Care Act 2014

PART 1 U.K. Care and support

Modifications etc. (not altering text)

C1 Pt. 1 modified (1.4.2015) by The Care and Support (Isles of Scilly) Order 2015 (S.I. 2015/642), arts. 1, 2(2)(a); S.I. 2015/993, art. 2(a)

C2 Pt. 1 applied in part (with modifications) (1.4.2015 coming into force in accordance with reg. 1(1)) by The Care and Support (Children's Carers) Regulations 2015 (S.I. 2015/305), regs. 1(1), 2(1)(a)(2), 4-12; S.I. 2015/993, art. 2(q)

General responsibilities of local authorities E+W

1 Promoting individual well-being E+W

(1) The general duty of a local authority, in exercising a function under this Part in the case of an individual, is to promote that individual's well-being.

(2) “Well-being”, in relation to an individual, means that individual's well-being so far as relating to any of the following—

(a) personal dignity (including treatment of the individual with respect);

(b) physical and mental health and emotional well-being;

(c) protection from abuse and neglect;

(d) control by the individual over day-to-day life (including over care and support, or support, provided to the individual and the way in which it is provided);

(e) participation in work, education, training or recreation;

(f) social and economic well-being;

(g) domestic, family and personal relationships;

(h) suitability of living accommodation;

(i) the individual's contribution to society.

(3) In exercising a function under this Part in the case of an individual, a local authority must have regard to the following matters in particular—

(a) the importance of beginning with the assumption that the individual is best-placed to judge the individual's well-being;

(b) the individual's views, wishes, feelings and beliefs;

(c) the importance of preventing or delaying the development of needs for care and support or needs for support and the importance of reducing needs of either kind that already exist;

(d) the need to ensure that decisions about the individual are made having regard to all the individual's circumstances (and are not based only on the individual's age or appearance or any condition of the individual's or aspect of the individual's behaviour which might lead others to make unjustified assumptions about the individual's well-being);

(e) the importance of the individual participating as fully as possible in decisions relating to the exercise of the function concerned and being provided with the information and support necessary to enable the individual to participate;

(f) the importance of achieving a balance between the individual's well-being and that of any friends or relatives who are involved in caring for the individual;

(g) the need to protect people from abuse and neglect;

(h) the need to ensure that any restriction on the individual's rights or freedom of action that is involved in the exercise of the function is kept to the minimum necessary for achieving the purpose for which the function is being exercised.

(4) “Local authority” means—

(a) a county council in England,

(b) a district council for an area in England for which there is no county council,

(c) a London borough council, or

(d) the Common Council of the City of London.

Commencement Information

I1 S. 1 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

2 Preventing needs for care and support E+W

(1) A local authority must provide or arrange for the provision of services, facilities or resources, or take other steps, which it considers will—

(a) contribute towards preventing or delaying the development by adults in its area of needs for care and support;

(b) contribute towards preventing or delaying the development by carers in its area of needs for support;

(c) reduce the needs for care and support of adults in its area;

(d) reduce the needs for support of carers in its area.

(2) In performing that duty, a local authority must have regard to—

(a) the importance of identifying services, facilities and resources already available in the authority's area and the extent to which the authority could involve or make use of them in performing that duty;

(b) the importance of identifying adults in the authority's area with needs for care and support which are not being met (by the authority or otherwise);

(c) the importance of identifying carers in the authority's area with needs for support which are not being met (by the authority or otherwise).

(3) Regulations may—

(a) permit a local authority to make a charge for providing or arranging for the provision of services, facilities or resources, or for taking other steps, under this section;

(b) prohibit a local authority from making a charge it would otherwise be permitted to make by virtue of paragraph (a).

(4) The regulations may in particular (in reliance on section 125(7)) make provision by reference to services, facilities or resources which—

(a) are of a specified type;

(b) are provided in specified circumstances;

(c) are provided to an adult of a specified description;

(d) are provided for a specified period only.

(5) A charge under the regulations may cover only the cost that the local authority incurs in providing or arranging for the provision of the service, facility or resource or for taking the other step.

(6) In cases where a local authority performs the duty under subsection (1) jointly with one or more other local authorities in relation to the authorities' combined area—

(a) references in this section to a local authority are to be read as references to the authorities acting jointly, and

(b) references in this section to a local authority's area are to be read as references to the combined area.

