contains guidance about assessing capacity and making best interest decisions.

Support can also be sought from team members, champions and the Mental Capacity Act Lead.

Note: All formal mental capacity assessments must be signed off by a manager.

Assessment when the adult has substantial difficulty

If an adult does not lack capacity but does have substantial difficulty being involved in any Care and Support process you must take all reasonable steps to ensure their involvement.

You must:

1. Ensure that you have provided information in an accessible way, or that the adult has an appropriate person to support them to understand it;
2. Arrange to carry out the assessment in an appropriate format so that it is accessible. This is likely to be face to face, unless the person's difficulty arises when engaging in face to face communication;
3. Consider whether the person has an appropriate person to support their involvement and, if not, whether the advocacy duty applies.

Click here to access the advocacy procedures, including how to establish whether a person needs an advocate and how to make a referral.

Refusal of an assessment by the Local Authority

If any assessment is refused by the Local Authority you must confirm this in writing and explain to the adult:

1. The reason the assessment has been refused;
2. Information and advice about what can be done to prevent or reduce the development of needs for Care and Support in the future; and
3. What to do if their needs change in the future.

The only ground upon which the Local Authority can lawfully refuse any adult an assessment is where there is no appearance of need. It does not matter whether the appearance of need is likely to prove eligible after any assessment. As such, it is unlikely that many people who request an assessment will be refused.

If you do feel that an assessment is not appropriate you should discuss this with a manager before refusing it as you must be sure that the decision to refuse is legally sound.

Notifying others that an assessment has been refused

If the assessment was requested by anyone other than the person and it has been refused you should notify the person who requested it so that they can make any arrangements to discuss other options with the person. For example this could be:

1. A carer;
2. A health professional;
3. Another social worker or an occupational therapist;
4. A teacher;
5. A housing officer;
6. A care provider.

Refused access to an adult requiring an assessment

Sometimes another person will obstruct you from carrying out an assessment with an adult who has Care and Support needs. This can happen at any point from initial contact, to arranging an assessment, to carrying out an assessment. You should establish whether:

1. The adult with Care and Support needs has asked the person to obstruct the assessment, and if so whether they have capacity to refuse the assessment (this can only be achieved through direct contact with the adult with Care and Support needs);
2. The person obstructing the assessment is doing so out of concern for the adult with Care and Support needs (for example would the assessment process cause anxiety);
3. The adult with Care and Support needs is at risk of abuse or neglect.

Wherever possible you should provide information and advice relating to adult Care and Support and the assessment process to the person obstructing the assessment, to support them to understand the benefits and engage in the process.

If the person continues to obstruct the assessment, and you are not able to establish from the adult with Care and Support needs that this is at their request you must take action to ensure the assessment is carried out. By obstructing the assessment process the person is:

1. Putting the adult with Care and Support needs at risk through lack of support;
2. Preventing the Local Authority from fulfilling its duties under the Care Act to assess and meet eligible needs.

An assessment in this situation can be carried out based on the information available and through consultation with others. The advocacy duty should be considered and it is likely that a referral would be appropriate to ensure that the adult's involvement in the process is maximised.

Any information gathered must be enhanced at such time when the adult is involved, and all information sharing should give regard to confidentiality.

Click here to access the local Data Protection policy.

Depending on the circumstances consideration should also be given to raising a safeguarding enquiry under adult or children's procedures (depending on the age of the adult).

Click here to access the safeguarding adults procedures, including how to recognise abuse and neglect, how to raise a concern and how to record safeguarding information.

For more information about Safeguarding Children visit the Croydon Safeguarding Children Board website by clicking here.

Assessment when the adult is at risk of abuse or neglect

Under the Care Act you have a duty to carry out the assessment if the adult is at risk of abuse or neglect. This is regardless of whether they consent to it or not.

Where the adult does not consent but there is a duty to assess you should:

1. Explain to the adult that you have a duty to assess;
2. Support and encourage the adult to be involved in the assessment; and
3. Carry out the assessment to the best of your abilities while ensuring their involvement as much as possible.

