Preparing to Establish the Needs of Parent carers (Carer's Transition)

1. When to use this Procedure

This procedure should be used when you have been asked or allocated to carry out a child's carers assessment (to assess the likely needs for support that a parent carer will have when a child they care for becomes 18).

If you are carrying out an adult carer's assessment you need to access the main carer's assessment procedures, see: Carers.

2. Letting the Parent Carer know you will be Carrying out an Assessment

In all cases

You should contact the parent carer 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 parent carer 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.

See: How to Provide Information and Advice 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 parent carer as a formal record.

Arranging an assessment

If you are able to make arrangements for the assessment to be carried out you should do so. See: Section 5, Arranging the Assessment and Preparing the Parent Carer.

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 of the parent carer or the person they support;
2. Be satisfied that the delay is not going to increase the risk of abuse or neglect of the person the parent carer supports;
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 parent carer 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 parent carer 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 parent carer'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 parent carer 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 parent carer 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.

3. Consent, Refusal and Engagement Difficulties

Where the parent carer does not consent to the assessment

Any assessment can only be carried out if the parent carer it relates to has given their consent.

If the parent carer does not consent to the assessment taking place you should:

1. Try to establish the reasons that the parent carer is refusing the assessment and whether a delay in the assessment would be more appropriate (for example if the parent carer has other things happening in their life at the moment that they need to prioritise);
2. Provide information about the assessment process to alleviate any anxiety being felt about it;
3. Provide information about the benefit of an assessment.

If the parent carer continues to decline the assessment you should:

1. Confirm to the parent carer 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 Support;
4. Let the parent carer 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 parent carer 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 another assessment will be offered to the parent carer any point that this appears to be beneficial to them.

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

If no monitoring activity has been agreed you should:

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

Assessment when the parent carer has substantial difficulty engaging

If a parent carer has 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 parent carer 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 parent carer's difficulty arises when engaging in face to face communication;
3. Consider whether the parent carer has an appropriate person to support their involvement and, if not, whether the advocacy duty applies.

See: Using Independent Advocacy, which includes guidance on how to establish whether a parent carer needs an advocate and how to make a referral.

Refusal of an assessment by the Local Authority

A child's carer's assessment can only be refused if:

1. There is no appearance of need (or likely need) from the time the cared for person becomes 18; or
2. The timing of the assessment is not of significant benefit.

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

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 Support in the future; and
3. What to do if their needs change in the future.

Whenever you refuse to carry out a child's carer's assessment on the basis that the timing is not of significant benefit you must indicate when it may be of significant benefit and make appropriate arrangements to make sure that the assessment is carried out at that time.

Notifying others that an assessment has been refused

If the assessment was requested by anyone other than the parent carer 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 parent carer. For example this could be:

1. A health professional;
2. A social worker or an occupational therapist;
3. A housing officer;
4. A care provider.

Refused access to a parent carer requiring an assessment

Sometimes another person will obstruct you from carrying out an assessment. This can happen at any point from initial contact, to arranging an assessment, to carrying out an assessment. You should establish whether:

1. The parent carer has asked the person to obstruct the assessment (this can only be achieved through direct contact with the parent carer); or
2. The person obstructing the assessment is doing so out of concern for the parent carer (for example would the assessment process cause anxiety).

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 parent carer 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 parent carer at risk through lack of support;
2. Preventing the Local Authority from fulfilling its duties under the Care Act to assess and meet parent carer's 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 parent carer's involvement in the process is maximised.

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

Consideration should also be given to instigating an adult safeguarding enquiry if:

1. There are concerns that the person being cared for may be at risk of abuse or neglect; or
2. There are concerns that the parent carer may be at risk of abuse or neglect (for example, by the person obstructing the assessment).

4. Gathering, Understanding and Using Available Information

What the Care Act says

The Care Act is clear that you should not ask the parent carer (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.

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 parent carer;
5. Records relating to current or historical safeguarding enquiries or concerns; or
6. Existing or historical assessment reports, review reports or Support Plans.

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

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 Parkinson's UK, the British Institute for Learning Disabilities or MIND).

See: National Organisations with Information and Advice Helplines for details of some national organisations offering a specific information and advice helpline.

See: National Contacts for Adult Care and Support for a wider range of useful national contacts for adult Care and Support.

Gathering Information and Consulting

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

In regards to consulting with anyone else, under the Care Act you are only permitted to consult with those people that the parent carer has consented to you consulting with. If you are of the view that consultation would be beneficial you should seek the parent carers consent to consult. If this is not provided you may not consult.

See: Gathering Information and Consulting with Others.

5. Arranging the Assessment and Preparing the Parent Carer

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

1. The parent carer'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 Support.

When to arrange the assessment

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

The Care Act statutory guidance states that a child's carer's assessment must be carried out when it is of 'significant benefit' to the parent carer to do so.

Significant benefit relates primarily to the timing of the assessment and whether the parent carer will be able to engage in the process and get the most out of it in terms of being able to plan and prepare. The following are all things that should be considered:

1. Whether there is sufficient information to be reasonably confident about what the parent carer's needs will be when the young person they care for becomes 18;
2. Whether the parent carer is in, or wishes to enter further/higher education or training;
3. Whether the parent carer works, or wishes to get a job;
4. The time it may take to carry out an assessment;
5. The time it may take to plan and put in place the parent carer's support;
6. Any relevant family circumstances; and
7. Any planned medical treatment.