(7) Sections 21 (exception for persons subject to immigration control), 22 (exception for provision of health services) and 23 (exception for provision of housing etc.) apply in relation to the duty under subsection (1), but with the modifications set out in those sections.

(8) “Adult” means a person aged 18 or over.

Commencement Information

I2 S. 2(1)(2)(5)-(8) in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

I3 S. 2(3)(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(a)

I4 S. 2(3)(4) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

3 Promoting integration of care and support with health services etc. E+W

(1) A local authority must exercise its functions under this Part with a view to ensuring the integration of care and support provision with health provision and health-related provision where it considers that this would—

(a) promote the well-being of adults in its area with needs for care and support and the well-being of carers in its area,

(b) contribute to the prevention or delay of the development by adults in its area of needs for care and support or the development by carers in its area of needs for support, or

(c) improve the quality of care and support for adults, and of support for carers, provided in its area (including the outcomes that are achieved from such provision).

(2) “Care and support provision” means—

(a) provision to meet adults' needs for care and support,

(b) provision to meet carers' needs for support, and

(c) provision of services, facilities or resources, or the taking of other steps, under section 2.

(3) “Health provision” means provision of health services as part of the health service.

(4) “Health-related provision” means provision of services which may have an effect on the health of individuals but which are not—

(a) health services provided as part of the health service, or

(b) services provided in the exercise of social services functions (as defined by section 1A of the Local Authority Social Services Act 1970).

(5) For the purposes of this section, the provision of housing is health-related provision.

(6) In section 13N of the National Health Service Act 2006 (duty of NHS Commissioning Board to promote integration), at the end insert—

“(5) For the purposes of this section, the provision of housing accommodation is a health-related service.”

(7) In section 14Z1 of that Act (duty of clinical commissioning groups to promote integration), at the end insert—

“(4) For the purposes of this section, the provision of housing accommodation is a health-related service.”

Commencement Information

I5 S. 3 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

4 Providing information and advice E+W

(1) A local authority must establish and maintain a service for providing people in its area with information and advice relating to care and support for adults and support for carers.

(2) The service must provide information and advice on the following matters in particular—

(a) the system provided for by this Part and how the system operates in the authority's area,

(b) the choice of types of care and support, and the choice of providers, available to those who are in the authority's area,

(c) how to access the care and support that is available,

(d) how to access independent financial advice on matters relevant to the meeting of needs for care and support, and

(e) how to raise concerns about the safety or well-being of an adult who has needs for care and support.

(3) In providing information and advice under this section, a local authority must in particular—

(a) have regard to the importance of identifying adults in the authority's area who would be likely to benefit from financial advice on matters relevant to the meeting of needs for care and support, and

(b) seek to ensure that what it provides is sufficient to enable adults—

(i) to identify matters that are or might be relevant to their personal financial position that could be affected by the system provided for by this Part,

(ii) to make plans for meeting needs for care and support that might arise, and

(iii) to understand the different ways in which they may access independent financial advice on matters relevant to the meeting of needs for care and support.

(4) Information and advice provided under this section must be accessible to, and proportionate to the needs of, those for whom it is being provided.

(5) “Independent financial advice” means financial advice provided by a person who is independent of the local authority in question.

(6) In cases where a local authority performs the duty under subsection (1) jointly with one or more other local authorities by establishing and maintaining a service for their combined area—

(a) references in this section to a local authority are to be read as references to the authorities acting jointly, and

(b) references in this section to a local authority's area are to be read as references to the combined area.

Commencement Information

I6 S. 4 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

5 Promoting diversity and quality in provision of services E+W

(1) A local authority must promote the efficient and effective operation of a market in services for meeting care and support needs with a view to ensuring that any person in its area wishing to access services in the market—

(a) has a variety of providers to choose from who (taken together) provide a variety of services;

(b) has a variety of high quality services to choose from;

(c) has sufficient information to make an informed decision about how to meet the needs in question.

