1. Scope Context and Policy Statement
2. Policy Procedures and Protocols
3. Implementation Plan
4. Monitoring and Review
5. References
Appendix 1.
Client Categories / Case Ownership Protocol Table
Appendix 2.
Case Transfer Protocol Table
This Policy applies to all Devon adult and children’s social services and Partnerships providing social services.
The aim of this policy is;
National and Local Policy and Legal Context
Equalities
This policy should be implemented in a way that is consistent with Devon County Council’s Equalities Policy which can be found on the Devon County Council web site and Social Services Policy web pages.
The Directorates Duties for assessment and service provision
All adult divisions within Devon Social services are governed by the common legal framework relating to assessment and provision of services. The Directorate has a legal duty to assess any adult who appears to us to need community care services, where the person appears to be someone for whom community care services could be provided (based on NHS and Community Care Act 1990)
also
Any person over 18 who is “Disabled” including people who are
or
who is substantially and permanently handicapped by
(based on Disabled Persons (Services and Consultation and Representation) Act 1986 Section 4
National Assistance Act 1948 Section 29 (1
Chronically Sick and Disabled Persons (CSDP) Act 1970 Section 2 )
N.B.
LAC(93) 10 Appendix 4 asks councils to give a wide interpretation to the term substantial to take full account of individual circumstances and a flexible interpretation to the term permanent in cases where they are uncertain of the duration of the condition. Examples include episodic or recurring illness, intermittent disability/conditions.
Other assessment duties relating to Mental Health
As well as the assessment duties relating to mental health outlined above there are specific assessment requirements within Mental Health are determined by Sections 2, 3, 4 and 7 of the 1983 Mental Health Act. These sections require an Approved Social Worker to undertake an assessment of an individual’s mental health along with key Health colleagues.
The Mental Health Act 1983, section 117 requires a local authority, jointly with the Health Authority, to provide aftercare services for people leaving hospital after being compulsorily detained under Section 3 of the Mental Health Act. It is implicit in such a duty that a process of assessment must be undertaken prior to discharge to identify needs and how they will be met.
Carers
Carers of any of the above have the right to an assessment. This will consider their ability to provide care or continue to provide care (see Carer Contact & Assessment Guidance)
Where they provide or intend to provide a substantial amount of care on a regular basis for another individual 18 or over
And
the local council is satisfied that the person cared for is someone for whom it may provide or arrange for the provision of community care services
This right exists even where the person cared for has refused an assessment by the local council Social Services Department or has refused the delivery of community care services following an assessment
Carers of Disabled Children
For the purposes of this paper the needs of this group of service users are a matter for Childrens Services, except where they also come within the definitions outlined above in which case other divisions may need to carry out and contribute to the necessary assessments.
All Divisions must ensure that access to assessment and provision of services sits within this legal context and must not restrict access to assessments by moving outside this legal framework.
Initial or Contact Assessments
Initial assessment will normally be carried out according to current Care First and referral pathway procedures this may also include some service provision.
Other relevant Policies etc
To be applied subject to the policies and procedures on assessment and care pathways, care management, the Single Assessment Process and Fair Access To Care Services.
Policy Principles
1. The Division who’s staff are most likely to have the skills knowledge and experience to assess and respond to needs that are eligible for social care services, should have lead responsibility for assessment (other than initial or contact assessment) and of and meeting those needs. This does not need to follow rigid medical or other definitions of service user categories.
2 .Cases where there is not immediate agreement as to which division has or will have lead responsibility for assessment or service provision should be resolved as quickly as possible and without any detrimental affect to the service user.
3 .Resources including staff resources should be used and managed in an efficient and effective way.
4. This policy requires a spirit of cooperation to provide the most appropriate service for the service user over.
Client Categories Protocol
1.The Client Categories / Case Ownership Protocol table - Appendix 1 will be the basis on which the lead or case holding Division or Service for assessment and social care services is decided on.
Approved Social Workers
2.Approved Social Workers have particular duties to respond to requests for assessments under mental health legislation - See Approved Social Work Policy Procedures and Guidance.