4. Gathering, Understanding and Using Available Information

What the Care Act says

The Care Act is clear that you should not ask the adult (or anybody that you consult with for the purpose of assessment) to repeat information that has already been made available to you unless there is a valid reason for doing so. For example, if you have not understood the information and want to clarify the meaning behind it then it may be appropriate to ask for it to be repeated, summarised or clarified.

Before continuing or beginning to carry out any kind of assessment you should take some time to read through the information that is already available for the purposes of:

1. Understanding it; and
2. Thinking about how it should inform the assessment process.

When an Education, Health and Care Plan is available

The EHC Plan is a statutory requirement of the Children and Families Act 2014. The Plan brings together all of the assessments that have been completed by multiple organisations in relation to a child or adult with Special Educational Needs (also known as SEND) into one document.

Where an adult has an EHC Plan they will have begun an element of transition planning from year 9. The EHC Plan will contain information about the person, their aspirations and progress towards achieving their desired outcomes.

Where an EHC assessment and plan exist and will be continuing past the age of 18 the adult needs assessment should, wherever possible be carried out at the same time as any EHC plan review to reduce unnecessary duplication and the adult (and their family) from having to undergo unnecessary processes.

Existing EHC assessments and plans should be used to inform the adult needs assessment, and where possible the two assessments should be combined.

When a child's needs assessment is available

When a child's needs assessment has already been carried out you must establish whether the adult's needs have changed since the time that it was completed.

If the adult's needs have not changed you must consider the benefit to be gained from further assessment. This should be done in consultation with the adult (or their representative) and any decision made must give regard to:

1. The views of the adult about the need for further assessment;
2. The views of others about the need for further assessment;
3. The impact of further assessment on individual Wellbeing.

Where a decision is made not to carry out further assessment the information available in the child's needs assessment should be recorded as an adult needs assessment and an eligibility determination made.

Where a decision is made to carry out further assessment this must be proportionate and make effective use of the information available in the child's needs assessment.

Sources of existing information

Existing sources of information may be available via:

1. Referral forms;
2. Recordings of any contact made;
3. Letters, texts and emails;
4. A confidential conversation with a colleague or manager who is familiar with the adult;
5. Reports from professionals (for example a Speech and Language Therapist, Psychologist or Teacher);
6. Records relating to current or historical safeguarding enquiries or concerns;
7. Existing or historical mental capacity assessments; or
8. Existing or historical assessment reports, review reports or Plans.

All information gathering and sharing should be carried out with regard to the Caldicott Principles and local information sharing policies.

Use the tri.x Resources tab to access further information about the Caldicott Principles in the glossary.

Click here to access the local Data Protection policy.

Other sources of information available

It may be appropriate and necessary for you to undertake an element of research in order to improve your own knowledge or awareness of a particular issue or health condition:

1. By speaking with a colleague who possesses skills and knowledge in a particular area;
2. By reading particular guidance or written resources about a particular medical condition;
3. By accessing a reputable website for information and advice (for example the British Institute for Learning Disabilities or MIND).

Click here for details of some national organisations offering a specific information and advice helpline.

Click here for a wider range of useful national contacts for adult Care and Support.

Consultation with the adult

You may need to speak to the adult in advance of arranging their assessment in order to gather or clarify any information.

Gathering Information and Consulting with Others

5. Arranging the Assessment and Preparing the Adult

Legally you must have regard to the following when arranging an assessment:

1. The adult's views and wishes about when and how the assessment is carried out, including who they would like to support them;
2. The impact of any delay in assessment on their individual Wellbeing; and
3. Whether any information and advice can be given to them that will prevent, delay or reduce the need for Care and Support.

When to arrange the assessment

The Care Act statutory guidance states that 'an assessment should be carried out over an appropriate and reasonable timeframe taking into account the urgency of the needs or situation and consideration of any fluctuating needs'. This means that arbitrary timeframes (fixed timeframes that apply to all) should be avoided and a more flexible approach taken that reflects the needs of the adult and their situation.

The timing of the assessment should be agreed with the adult and anyone else who is to be involved in it.

You should also take into account the following:

1. The level of risk;
2. The level of need;
3. Current support in place and the sustainability/effectiveness of this;
4. The urgency;
5. The likelihood of deterioration;
6. The potential for fluctuation;
7. Any clear indication of timeframe provided within any referral or recorded contact; and
8. Whether the adult will need the support of an independent advocate and the time it may take to arrange this.