(2) In performing that duty, a local authority must have regard to the following matters in particular—

(a) the need to ensure that the authority has, and makes available, information about the providers of services for meeting care and support needs and the types of services they provide;

(b) the need to ensure that it is aware of current and likely future demand for such services and to consider how providers might meet that demand;

(c) the importance of enabling adults with needs for care and support, and carers with needs for support, who wish to do so to participate in work, education or training;

(d) the importance of ensuring the sustainability of the market (in circumstances where it is operating effectively as well as in circumstances where it is not);

(e) the importance of fostering continuous improvement in the quality of such services and the efficiency and effectiveness with which such services are provided and of encouraging innovation in their provision;

(f) the importance of fostering a workforce whose members are able to ensure the delivery of high quality services (because, for example, they have relevant skills and appropriate working conditions).

(3) In having regard to the matters mentioned in subsection (2)(b), a local authority must also have regard to the need to ensure that sufficient services are available for meeting the needs for care and support of adults in its area and the needs for support of carers in its area.

(4) In arranging for the provision by persons other than it of services for meeting care and support needs, a local authority must have regard to the importance of promoting the well-being of adults in its area with needs for care and support and the well-being of carers in its area.

(5) In meeting an adult's needs for care and support or a carer's needs for support, a local authority must have regard to its duty under subsection (1).

(6) In cases where a local authority performs the duty under subsection (1) jointly with one or more other local authorities in relation to persons who are in the authorities' combined area—

(a) references in this section to a local authority are to be read as references to the authorities acting jointly, and

(b) references in this section to a local authority's area are to be read as references to the combined area.

(7) “Services for meeting care and support needs” means—

(a) services for meeting adults' needs for care and support, and

(b) services for meeting carers' needs for support.

(8) The references in subsection (7) to services for meeting needs include a reference to services, facilities or resources the purpose of which is to contribute towards preventing or delaying the development of those needs.

Commencement Information

I7 S. 5 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

6 Co-operating generally E+W

(1) A local authority must co-operate with each of its relevant partners, and each relevant partner must co-operate with the authority, in the exercise of—

(a) their respective functions relating to adults with needs for care and support,

(b) their respective functions relating to carers, and

(c) functions of theirs the exercise of which is relevant to functions referred to in paragraph (a) or (b).

(2) A local authority must co-operate, in the exercise of its functions under this Part, with such other persons as it considers appropriate who exercise functions, or are engaged in activities, in the authority's area relating to adults with needs for care and support or relating to carers.

(3) The following are examples of persons with whom a local authority may consider it appropriate to co-operate for the purposes of subsection (2)—

(a) a person who provides services to meet adults' needs for care and support, services to meet carers' needs for support or services, facilities or resources of the kind referred to in section 2(1);

(b) a person who provides primary medical services, primary dental services, primary ophthalmic services, pharmaceutical services or local pharmaceutical services under the National Health Service Act 2006;

(c) a person in whom a hospital in England is vested which is not a health service hospital as defined by that Act;

(d) a private registered provider of social housing.

(4) A local authority must make arrangements for ensuring co-operation between—

(a) the officers of the authority who exercise the authority's functions relating to adults with needs for care and support or its functions relating to carers,

(b) the officers of the authority who exercise the authority's functions relating to housing (in so far as the exercise of those functions is relevant to functions referred to in paragraph (a)),

(c) the Director of Children's Services at the authority (in so far as the exercise of functions by that officer is relevant to the functions referred to in paragraph (a)), and

(d) the authority's director of public health (see section 73A of the National Health Service Act 2006).

(5) The references in subsections (1) and (4)(a) to a local authority's functions include a reference to the authority's functions under sections 58 to 65 (transition for children with needs etc.).

(6) The duties under subsections (1) to (4) are to be performed for the following purposes in particular—

(a) promoting the well-being of adults with needs for care and support and of carers in the authority's area,

(b) improving the quality of care and support for adults and support for carers provided in the authority's area (including the outcomes that are achieved from such provision),

(c) smoothing the transition to the system provided for by this Part for persons in relation to whom functions under sections 58 to 65 are exercisable,

(d) protecting adults with needs for care and support who are experiencing, or are at risk of, abuse or neglect, and

(e) identifying lessons to be learned from cases where adults with needs for care and support have experienced serious abuse or neglect and applying those lessons to future cases.