Categorisation of Learning Disability
3.The categorisation of Learning Disability should be based on the first of the principals outlined above and on whether the service user has an I.Q. of 70 or less, with social impairment, and age of onset before 16 yrs. This should be assessed using psychological tests to determine intellectual impairment. While this is a key factor in deciding on the level of responsibility and involvement of Learning Disability Services for individual service users, it is not the only criteria or a strictly applied threshold for Learning Disability Services involvement.
Joint working
4.When the primary responsibility for assessment and case management has been established for service users who’s needs span the normal scope and duties of more than one Division, staff from the other relevant Divisions should be prepared to contribute to the assessment and case management as appropriate. The relevant staff in the locality should, discuss the issues and come to an agreed plan on how they can support each other in meeting the service users eligible needs. Agreements should be in writing and authorised by managers. The agreements should be reviewed as the care plan is reviewed.
Costs of services
5.The costs of services for service users who’s needs span the normal scope and duties of more than one Division will (with the exception below) be met by the Division with primary case responsibility rather than shared by the divisions concerned.
6.In exceptional circumstances where the transfer of a case is going to create extra pressure within a budget of more than £10K within the financial year which could not have been planned for because notice of the transfer had not been received when budget planning for that year was taking place, there will be virement between the budgets concerned equivalent to the unplanned for cost within the first financial year of the transfer.
Dispute resolution
7.It is important to avoid delay in making decisions about where primary case responsibility will lie as this can cause delay in the most appropriate service being provided to vulnerable service users.
Where agreement on most appropriate lead Division or team cannot be reached by front line managers within two weeks then the issue must be referred to the relevant Locality Managers or equivalent.
If in exceptional circumstances Locality Managers or equivalent cannot reach agreement within a further two weeks the issue must be referred to the Heads of Service who will aim to resolve the issue within a further two weeks or refer to the Director.
Local or county wide cross divisional forums may be set up to help resolve such disputes and facilitate partnership working between Divisions etc. Proposals for the arrangement for such forums will be developed separately and may be added to this policy as a further appendix at a later date. I the meantime managers can make their own arrangements for resolving these issues based on the policies and protocols contained here.
Case Transfers Protocol
8.The Case Transfers Protocols table Appendix 2 concern case transfers between Operational Divisions rather than between teams or localities within a division. The Case Transfers Protocol Table outlines the basic arrangements for case transfers of this sort. More detailed arrangements for managing the transition of Childrens Services service users to one of the adult service divisions is covered by the Devon Transitions Protocol for Childrens with Special Needs. Planning these transitions successfully is dependent on there being clarity about which adult service is going to be taking primary responsibility for each young person going through the process of transition.
9.When lead care management responsibility for a service user is to transfer from one division to another, both divisions must be involved in preparing for transferring this responsibility in plenty of time to minimise any disruption to the service user.
10.service users and their carers should be introduced to any new staff that they will have to work with as a result of such a transfer, before the case is transferred.
Policy Review period
Two years
Lead Responsibilities
Responsibility for Communication – Paul Grimsey Policy Projects Manager
Responsibility for Learning and development – Roy Smith Learning and Development Manager
Responsibility for other aspects of implementation - All managers involved care management, case allocation and the performance and supervision of these processes
Communication
Learning and Development Plan
To be agreed with Learning and Development Manager for Social Services and presented to managers with responsibility for implementation.
To be included in Induction phase of Social Services Learning and Development framework
Monitoring
Complaints relating to this policy to be monitored
Disputes requiring the involvement of Heads of Service to be monitored
Staff feedback to be monitored
Responsibility for Performance Monitoring
Paul Grimsey Policy Projects Manager
Review
Responsibility for Policy Review
Paul Grimsey Policy Projects Manager
Devon Transitions Protocol for Children with Special Needs – 2004
NHS and Community Care Act 1990
Disabled Persons (Services and Consultation and Representation) Act 1986 Section 4
National Assistance Act 1948 Section 29 (1
Chronically Sick and Disabled Persons (CSDP) Act 1970 Section 2
Mental Health Act 1983, section 117
Appendix 1 - Client Categories-Case Ownership Protocol Table-4 
(26KB - pdf help)
Appendix 2 - Case Transfer Protocols Table - Feb06 (15KB - pdf help)
Back to top