How to arrange the assessment

You should make arrangements to carry out the assessment with the adult unless:

1. They have requested you liaise with a nominated representative (for example an advocate, parent or teacher); or
2. They lack capacity and a decision is made that it would be in their best interests to liaise with another appropriate person.

The method of communication should reflect that requested by the adult (or their representative/ other appropriate person) and any specific communication needs they may have.

For the purposes of the Care Act communication about the assessment is subject to the same requirements as the provision of information and advice, and the duty to make it accessible therefore applies equally.

Click here to read more about how to provide information in an accessible way under the Care Act.

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 (or their representative/ other appropriate person) as a formal record.

What should be considered when arranging the assessment

The most important thing you must consider when arranging the assessment is how you will ensure the involvement of the adult. Some of the things you should think about include:

1. Whether the adult will require independent advocacy;
2. Whether the adult will find any assessment process to be emotionally difficult and what can be done to reduce their anxiety;
3. The information the adult (or their carer) may need to prepare for the assessment;
4. Whether the adult requires any support with communication (for example, will any assessment tool need to be adapted, will an interpreter be required or does a Speech and Language Therapist need to be involved);
5. Whether the adult would like for anyone in particular to be involved in any assessment;
6. Which environment would be best to meet in (if a meeting is to be arranged); and
7. Whether the assessment needs to consider any physical needs the adult has for medication, rest or personal care.

When arranging the assessment you should also identify other people who may need to be a part of it. For example, a parent, health professional or a service provider may need to be involved.

If the adult lacks capacity

If the adult lacks capacity you should make arrangements with an appropriate person. Unless there is a reason not to this should normally include the adult's parent/s and may also include:

1. Anyone legally authorised to represent the adult;
2. An independent advocate;
3. Where the adult lives in residential care, the manager of the care home;
4. Where the adult lives in an educational establishment, the responsible person.

Preparing the adult for Assessment

Under the Care Act you must provide specific information to the adult (or their representative if they lack capacity) as early as possible for the purpose of ensuring their involvement in the assessment and any subsequent Care and Support processes. Wherever practical this must be provided before the assessment process begins.

Any information must be provided in an accessible way for the person who will be receiving it. In all cases where information has been provided by telephone a follow up letter confirming the information provided should be sent to the person.

The information that must be provided is as follows:

1. Information about what can be expected during the assessment process;
2. The format that the assessment will take (e.g. telephone assessment, face-to-face assessment);
3. The indicative timeframe for assessment (when will it begin and how long is it likely to take);
4. The complaints process; and
5. Information about possible access to independent advocacy.

You must also provide a list of any questions that you intend to ask of the adult during the assessment. This will help them to prepare for the assessment and to think about their Wellbeing, the impact of their needs on this and what outcomes they want to achieve.

Information about finances

You must inform the person (or their representative if they lack capacity) that if, following assessment the Local Authority meets any eligible needs a financial assessment will take place and that the outcome of this will determine whether they will need to make a financial contribution to the cost of any support, services or equipment arranged.

Financial assessment is often a key point of anxiety for people and it is important that you are able to provide good information and advice (either directly or by supporting the adult to access it from an appropriate person or source).

For further detail about specific information about financial assessment that must be given under the Care Act click here.

Click here to see the answers to some frequently asked questions around financial assessment.

Click here to access the financial assessment procedures, including how and when to provide information and advice about financial assessment, how and when to request a financial assessment and what to do if a person refuses a financial assessment.

6. Using Independent Advocacy

If the need for independent advocacy has not already been established then this should become clear when either arranging the assessment or providing information about it. As soon as this is established you must consider whether the duty to make independent advocacy applies and, if so make the necessary arrangements.

7. Preparing Others for Involvement

General Guidance

Sometimes the only person who will need to be involved in any assessment will be the adult with Care and Support needs. However, it is likely that in most cases more people will need to be involved because:

1. The adult has a carer (carer's must be involved in the adult's assessment);
2. The adult is under 18;
3. The adult has asked you to involve another person;
4. The adult has consented to the involvement of another person;
5. The adult will be using independent advocacy;
6. The adult may already have a multidisciplinary team in place;
7. The adult lacks capacity and a decision has been made in their best interests to involve another person; or
8. The assessment is being carried out because of the risk of abuse and neglect and there is a need to involve others.