(7) Each of the following is a relevant partner of a local authority—

(a) where the authority is a county council for an area for which there are district councils, each district council;

(b) any local authority, or district council for an area in England for which there is a county council, with which the authority agrees it would be appropriate to co-operate under this section;

(c) each NHS body in the authority's area;

(d) the Minister of the Crown exercising functions in relation to social security, employment and training, so far as those functions are exercisable in relation to England;

(e) the chief officer of police for a police area the whole or part of which is in the authority's area;

(f) the Minister of the Crown exercising functions in relation to prisons, so far as those functions are exercisable in relation to England;

(g) a relevant provider of probation services in the authority's area;

(h) such person, or a person of such description, as regulations may specify.

(8) The reference to an NHS body in a local authority's area is a reference to—

(a) the National Health Service Commissioning Board, so far as its functions are exercisable in relation to the authority's area,

(b) a clinical commissioning group the whole or part of whose area is in the authority's area, or

(c) an NHS trust or NHS foundation trust which provides services in the authority's area.

(9) “Prison” has the same meaning as in the Prison Act 1952 (see section 53(1) of that Act).

(10) “Relevant provider of probation services” has the meaning given by section 325 of the Criminal Justice Act 2003.

Commencement Information

I8 S. 6 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

7 Co-operating in specific cases E+W

(1) Where a local authority requests the co-operation of a relevant partner, or of a local authority which is not one of its relevant partners, in the exercise of a function under this Part in the case of an individual with needs for care and support or in the case of a carer, a carer of a child or a young carer, the partner or authority must comply with the request unless it considers that doing so—

(a) would be incompatible with its own duties, or

(b) would otherwise have an adverse effect on the exercise of its functions.

(2) Where a relevant partner of a local authority, or a local authority which is not one of its relevant partners, requests the co-operation of the local authority in its exercise of a function in the case of an individual with needs for care and support or in the case of a carer, a carer of a child or a young carer, the local authority must comply with the request unless it considers that doing so—

(a) would be incompatible with its own duties, or

(b) would otherwise have an adverse effect on the exercise of its functions.

(3) A person who decides not to comply with a request under subsection (1) or (2) must give the person who made the request written reasons for the decision.

(4) “Relevant partner”, in relation to a local authority, has the same meaning as in section 6.

(5) “Carer of a child” means a person who is a carer for the purposes of section 60.

Commencement Information

I9 S. 7 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

Meeting needs for care etc. E+W

8 How to meet needs E+W

(1) The following are examples of what may be provided to meet needs under sections 18 to 20—

(a) accommodation in a care home or in premises of some other type;

(b) care and support at home or in the community;

(c) counselling and other types of social work;

(d) goods and facilities;

(e) information, advice and advocacy.

(2) The following are examples of the ways in which a local authority may meet needs under sections 18 to 20—

(a) by arranging for a person other than it to provide a service;

(b) by itself providing a service;

(c) by making direct payments.

[F1 (3) “Care home”—

(a) has the meaning given by section 3 of the Care Standards Act 2000 in respect of a care home in England; and

(b) means a place in Wales at which a care home service within the meaning of Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016 (anaw 2) is provided wholly or mainly to persons aged 18 or over.]

Textual Amendments

F1 S. 8(3) substituted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 48

Commencement Information

I10 S. 8 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

Assessing needs E+W

9 Assessment of an adult's needs for care and support E+W

(1) Where it appears to a local authority that an adult may have needs for care and support, the authority must assess—

(a) whether the adult does have needs for care and support, and

(b) if the adult does, what those needs are.

(2) An assessment under subsection (1) is referred to in this Part as a “needs assessment”.

(3) The duty to carry out a needs assessment applies regardless of the authority's view of—

(a) the level of the adult's needs for care and support, or

(b) the level of the adult's financial resources.

(4) A needs assessment must include an assessment of—

(a) the impact of the adult's needs for care and support on the matters specified in section 1(2),

(b) the outcomes that the adult wishes to achieve in day-to-day life, and

(c) whether, and if so to what extent, the provision of care and support could contribute to the achievement of those outcomes.

(5) A local authority, in carrying out a needs assessment, must involve—

(a) the adult,

(b) any carer that the adult has, and

(c) any person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that, any person who appears to the authority to be interested in the adult's welfare.

