Introduction, Legal Requirements and Tools (Disability Locality Teams and Transitions)

1. When to use these Procedures

These procedures should be used by anyone that has been allocated or asked to confirm or assess an adult's need for adult Care and Support from the age of 18.

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.

The procedures should not be used to carry out any assessment that is not related to transition. If you are carrying out a child's needs assessment under the Children Act 1989 you should refer to available Children's Services procedures by clicking 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Unfortunately the word 'assessment' is all too often associated with outdated practices to gather information that do not support the ethos of the Care Act.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 in regard to the impact that those needs have on their Wellbeing; so that
2. The Local Authority can provide an appropriate response for that person at the right time 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 an Adult 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 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.

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 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 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 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.

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 adult'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 adult 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 adult and/or others when arranging the assessment to understand the specific communication needs that the adult has so that any assessment tool you use will maximise 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 adult. For example, you may need to use photographs or pictures. This is entirely appropriate under the Care Act as it will maximise 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 information gathering to establish needs. These are known as tools.

Click here to access a range of tools available to support any assessment process with an adult up to the age of 25 with Special Educational Needs (SEN).

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 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.