Introduction, Legal Requirements and Tools (Adult Procedures (Life Planning))

1. When to use these Procedures

These procedures should be used by anyone working in adult Care and Support that has been allocated or asked to carry out any process that establishes eligible needs under the Care Act, including any formal assessment or reassessment of need.

The procedures should not be used to carry out a child's needs assessment under section 58 of the Care Act. If you are carrying out a child's needs assessment click here.

2. Establishing Needs v. Assessment

Under the Care Act any method of establishing needs is known as an assessment and this is the legally recognised term. Assessment is an integral part of adult Care and Support.

The term 'assessment' covers;

1. The range of methods that can be used to establish needs, some of which are formal (for example, a face to face assessment) and some of which are not so formal (for example, a short telephone conversation); and
2. The range of models and frameworks used to support or shape the process of information gathering.

Unfortunately the word 'assessment' is all too often associated with outdated practices to gather information that do not support the ethos of the Care Act. For example, being;

1. A process led by the assessor;
2. A structured process involving the use of forms and arbitrary questions;
3. An 'interview' of the person being assessed; and
4. A gateway to funding and services, the nature of which is decided by the assessor.

As a mechanism to promote and support new practices around assessment that are in line with the Care Act ethos and duties, these procedures intentionally use the phrase 'Establishing Needs' alongside the legal term 'assessment'. This supports users of the procedures to think more flexibly about what an 'assessment' can, and may need to involve so that it is;

1. Proportionate, only being formal or lengthy when it needs to be;
2. Led by the person with care and support needs;
3. Appropriate to the person and their situation; and
4. A method of supporting the person to find their own solutions to issues identified.

3. The Purpose of any Assessment

Under the Care Act the main purpose of any assessment is;

1. To provide a full picture of the person's needs, with a particular focus on the impact that those needs have on their Wellbeing and the outcomes they want to achieve in their day-to-day life; so that
2. The Local Authority can put in place appropriate, proportionate and timely arrangements for that person in order to meet their needs and promote individual Wellbeing. This response might range from offering guidance and information to arranging for services to meet the needs.

A good assessment will also;

1. Support people to understand their strengths and capabilities within the context of their situation;
2. Support people to understand the support that may be available to them within the community or through other networks and services; and
3. Support people to consider some of the different ways that the Local Authority may be able to support them (other than through a formal service).

The information gathered will help the Local Authority to;

1. Make a determination about eligibility (where eligibility is a factor in meeting assessed needs); and
2. Understand the kind of service provisions that could be explored when Care and Support planning.

4. Legal Requirements of a Needs Assessment

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 information gathering to establish needs. The Care Act recognises that different approaches are used but all must fulfil the same legal requirements.

Click here to read the legal requirements of any assessment to establish needs as defined by the Care Act 2014, including the criteria when an assessment must be carried out and who must be involved in any assessment.

5. When a Child's Needs Assessment is Available

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

If the young 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 young adult (or their representative) and any decision made must give regard to;

1. The views of the young 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.

6. When there is an Existing Education, Health and Care Plan (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 young adult with Special Educational Needs (also known as SEND) into one document.

Where a young 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 young adult, 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 young 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.

7. Tools and Practice Guidance to Establish Needs

General practice guidance

These procedures contain comprehensive general practice guidance to support an effective assessment process.

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 assessment process, but it does acknowledge that a good tool can be helpful. However, any tool should;

1. Facilitate and maximise the person's involvement;
2. Support the information gathering process;
3. Be flexible and adaptable; and
4. Be appropriate and proportionate to the situation and needs of the person being assessed.

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

Considerations when using tools

The process of establishing needs involves having a skilled conversation about;

1. Wellbeing and outcomes;
2. Needs; and
3. Risk.

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

If you not feel that the assessment 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 person. 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 person 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 information gathering to establish needs. These are known as tools.

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

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

1. Support a person to think about what matters most to them, now and in the future;
2. Support a person or family member to think about Wellbeing;
3. Support a person or family member to think about needs and what a good day/bad day looks like; and
4. Support a person 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.

The Local Authority subscribes to Research in Practice for Adults (RiPfa) who provide a range of tools and resources to support skilled conversations.

RiPfa can be accessed by clicking here.

If you have difficulties accessing the resources speak to your line manager.