Any 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 person and their situation.

You should also take into account the following:

1. The level of risk to the parent carer;
2. The intensity and frequency of support the parent carer provides;
3. The level of support currently being provided to the parent carer and the sustainability/effectiveness of this;
4. The urgency and likelihood of deterioration (for example is the parent carer at breaking point);
5. Any clear indication of timeframe provided within any referral or recorded contact; and
6. Whether the parent carer will need the support of an independent advocate and the time it may take to arrange this.

How to arrange the assessment

The method of communication should reflect that requested by the parent carer 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.

See: How to Provide Information and Advice 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 parent carer 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 parent carer. Some of the things you should think about include:

1. Whether the parent carer will require independent advocacy;
2. Whether the parent carer will find any assessment process to be emotionally difficult and what can be done to reduce their anxiety;
3. The information the parent carer may need to prepare for the assessment;
4. Whether the parent carer would like for anyone in particular to be involved in any assessment;
5. Which environment would be best to meet in (if a meeting is to be arranged);
6. Whether the assessment needs to be arranged around work commitments that the parent carer has; and
7. Whether the assessment needs to consider any physical needs the parent carer has for medication or rest.

When arranging the assessment you should also identify other people who may need to be a part of it. For example, a health professional or a service provider may need to be involved. As long as the parent carer consents you should arrange for others to be involved if their involvement would be beneficial.

Preparing the Parent Carer for Assessment

Under the Care Act you must provide information about the assessment process to the parent carer as early as possible. This will help ensure their involvement in the assessment and any subsequent Care and Support processes. Wherever practical this should be provided before the assessment process begins.

Any information should be provided in an accessible way for the parent carer 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 parent carer.

The information that should 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 should also provide a list of any questions that you intend to ask of the parent carer 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

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

It is your responsibility to understand the local charging policy around carers. If the local policy is not to charge carers, you must inform the carer of this. If the local policy is to charge carers, you must inform the carer that a financial assessment will take place in due course and that the outcome of this will determine whether they will need to make a financial contribution to the cost of any services arranged.

6. Using Independent Advocacy

If the need for independent advocacy has not already been established at contact or referral 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

In some cases the only person who will need to be involved in any assessment will be the parent carer. In other cases more people will need to be involved because:

1. The parent carer has asked you to involve another person (for example, the cared for young person);
2. The parent carer has consented to the involvement of another person; or
3. The parent carer will be using independent advocacy.

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 parent carer'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.

A whole family approach

The Care Act is clear that a whole family approach to assessment should be taken wherever possible. This means that you should:

1. Establish who relevant family members are; and
2. Arrange for them to be involved in the assessment if the parent carer consents to this.

Relevant family members include the cared for young person, anyone living with the parent carer, including older adults and any children. It can also include family members who are not living with the parent carer, but who are still involved or interested in the parent carer's wellbeing.

8. Deciding the Method of 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 parent carer's involvement is maximised by the method;
2. The method is appropriate and proportionate to the needs and circumstances of the parent carer;
3. The method will provide a full picture of the parent carers 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.

Possible assessment methods include:

1. Face to face assessment;
2. Telephone assessment;
3. Online assessment;
4. Combined assessment (with the cared for person);
5. Joint or integrated assessment;
6. Supported self assessment; and
7. Delegated assessment

To access the Care Act definitions for each of the above assessment methods, see: Methods of Assessment, part of the Care Act 2014.

Combining a parent carers assessment with a needs assessment

A parent carers transition assessment can be carried out under the Care Act as a combined assessment at the same time as any child's needs transition 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 young person and the parent carer agree to a combined assessment process; or
3. The young person 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 young person with care and support needs lacks capacity to consent but a best interest decision is made to that effect.

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 parent carer;
2. The outcome the parent carer seeks from the assessment; and
3. The frequency and intensity of the support the parent carer provides.

Some of the other factors that should be considered include:

1. Availability of a particular assessment method;
2. Whether carrying out a combined assessment process would be beneficial.
3. Whether the method of assessment chosen poses any challenges or risks for the parent carer;
4. The specific communication needs of the parent carer (specifically whether they will be able to engage in the assessment method);
5. The potential fluctuation of the parent carers needs or situation; and
6. 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 parent carer (and 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.

The duty to co-operate

Where the Local Authority requests another person to work jointly in some way to benefit the parent carer 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, see: Co-Operation.

How to request joint work or assessment

Any decision to request joint work should be made with the parent carer.

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.

Responding to a request for joint work

If you have been asked to work jointly with a colleague in adult Care and Support 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 co-ordinate 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 parent carer together, produce joint records or just consult and share information);
4. What the anticipated outcome of the joint work is (for example on-going joint-work to monitor);
5. What does the parent carer 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 parent carer to go to with any queries; and
7. Who will be responsible for communicating progress and decisions to the parent carer.

11. Preparing in an Urgent Situation

The parent carer's transition assessment should never be carried out as an assessment to meet an urgent need.

If the assessment is deemed urgent because the parent carer has unmet needs you should refer to relevant children's services procedures and the appropriate assessment under the Children and Families Act 2014 should be carried out.

If the assessment is deemed urgent because the young person being cared for is nearing 18 you must agree with the parent carer:

1. Whether to arrange the assessment and carry it out in a timely way as per these procedures; or
2. Whether to arrange for an adult carers assessment to be carried out instead.