It is important that everyone who is to be involved in an assessment is aware of:

1. The purpose of the assessment;
2. The process of assessment; and
3. Their role in any assessment.

The needs of others involved in an assessment should also be considered, but this should not be at the detriment of maximising the adult's own involvement.

If a person has a role in the assessment process but is not able to physically attend any planned meeting it is possible under the Care Act to consult with them separately and still include their views in any assessment and decision making processes.

Preparing carers and family members (including parents)

The Care Act is clear that a whole family approach to assessment should be taken wherever possible. This means that you should establish who relevant family members are and arrange for them to be involved in the assessment when:

1. The adult consents; or
2. The family member has parental responsibility of an adult under 18;
3. The adult lacks capacity and a best interest decision is made to involve the family member.

Relevant family members include anyone living with the adult, including parents, older adults and any siblings, including younger children. It can also include family members who are not living with the adult, but who are still involved or interested in the adult's wellbeing.

Family members may have particular questions and require additional information to the general guidance above, which could include:

1. Information relating to financial assessment;
2. Information about mental capacity and best interests;
3. Information about a Lasting Power of Attorney;
4. Information about Appointeeship;
5. Information about Deprivation of Liberty Safeguards; and
6. Information about carers assessment.

Where the adult has not consented for a carer to be involved

Under the Care Act carers have to be a part of the cared for person's assessment, even if the cared for person does not want them to be. This is because the Local Authority needs to:

1. Understand the person's needs, how they are currently being met and whether this is appropriate and sustainable; and
2. Identify and support carers.

When an adult has not consented to the carer being a part of the assessment you should:

1. Advise the adult that you have a duty to involve the carer;
2. Explain the benefits of the carer being involved; and
3. Agree the most appropriate way to involve the carer (for example a separate meeting with the carer).

If the adult has requested particular information not relating to needs is withheld from the carer, and they have capacity to do so normal confidentiality rules apply unless:

1. Doing so would put the person at risk of abuse or neglect; or
2. Doing so would prevent a parent from fulfilling their parental responsibilities to the adult.

Click here to access the local Data Protection policy.

Maximising the adult's involvement

If the carer is a parent or step-parent sometimes the relationship that the adult has with them may not ensure the involvement of the adult in the assessment process. For example:

1. The adult may become overly distracted by their presence; or
2. The adult may become distressed at their presence;

You have a duty to ensure the involvement of the adult so will need to consider any adjustments you need to make to the planned process.

Examples of adjustments could include:

1. Holding separate meetings with the carer;
2. Involving the parent via consultation only; and
3. Involving the parent in some aspects of the assessment but not others.

Where the adult has not consented for a parent to be involved

When the adult is 18 or over

If the adult is 18 and has capacity they are able to refuse to give consent for anyone else to be involved in their assessment (including their parents). This is with the exception of carers, who must be involved in any assessment.

When the adult is under 18

Regardless of capacity an adult under the age of 18 cannot refuse consent for their parent/s or step-parents to be involved in any assessment process unless:

1. The parent/step-parent in question does not have parental responsibility; and
2. The parent/step-parent in question is not a carer for the child.

If both of the above apply and the adult has capacity then you cannot involve the parent/step-parent without their consent to do so.

Parental Responsibility

If the parent/step-parent in question has parental responsibility they have to be involved because parental responsibility does not end until the adult is 18. Having parental responsibility means being legally responsible for the welfare of the adult in a range of areas.

Examples of the welfare a person with parental responsibility is responsible for include:

1. Making sure that the adult has somewhere to live;
2. Making sure the adult is safe; and
3. Making sure the adult is cared for.

As the adult gets older and they become more and more able to make their own decisions parental responsibility reduces accordingly. This means that at the time the adult is assessed for adult Care and Support parental responsibility will be much diminished and the Mental Capacity Act will be the primary decision making framework.