(6) When carrying out a needs assessment, a local authority must also consider—

(a) whether, and if so to what extent, matters other than the provision of care and support could contribute to the achievement of the outcomes that the adult wishes to achieve in day-to-day life, and

(b) whether the adult would benefit from the provision of anything under section 2 or 4 or of anything which might be available in the community.

(7) This section is subject to section 11(1) to (4) (refusal by adult of assessment).

Commencement Information

I11 S. 9 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

10 Assessment of a carer's needs for support E+W

(1) Where it appears to a local authority that a carer may have needs for support (whether currently or in the future), the authority must assess—

(a) whether the carer does have needs for support (or is likely to do so in the future), and

(b) if the carer does, what those needs are (or are likely to be in the future).

(2) An assessment under subsection (1) is referred to in this Part as a “carer's assessment”.

(3) “Carer” means an adult who provides or intends to provide care for another adult (an “adult needing care”); but see subsections (9) and (10).

(4) The duty to carry out a carer's assessment applies regardless of the authority's view of—

(a) the level of the carer's needs for support, or

(b) the level of the carer's financial resources or of those of the adult needing care.

(5) A carer's assessment must include an assessment of—

(a) whether the carer is able, and is likely to continue to be able, to provide care for the adult needing care,

(b) whether the carer is willing, and is likely to continue to be willing, to do so,

(c) the impact of the carer's needs for support on the matters specified in section 1(2),

(d) the outcomes that the carer wishes to achieve in day-to-day life, and

(e) whether, and if so to what extent, the provision of support could contribute to the achievement of those outcomes.

(6) A local authority, in carrying out a carer's assessment, must have regard to—

(a) whether the carer works or wishes to do so, and

(b) whether the carer is participating in or wishes to participate in education, training or recreation.

(7) A local authority, in carrying out a carer's assessment, must involve—

(a) the carer, and

(b) any person whom the carer asks the authority to involve.

(8) When carrying out a carer's assessment, a local authority must also consider—

(a) whether, and if so to what extent, matters other than the provision of support could contribute to the achievement of the outcomes that the carer wishes to achieve in day-to-day life, and

(b) whether the carer would benefit from the provision of anything under section 2 or 4 or of anything which might be available in the community.

(9) An adult is not to be regarded as a carer if the adult provides or intends to provide care—

(a) under or by virtue of a contract, or

(b) as voluntary work.

(10) But in a case where the local authority considers that the relationship between the adult needing care and the adult providing or intending to provide care is such that it would be appropriate for the latter to be regarded as a carer, that adult is to be regarded as such (and subsection (9) is therefore to be ignored in that case).

(11) The references in this section to providing care include a reference to providing practical or emotional support.

(12) This section is subject to section 11(5) to (7) (refusal by carer of assessment).

Commencement Information

I12 S. 10 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

11 Refusal of assessment E+W

(1) Where an adult refuses a needs assessment, the local authority concerned is not required to carry out the assessment (and section 9(1) does not apply in the adult's case).

(2) But the local authority may not rely on subsection (1) (and so must carry out a needs assessment) if—

(a) the adult lacks capacity to refuse the assessment and the authority is satisfied that carrying out the assessment would be in the adult's best interests, or

(b) the adult is experiencing, or is at risk of, abuse or neglect.

(3) Where, having refused a needs assessment, an adult requests the assessment, section 9(1) applies in the adult's case (and subsection (1) above does not).

(4) Where an adult has refused a needs assessment and the local authority concerned thinks that the adult's needs or circumstances have changed, section 9(1) applies in the adult's case (but subject to further refusal as mentioned in subsection (1) above).

(5) Where a carer refuses a carer's assessment, the local authority concerned is not required to carry out the assessment (and section 10(1) does not apply in the carer's case).

(6) Where, having refused a carer's assessment, a carer requests the assessment, section 10(1) applies in the carer's case (and subsection (5) above does not).

(7) Where a carer has refused a carer's assessment and the local authority concerned thinks that the needs or circumstances of the carer or the adult needing care have changed, section 10(1) applies in the carer's case (but subject to further refusal as mentioned in subsection (5) above).

