Personal education budgets guidance

About this guidance

The purpose of this guidance is to explain the approach taken by Devon County Council (DCC) to personalisation in the provision of Personal Education Budgets (PEBs). It will also include information about Direct Payments and refer to more detailed guidance regarding Direct Payments (DPs).

The guidance relates to the duties of Devon County Council.

Purpose and aim of the guidance

This guidance is intended to achieve transparent, consistent practice and approaches for the request, access and provision of Personal Education Budgets and ensure that Devon County Council meets its statutory obligations in relation to legislation and guidance. It will provide families, young people, and professionals with clarity about the resources that are available to meet an individual child or young person’s needs and the opportunity to have more control over how that support is provided.

This guidance covers Personal Education Budgets for eligible children and young people who are aged up to 25.

Scope

This guidance covers Personal Education Budgets for eligible children and young people who are aged up to the age of 25.

Personalisation

Personalisation is at the heart of the Special Educational Needs and Disability (SEND) reforms 2014, SEND Code of Practice 2014. It is about putting children and families at the centre of education, health and care assessments and planning processes.

Personalisation means planning for outcomes, which is a different approach from how we used to assess and plan care and support.

It means starting with the person and their family and focusing on strengths, preferences and aspirations in order to make choices in partnership with health, care and education professionals about when and how they are supported to achieve the identified outcomes – ‘nothing done to me without me’.

We understand that providing support early enables more families to have more control and avoid the need for increased or specialist services.

One way to achieve this is to offer young people and their families more choice and control over the way funding is used for their support.

Traditionally, statutory services have commissioned specialist provision to meet the needs of all children requiring specialist support within Devon. Families and young people (over 16 years of age) now have the choice to request that funds are taken out of commissioned specialist services and managed by families and young people, where a different type of support has been agreed to meet your or their Special Educational Needs, and where doing so doesn’t negatively affect other young people receiving those services.

The guidance applies to any child or young person with Special Educational Needs or Disability (SEND), who has an Education, Health and Care plan (EHCP) and a Personal Education Budget is being considered or has been requested.

If a child or young person is under 24 years of age, has education needs and they are being assessed or has an Education, Health and Care Plan they can request a Personal Education Budget.

If they have education needs but do not have an Education, Health and Care Plan, the Council is unable to make a Personal Education Budget available.

Explaining personal education budgets and direct payments

A personal budget is defined as the total amount of resource provided by Devon County Council (DCC) to meet the needs of a child or young person and support them in achieving good outcomes.

Direct payments are one way of delivering some or all this agreed funding in which children, young people and their families can direct their own support

The SEND (Special Educational Needs and Disabilities) Code of Practice (2014) defines a personal budget as an amount of money identified by a Council and/or Health to deliver parts of the provision set out in an Education, Health and Care (EHC) Plan.

Families and/or the young person over the age of 16 will be able to request a personal budget as part of the planning process for the EHC Plan or at an annual review of the EHC Plan.

A personal budget may contain elements of education, social care and health funding and should be based on clear and agreed outcomes that are to be set out in the EHC Plan.

Personal budgets extend choice and control for some parents and young people through personalising services and resources to meet the agreed outcomes. It builds on the personalisation that is an essential part of the assessment and planning process that should be available for all children and young people with Special Educational Needs and Disabilities (SEND).

A personal budget sits alongside ordinary parental responsibilities and does not replace what you would normally spend on your children, for example paying for food, transport, and holidays. It cannot be used to pay for universal or targeted services that all children and young people can access.

Education personal budgets can help with individual support that needs to be put in place for a child or young person with SEND.

The following guidance relates to the duties Devon County Council has in relation to:

• The Children and Families Act 2014 (section 49).
• The Statutory Guidance and Code of Practice for Special Educational Needs and Disability 0-25 years, 2014 (9.92-9.121).
• The Special Educational Needs (Personal Budgets) Regulations 2014.

To find out more about social care direct payments provided under The Community Care, Services for Carers and Children’s Services (Direct Payments) Regulations 2009 please refer to: Disabled Children’s Service – Direct Payment Guidance??

To find out more about Personal Health Budgets provided under the National Health Service (Direct Payments) Regulations 2013 please refer to NHS Devon ICB webpages. – link???

Providing personal education budgets

Where local universal and targeted services are not able to meet all of a child or young person’s needs, additional or specialist provision is arranged.

Where a  Personal Education Budget is agreed this is allocated money for this additional/specialist provision necessary for the Council to provide in order to meet the child or young person’s Special Educational Needs.