Maximising the adult's involvement

Sometimes the relationship that the adult has with their parent (or the relationship that parents have with each other) may not ensure the involvement of the adult in the assessment process. For example:

1. The adult may become overly distracted by their presence;
2. The adult may become distressed at their presence;
3. Parents may be estranged and there is a high risk of conflict during meetings.

You have a duty to ensure the involvement of the adult so will need to consider any adjustments you need to make to the planned process.

Examples of adjustments could include:

1. Holding separate meetings with each parent;
2. Meeting with the adult without the parent's presence;
3. Involving a parent via consultation only; and
4. Involving the parent in some aspects of the assessment but not others.

8. Deciding the Method of Assessment

Where a child's needs assessment is available

Where a child's needs assessment has already been carried out you must establish whether the adult's needs have changed since the time that it was completed.

If the adult's needs have not changed you must consider the benefit to be gained from further assessment. This should be done in consultation with the adult (or their representative) and any decision made must give regard to:

1. The views of the adult about the need for further assessment;
2. The views of others about the need for further assessment;
3. The impact of further assessment on individual Wellbeing.

Where a decision is made not to carry out further assessment the information available in the child's needs assessment should be recorded as an adult needs assessment and an eligibility determination made.

Where a decision is made to carry out further assessment this must be proportionate and make effective use of the information available in the child's needs assessment.

The different methods of assessment available

The Care Act recognises a whole host of different methods of assessment, any of which could be appropriate so long as:

1. The adult's involvement is maximised by the method;
2. The method is appropriate and proportionate to the needs and circumstances of the adult;
3. The method will provide a full picture of the adults needs in regard to the impact that those needs have on their Wellbeing; so that
4. The Local Authority can provide an appropriate response at that time.

Assessment methods currently available in Croydon are:

1. Face to face assessment;
2. Telephone assessment; and
3. Combined assessment (with a carer).

Combining a needs assessment with an EHC Plan

The EHC Plan is a statutory requirement of the Children and Families Act 2014. The Plan brings together all of the assessments that have been completed by multiple organisations in relation to a child or adult with Special Educational Needs (also known as SEND) into one document.

Where an adult has an EHC Plan they will have begun an element of transition planning from year 9. The EHC Plan will contain information about the person, their aspirations and progress towards achieving their desired outcomes.

Where an EHC assessment and plan exist and will be continuing past the age of 18 the adult needs assessment should, wherever possible be carried out at the same time as any EHC plan review to reduce unnecessary duplication and the adult (and their family) from having to undergo unnecessary processes.

Existing EHC assessments and plans should be used to inform the adult needs assessment, and where possible the two assessments should be combined.

Following any adult needs assessment process any Care and Support plan that is agreed should also be combined with any existing EHC Plan to form one comprehensive plan wherever possible.

Combining a needs assessment with a carers assessment

A needs assessment can be carried out under the Care Act as a combined assessment at the same time as any carers assessment, so long as:

1. It is deemed appropriate to do so (for example both parties involvement can still be maximised and there is no conflict between the parties);
2. Both the adult and the carer agree to a combined assessment process; or
3. The adult with care and support needs lacks capacity to agree but a best interest decision is made to carry out a combined assessment;
4. Both parties consent to sharing information with each other for the purpose of combined assessment; or
5. The adult with care and support needs lacks capacity to consent but a best interest decision is made to that effect.

Click here to access the procedures for carrying out a carer's assessment, which you should use to enhance these procedures when assessing the needs of a carer during any combined assessment process.

How to decide the method of assessment

When making a decision about the method of assessment you must have regard to:

1. The wishes and preferences of the adult;
2. The outcome the adult seeks from the assessment; and
3. The severity and overall extent of the adult's needs.

Some of the other factors that should be considered include:

1. Availability of a particular assessment method;
2. If the adult has a carer, whether carrying out a combined assessment process would be beneficial.
3. Whether there is a concern about the adult's capacity in relation to a particular decision to be made. In this situation the Care Act requires you must carry out a face to face assessment;
4. Whether the method of assessment chosen poses any challenges or risks for the adult;
5. The specific communication needs of the adult (specifically whether they will be able to engage in the assessment method);
6. The potential fluctuation of the adults needs or situation; and
7. Any need for multidisciplinary working or assessment.