Commencement Information

I13 S. 11 in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

12 Assessments under sections 9 and 10: further provision E+W

(1) Regulations must make further provision about carrying out a needs or carer's assessment; the regulations may, in particular—

(a) require the local authority, in carrying out the assessment, to have regard to the needs of the family of the adult to whom the assessment relates;

(b) specify other matters to which the local authority must have regard in carrying out the assessment (including, in particular, the matters to which it must have regard in seeking to ensure that the assessment is carried out in an appropriate and proportionate manner);

(c) specify steps that the local authority must take for the purpose of ensuring that the assessment is carried out in an appropriate and proportionate manner;

(d) specify circumstances in which the assessment may or must be carried out by a person (whether or not an officer of the authority) who has expertise in a specified matter or is of such other description as is specified, jointly with or on behalf of the local authority;

(e) specify circumstances in which the adult to whom the assessment relates may carry out the assessment jointly with the local authority;

(f) specify circumstances in which the local authority must, before carrying out the assessment or when doing so, consult a person who has expertise in a specified matter or is of such other description as is specified;

(g) specify circumstances in which the local authority must refer the adult concerned for an assessment of eligibility for NHS continuing healthcare.

(2) The regulations may include provision for facilitating the carrying out of a needs or carer's assessment in circumstances specified under subsection (1)(d) or (e); they may, for example, give the local authority power to provide the person carrying out the assessment—

(a) in the case of a needs assessment, with information about the adult to whom the assessment relates;

(b) in the case of a carer's assessment, with information about the carer to whom the assessment relates and about the adult needing care;

(c) in either case, with whatever resources, or with access to whatever facilities, the authority thinks will be required to carry out the assessment.

(3) The local authority must give a written record of a needs assessment to—

(a) the adult to whom the assessment relates,

(b) any carer that the adult has, if the adult asks the authority to do so, and

(c) any other person to whom the adult asks the authority to give a copy.

(4) The local authority must give a written record of a carer's assessment to—

(a) the carer to whom the assessment relates,

(b) the adult needing care, if the carer asks the authority to do so, and

(c) any other person to whom the carer asks the authority to give a copy.

(5) A local authority may combine a needs or carer's assessment with an assessment it is carrying out (whether or not under this Part) in relation to another person only if the adult to whom the needs or carer's assessment relates agrees and—

(a) where the combination would include an assessment relating to another adult, that other adult agrees;

(b) where the combination would include an assessment relating to a child (including a young carer), the consent condition is met in relation to the child.

(6) The consent condition is met in relation to a child if—

(a) the child has capacity or is competent to agree to the assessments being combined and does so agree, or

(b) the child lacks capacity or is not competent so to agree but the local authority is satisfied that combining the assessments would be in the child's best interests.

(7) Where a local authority is carrying out a needs or carer's assessment, and there is some other assessment being or about to be carried out in relation to the adult to whom the assessment relates or in relation to a relevant person, the local authority may carry out that other assessment—

(a) on behalf of or jointly with the body responsible for carrying it out, or

(b) if that body has arranged to carry out the other assessment jointly with another person, jointly with that body and the other person.

(8) A reference to a needs or carer's assessment includes a reference to a needs or carer's assessment (as the case may be) which forms part of a combined assessment under subsection (5).

(9) A reference to an assessment includes a reference to part of an assessment.

(10) “NHS continuing health care” is to be construed in accordance with standing rules under section 6E of the National Health Service Act 2006.

(11) A person is a “relevant person”, in relation to a needs or carer's assessment, if it would be reasonable to combine an assessment relating to that person with the needs or carer's assessment (as mentioned in subsection (5)).

Commencement Information

I14 S. 12(1)(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(b)

I15 S. 12(1)(2) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

I16 S. 12(3)-(11) in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

13 The eligibility criteria E+W

(1) Where a local authority is satisfied on the basis of a needs or carer's assessment that an adult has needs for care and support or that a carer has needs for support, it must determine whether any of the needs meet the eligibility criteria (see subsection (7)).

(2) Having made a determination under subsection (1), the local authority must give the adult concerned a written record of the determination and the reasons for it.

(3) Where at least some of an adult's needs for care and support meet the eligibility criteria, the local authority must—

(a) consider what could be done to meet those needs that do,

(b) ascertain whether the adult wants to have those needs met by the local authority in accordance with this Part, and

(c) establish whether the adult is ordinarily resident in the local authority's area.