This can be provided by the Council through:

• direct payments
• notional personal budget
• third party personal budget

Personal budgets are not a way of getting extra money, but for using the existing resources available more flexibly and effectively in a way that suits the individual to achieve the outcomes identified in the Education, Care and Health Plan.

Direct payments

Parents and carers with parental responsibility can receive the payment on behalf of their child, and use this to pay for services assessed as necessary for Devon County Council to provide. The Council make payments into an account authorised by the Council for the purchase of provision as detailed within your Personal Education Budget Plan. Parents and/or young people know how much money is allocated and have a choice about the support arranged. Direct payments is the approach in which Personal Education budgets are provided.

From the age of 16, a young person can receive and manage the funds themselves.

Notional personal budget

Families and children are involved in decisions about how the money is used, while the personal budget is held and managed by the responsible organisation on your behalf. This could be Devon County Council or your school. Services provided can only be those that are commissioned by the organisation.

Third party personal budget

The budget is received and managed by a separate organisation, like an independent brokerage service or a service provider. They will arrange services on behalf of the child or young person. 

Requesting a personal education budget (eligibility)

A person choosing to accept a Personal Education Budget through direct payment assumes the responsibility for organising and managing the child or young person’s Education Needs detailed within the Personal Education Budget plan. This sits alongside ordinary parental responsibilities and does not replace the support provided by a family or what you would normally spend on your children, for example paying for food, clothes, toys, transport, and holidays.

A young person or parent can request Personal Education Budget as the way in which support is provided to meet assessed needs.

A young person or parent must request and does not have to consent to receive a Personal Education Budget; if they wish they can choose to receive services that are provided or arranged directly by Devon County Council.

Devon County Council may provide services or additional support where a young person or parent is unable to manage a Personal Education Budget.

Devon County Council must be satisfied in making a direct payment that the child or young person’s welfare will be safeguarded and promoted by the means of a direct payment.

The decision about whether a Personal Education Budget is appropriate will be made by Devon County Council through our assessment processes following the parent or young person notifying the Council in writing that they are seeking a Personal Education Budget.  If a decision is made that a direct payment is inappropriate, the reasons for this will be clearly recorded and shared with the young person and/or parent/carer where this has been requested.

The request for a Personal Education Budget can be made at any time during the period in which:

• the draft EHC plan is being prepared
• The EHC plan is being reviewed or re-assessed

We will consider requests outside of these times in exceptional circumstances.

What we will consider

We will consider the Special Education Provision in Section F of EHCP.

A personal education budget may be made when:

• provision is for this child only and
• provision is funded entirely within the Element 3 allocation from High Needs Block
• provision suggested can be delivered by parent to meet agreed outcome

A personal education budget cannot be made where:

• provision in groups and/or shared with other young people
• provision is funded within a contract for county or area wide support
• provision is within a special school
• provision is funded or part funded within a mainstream school budget

Parents and young people can request a Personal Education Budget by writing to their case worker at Devon 0-25 Team.

Following the request the case worker will review this to consider if the Council would agree that a personal budget may be provided. Services which are supplied as part of a block contract would not be offered as a direct payment. This would also apply to other areas where it is difficult to separate an individual cost from an overall amount, such as special school and specialist provision costs.

If, following assessment, a child or young person is deemed eligible we will talk to you about different ways of accessing support.  A direct payment is one approach to pay for services supporting your child or young person’s additional needs.

Determining the use and value of a personal education budgets

Personal Education Budgets enable the provision of support in a manner that will help the child or young person achieve the outcomes recorded in section F of their Education, Health and Care Plan.

Direct Payments are considered where an individual’s needs cannot be met through the range of support and services which are accessible to them through a universal community provision or targeted support and/or are insufficient to meet their identified educational needs.

More information about universal community provision can be found on our SEND Local Offer website.

Personal Education Budgets provided by Devon County Council are not designed to meet every identified need for a child, but rather those which are identified as being necessary for the Council to provide services in order to meet.

The amount of support offered reflects the assessed educational need. These vary for each individual.

The value of the payments will equate at the rate that Devon County Council could provide similar services directly or through a third-party provider.

Personal Education Budgets provided through direct payments are made using public funds in order to meet the needs set out in Section F of the child or young person’s Education, Health and Care Plan as they appear in this document. It is Devon County Council’s responsibility to ensure the funds are used in accordance with meeting assessed needs. Parents and carers are entrusted to fulfill statutory duties through accessing these funds and agree to those obligations by accepting a direct payment. These are set out in the Direct Payment agreement which a recipient is required to agree and sign prior to a direct payment being provided.