9. Tools to Establish Needs

Using a tool to support the process of establishing needs or formal assessment can be useful for all involved. If you are going to use a tool you should endeavour to provide this to the adult (or whoever will be supporting them) before the assessment is scheduled to take place.

10. Joint Work

Sometimes there may be a clear benefit to a joint assessment with another service area, team or professional. The Care Act recognises this and permits the Local Authority to make any arrangements it deems appropriate in order to facilitate joint working with others.

When the adult is known to children's services

There is an expectation under the Care Act that children's and adult's services will work together whenever the person is known to both. Working together involves:

1. Sharing information;
2. Carrying out joined up processes wherever possible, such as review; and
3. Agreeing and making seamless arrangements for the transition of support.

The duty to co-operate

Where the Local Authority requests another person to work jointly in some way to benefit the adult with Care and Support needs that person has a duty to co-operate with the request (unless by doing so they will be prevented from carrying out their own duties under the Care Act or other legislation).

For further information about the duty to co-operate under the Care Act click here.

How to request joint work or assessment

Any decision to request joint work should be made with the adult (or their representative). Where the adult is unable to provide consent to joint work decisions should be made in their best interests.

Joint work requests should be made in the manner preferred by the service or team to which the request is being made. This may or may not take the form of a referral.

The request should explain clearly the nature of the joint work required and any specific skills, knowledge and competence requirements of the practitioner to support allocation.

Each service area/team within adult Care and Support has an area of these procedures and information about how to access specific services can be found there.

Responding to a request for joint work

If you have been asked to work jointly with a colleague in adult Care and Support, children's services or in another organisation (such as health or housing) you should contact the person you will be working jointly with to confirm your involvement and discuss the most effective way to work together. The things you should establish include:

1. The work they are doing/will be doing/have done and whether they have any information that you need to know or can use to avoid duplication;
2. Whether there are opportunities to coordinate systems and processes and, if so how this will be managed;
3. What the expectations are in terms of joint-working (for example will you be expected to carry out a joint assessment, meet with the adult together, produce joint records or just consult and share information);
4. What the anticipated outcome of the joint work is (for example joint funding of support, on-going joint-work to monitor);
5. What does the adult with care and support needs know about the joint-work to be carried out (and if they don't know who and how should this be explained);
6. Who will be the primary contact for the adult (or their representative) to go to with any queries; and
7. Who will be responsible for communicating progress and decisions to the adult.

Further practice guidance about effective joint working can be found in the joint-work procedure by clicking here.

Specialist joint work or assessment

Some areas of joint work are specialist or non-frequent in nature. The procedures for these pieces of work can be found in the Specialist and Universal Procedures section of this manual. The following are examples of the specialist and non-frequent procedures that can be found there:

1. NHS Continuing Healthcare assessments;
2. Continuity of Care;
3. Cross Border Placements.

11. Preparing in an Urgent Situation

When the adult is already receiving support

If the adult is already receiving support under the Children Act 1989 or the Children and Families Act 2014 this support must continue until the point that their needs have been established under the Care Act, an eligibility determination reached and any adult Care and Support services arranged. This is the case even if the adult becomes 18.

This means that there should never be an urgent need to arrange an assessment for an adult who is already receiving support.

Where there is a risk of dispute with children's services because of the delays in arranging to carry out an assessment you should seek support from your line manager and liaise with children's services about the best way to carry out the assessment and ensure the adult's needs continue to be met.

When the adult is not receiving support from children's services

Sometimes the timeframe within which to arrange an assessment is not conducive to all of the considered planning and preparation as outlined in this procedure. For example, there may always not be the time to research and make the best use of available information or to consult with others before arranging to meet with the adult. However, even when the timeframe is short it is of paramount importance that you still:

1. Take all available steps to ensure the involvement of the adult in any assessment;
2. Consider consent and mental capacity;
3. Provide independent advocacy where there is a statutory duty to do so;
4. Prepare the adult and others as much as possible;
5. Identify what existing information is important and understand it; and
6. Know what you have not been able to do and ensure that at the earliest opportunity you make arrangements to do so (for example to consult with another professional or read a particular report).