Some children and young people receive support through direct payments provided by Disabled Children’s Service or Devon NHS Integrated Care Board. These payments must be used in line with the specified planning identified by the responsible service area. Devon 0-25 Team cannot give consent to vary or for flexible use for personal budgets or direct payments assessed by health or care.

What an education package out of school could look like:

• 1 x mainstream school physical activity per week (swimming, football, netball, athletics, other)
• 1 x mainstream musical or creative activity per week (to include drama clubs, art, pottery for example)
• Tutoring for core subjects (English, Maths, Science)
• Exam fees
• Education trips x 1 per term and must be essential to the course of study – funding only for activity – for example, not for travel and not for an additional adult to attend.

What could also be considered?

• Forest school or similar type of activity
• Travel costs for education not for trips (fuel only)
• Equipment or contribution towards a laptop (up to £300 for pupils involved in online learning only)
• Additional resources such as specialist books; these will be identified in Section F if needed.
• Online subscriptions for core offer subjects only
• Tutoring for additional subjects if identified in Section F
• Further physical or creative activities if identified in Section F

Curriculum costs for those educated out of school

If young person is Electively Home Educated (because parents have elected to not send their child to a school), then only provision in Section F will be considered for a Personal Education Budget.

If young person is ‘Educated other than at school’ EOTAS (because the Local Authority are unable to secure a school for any provision and are making such arrangements) then some curriculum costs can be considered.

Requesting a personal education budget

Parent and young people should talk to their case worker before making a decision. We welcome the opportunity to support them to understand what benefits or support they might need in accessing a personal education budget.   

Request for a personal budget can be made by contacting the child’s Devon 0-25 case worker. 

If, following assessment, a child or young person is deemed eligible we will talk about different ways of accessing support.  A direct payment is one. If this is chosen by the parents or young person, their case worker will undertake a suitability checklist and if agreed ask to sign a direct payment agreement.  

The decision about whether a Personal Education Budget is appropriate will be made by Devon County Council through our assessment processes following the parent or young person notifying the Council they are seeking a Personal Education Budget.  If a decision is made that a Personal Education Budget is inappropriate, the reasons for this will be clearly recorded and shared with the young person and/or parent or carer where this has been requested and communicated. 

Accessing direct payments

Direct payments will be made through a local authority provided safe and secure account. This will be credited with funds from Devon County Council at the agreed frequency. A recipient will be issued with an account when an additional need has been assessed and agreed through the Devon County Council process and when they have signed the Direct Payment Agreement.

Devon County Council understand that every child, young person and family is different.  Therefore, direct payments may be provided as:

• a single one-off direct payment to meet an assessed need which is not enduring or is temporarily increased.
• a single one-off direct payment which can be used for occasional or fluctuating use. This might be used for support during term time.
• a recurring direct payment. Recipients are able to accumulate a maximum amount as detailed within the direct payment agreement to cover periods when resource need is higher resulting in higher spend e.g., school term time.

Where a family wishes to purchase additional support or services above the costs of the identified assessed needs then they are able to ‘top up’ the direct payment funds at their own discretion.

It is important that any family who is assessed as able to access direct payments receives information from the outset to enable them to understand all the responsibilities involved, such as administering the payments, arranging the services needed and the responsibilities of being an employer for enabling services.  Devon 0-25 Team case workers provide such information.

Direct payments do not affect benefit entitlement for the recipient.

The Education, Health and Care plan will usually be provided for a year before being reviewed. The review of the Personal Education Budget will be undertaken by the case worker in accordance with the regulations. Should the review identify that the planning is not working in the interests of the child or young person Devon County Council may seek further assessment or arrange an early Education, Health and Care Plan review.

Using direct payments

Direct payments must be used lawfully to meet the child’s assessed needs as set out in their Personal Education Budget plan and to support them to achieve outcomes as agreed between the recipient and Devon County Council.  This will be in line with the Direct Payment Agreement form signed by the recipient and will be tailored to each child or young person.

Direct payments are used to meet assessed individual and parent carer needs and the way in which this can happen is flexible. The direct payment is to provide the child or young person with education provision necessary to meet their assessed needs.

A parent, carer or young person agreeing to receive a direct payment for the services undertakes to make all arrangements to become the legal employer of any such enabler and to make all payments in accordance with the requirements of HMRC and employment law. Devon County Council will provide some support to direct payment recipients as well as signposting recipients of direct payments to a third party to support them to meet these legal requirements.

Recipients of direct payment must always inform the Council if there are difficulties or where changes to plans are requested.

Limitations on the use of direct payments

Direct payments are provided to meet the needs as assessed by Devon County Council as detailed within the child or young person’s social care plan. Any item, service or activity which does not clearly meet these needs would not be acceptable and would be a misuse of funds.  Devon County Council will ask for the money to be repaid if the money has not been used as described in the social care plan. Also purchases which could not reasonably be in the best interests of the child or young person are prohibited and this includes anything that is illegal or that would endanger the child, young person or any other person.

Explicitly disallowed are:

• To pay a family member, close relative or anyone living with the child or young person, except as agreed in exceptional circumstances, and at national minimum wage
• Replacement care which should be provided under parental responsibility or within the family
• Everyday living expenses and the usual costs of childhood, including family holidays or purchasing items or subscription online
• Equipment, other than that specifically identified at assessment
• As a substitute for Disabled Facilities Grants
• Services that the NHS is required to provide (nursing care, physiotherapy, dressings, medication, operations, support while in hospital or transport to access appointments or equipment, resources, dental treatment or prescriptions)
• Treatments, such as medication, that the NHS would not normally fund because they are not shown to be cost-effective
• Purchasing services directly from Devon County Council or their partner agencies
• Residential care (except if used for agreed short breaks detailed within the individual social care plan)
• Payments made for enabling that are outside of tax, NI and pension provision commonly referred to as ‘cash in hand’
• Household or vehicle expenses, clothing, groceries, petrol, utilities, garden equipment, furniture, household repairs or alterations, warranties or upkeep of any equipment
• Purchase of pets or the ongoing costs associated with keeping pets
• Transport to access short breaks where this can be provided locally in a manner which we assess can meet the identified needs
• Mobile phone contracts or DVDs/computer games which are considered the usual cost of parenting
• Alcohol, cigarettes, repayment of debts, any form of gambling or goods or services that are obtained unlawfully or which are illegal (e.g., drugs)
• For overnight care where a single placement lasts more than 17 consecutive days and/ or the total overnight short breaks exceed 75 nights in a 12-month period or is provided in more than one setting.

When a direct payment cannot be provided

There are a number of situations when it is not possible, legal or advisable to provide a direct payment. These are listed below. When this is the case, access to a direct payment is available through the provision of a managed account which means that a third party is instructed to access and manage the funds on your behalf.

Direct payments cannot be provided in the following circumstances:

• Directly to disabled children who are under the age of 16. Payments can only be made on their behalf to their parents.
• Disabled Children’s Service cannot provide direct payments to those who do not have assessed eligible needs. Assistance will be provided through professional consultation, advice, and information to support early help planning as well as through providing details of appropriate services, support and activities.
• If there are safeguarding considerations that have the potential to negatively impact on the child or young person, or where there are identified risks based on an assessment of the parent’s or carer’s ability to effectively manage the budget to the benefit of the child or young person then the option of direct payments may be deemed to be unsuitable in preference to Council-managed services. This includes consideration of drug and or alcohol dependencies.
• Carers of disabled children, who do not have parental responsibility for that child, where the payment is made in respect of services for that child.
• To foster parents or other paid carers when Devon County Council is a child’s corporate parent.
• Where Devon County Council considers the proposed recipient is not competent to manage the funds and organise the support.

Use of funds

When we undertake a review or reassess a child or young person’s needs, we will consider the way that any direct payment support provided has been used. This will include reviewing past expenditure and, in some instances, talking to the parent or young person. Also, we review the level of funds available to you at any time to ensure the recipient has access to necessary funding in order to access the identified support.

This action will not change the review or the assessment of a child or young person’s needs.

Misuse of funds occurs when the direct payment is used for purchases other than those specified in the child’s Personal Education Budget plan, or as set out in the Direct Payment Agreement. This will be considered a misuse and Devon County Council will seek to recover the misspent amount from the parent or carer immediately. This may include the requirement to make a referral to internal audit, debt recovery or include the issue of proceedings in the county court.

Misuse could result in a review of the child’s eligibility for a direct payment. Devon County Council will aim to resolve the issue working with those involved. The Council may decide to withdraw direct payment and offer alternative service or to make the direct payment to another individual.

Safeguarding

Safeguarding is an integral component of direct payments, assessment and the support planning process and subsequent review.

Devon County Council will follow up any positive Disclosure and Barring Service (DBS) reports, where a concern has been raised. We will complete a risk assessment and will advise families whether the person they intend to employ has been deemed suitable. Direct payments will not be made to parents if the person they intend to employ has been deemed to be unsuitable.

Devon County Council strongly recommends that all individuals employed to provide support, paid from direct payment funds, should undertake an enhanced Disclosure and Barring Service check before they commence their employment as an enabler and before they can be paid as a personal assistant from direct payment funds.

Devon County Council expects an enhanced Disclosure and Barring Service check to be conducted where it is intended for an individual to be employed in a household where there are children and young people under 18 years. Individuals should not be employed until the DBS check is completed, and the Council has received notification of the check from the Bureau. This is set out in the Direct Payment Agreement.

Where there is a positive disclosure, Devon County Council will consider the findings and it may be decided that the information does not have a bearing on a person’s suitability, or they may find that the person is not suitable to be employed in the role for the provision of education. The Council will make the arrangements and will meet the cost of the initial enhanced Disclosure and Barring Service checks where individuals are employed by the young person or parent or carer.

In some cases, families choose to engage with a self-employed qualified education professional. In these circumstances, it is the responsibility of the self-employed professional to arrange to have an up-to-date enhanced DBS check, and for the self-employed worker to meet the cost of that DBS check.

The self-employed worker should agree to provide evidence to Devon County Council of their original DBS check. The information provided by the Disclosure and Barring Service will not be disclosed to anyone other than the person concerned and those making a decision.

Employing family members

A direct payment cannot usually be used to employ someone that lives in the same household as the child or young person receiving a direct payment. However, there may be exceptional circumstances to meet the child or young person’s unique needs, where this may be agreed. There is discretion for the Council to agree that relatives can support a child or young person, to assist with tasks specific in the child’s Personal Education Plan, which are over and above or specific to the particular needs of a child or young person, as it relates to their education needs.

In some circumstances there may be no other option that would be appropriate in order to meet the educational need. This may therefore be agreed as the most appropriate plan at a specific time.

An education representative will discuss within assessment, review and planning discussions, the match between children and young people with family members providing support funded by direct payments. This is to ensure that a child’s or young person’s changing needs can be met whilst protecting their rights.

Any agreement by the Council  for a relative to be employed (whether or not they live in the same house) as in pursuant of meeting assessed educational needs as determined within the Personal Education Budget plan, and paid with direct payment funds, will be dependent upon the individual needs of the child or young person, and the specific requirements of the individual, with skills to meet those needs and activities set out in the child’s Education, Health and Care plan.  Each case will be determined individually.

These arrangements are in place to ensure that child or young person’s identified needs can continue to be met and the support is suitable.

The Special Educational Needs (Personal Budgets) Regulation 2014 states that a Council must stop making direct payments if it is not satisfied that the person’s needs can be met by using direct payments. There is a withstanding requirement to consider the safeguarding of children and young people in making direct payments.

Review of and ending a direct payment

All children and young people who are in receipt of a direct payment will be monitored and the use of the direct payment and impact on the child or young person will be reviewed at least annually by Devon 0-25 Team.  This review could lead to an assessment and change in the amount of support assessed as being necessary.

As children mature, consideration will be given to their changing needs, continuing suitability of support, to protect their dignity and support their control.

A decision to discontinue a direct payment can be made by either Devon County Council or the direct payment recipient. The normal notice period for termination in either direction is a minimum of four weeks unless the urgency of the decision cannot be delayed. However, the Council reserve the right to temporarily manage accounts where concerns related to spending have been indicated. Payment can continue to be made in line with the child’s plan by the council or an arranged management company. The Council will make all reasonable and practicable endeavours to resolve any discrepancies with the recipient.  However, failing  this the Council may manage the account with immediate effect. The Council will only do so where they believe that it is reasonable, necessary and proportional.  In such instances Devon County Council will write to the recipient detailing the concerns, actions taken and how to resolve these. This would not constitute stopping the direct payment but may lead to further assessment of the suitability of the recipient and the support necessary to assist them in accessing direct payments.

Complaints

If the family feel the issue is not resolved by the Appeals process, they should follow Devon County Council’s Feedback and Complaints procedure.

Transition to adulthood

Personal Education Budgets may be agreed up to the age of 25. Where direct payments are agreed for education provision within the EHCP beyond the age of 18 these will remain payable through this guidance, in partnership with Adult Services.

Direct payments checklist and agreement

Please use the links to view the documents relating to receiving direct payments:

• Recipient suitability checklist
• Direct payment agreement

See our Jargon buster page for definitions of words and terms used within this guidance

Direct payments and personal education budgets privacy policy