(4) Where at least some of a carer's needs for support meet the eligibility criteria, the local authority must—

(a) consider what could be done to meet those needs that do, and

(b) establish whether the adult needing care is ordinarily resident in the local authority's area.

(5) Where none of the needs of the adult concerned meet the eligibility criteria, the local authority must give him or her written advice and information about—

(a) what can be done to meet or reduce the needs;

(b) what can be done to prevent or delay the development of needs for care and support, or the development of needs for support, in the future.

(6) Regulations may make provision about the making of the determination under subsection (1).

(7) Needs meet the eligibility criteria if—

(a) they are of a description specified in regulations, or

(b) they form part of a combination of needs of a description so specified.

(8) The regulations may, in particular, describe needs by reference to—

(a) the effect that the needs have on the adult concerned;

(b) the adult's circumstances.

Commencement Information

I17 S. 13(1)-(6) in force at 1.4.2015 by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

I18 S. 13(7)(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(c)

I19 S. 13(7)(8) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(a) (with transitional provisions in S.I. 2015/995)

Charging and assessing financial resources E+W

14 Power of local authority to charge E+W

(1) A local authority—

(a) may make a charge for meeting needs under sections 18 to 20, and

(b) where it is meeting needs because Condition 2 in section 18 or Condition 2 or 4 in section 20 is met, may make a charge (in addition to the charge it makes under paragraph (a)) for putting in place the arrangements for meeting those needs.

(2) The power to make a charge under subsection (1) for meeting needs under section 18 is subject to section 15.

(3) The power to make a charge under subsection (1) for meeting a carer's needs for support under section 20 by providing care and support to the adult needing care may not be exercised so as to charge the carer.

(4) A charge under subsection (1)(a) may cover only the cost that the local authority incurs in meeting the needs to which the charge applies.

(5) Regulations may make provision about the exercise of the power to make a charge under subsection (1).

(6) Regulations may prohibit a local authority from making a charge under subsection (1); and the regulations may (in reliance on section 125(7)) prohibit a local authority from doing so where, for example, the care and support or the support—

(a) is of a specified type;

(b) is provided in specified circumstances;

(c) is provided to an adult of a specified description;

(d) is provided for a specified period only.

(7) A local authority may not make a charge under subsection (1) if the income of the adult concerned would, after deduction of the amount of the charge, fall below such amount as is specified in regulations; and the regulations may in particular (in reliance on section 125(7)) specify—

(a) different amounts for different descriptions of care and support;

(b) different amounts for different descriptions of support.

(8) Regulations under subsection (7) may make provision as to cases or circumstances in which an adult is to be treated as having income that would, or as having income that would not, fall below the amount specified in the regulations if a charge were to be made.

Commencement Information

I20 S. 14(1)(3)(4) in force at 1.4.2015 by S.I. 2015/993, art. 2(b)(with transitional provisions in S.I. 2015/995)

I21 S. 14(5)-(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(d)

I22 S. 14(5)-(8) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(b) (with transitional provisions in S.I. 2015/995)

Prospective

15 Cap on care costs E+W

(1) A local authority may not make a charge under section 14 for meeting an adult's needs under section 18 if the total of the costs accrued in meeting the adult's eligible needs after the commencement of this section exceeds the cap on care costs.

(2) The reference to costs accrued in meeting eligible needs is a reference—

(a) in so far as the local authority met those needs, to the cost to the local authority of having done so (as reckoned from the costs specified in the personal budget for meeting those needs (see section 26));

(b) in so far as another local authority met the needs, to the cost to that other local authority of having done so (as reckoned from the costs so specified for meeting those needs);

(c) in so far as a person other than a local authority met the needs, to what the cost of doing so would have been to the local authority which would otherwise have done so (as reckoned from the costs specified in the independent personal budget for meeting those needs (see section 28).

(3) An adult's needs are “eligible needs” if, at the time they were met—

(a) they met the eligibility criteria,

(b) they were not being met by a carer, and

(c) the adult was ordinarily resident or present in the area of a local authority.

(4) The “cap on care costs” is the amount specified as such in regulations; and the regulations may in particular (in reliance on section 125(7))—

(a) specify different amounts for persons of different age groups;

(b) specify zero as the amount for persons of a specified description.

(5) The total of the costs accrued in meeting an adult's eligible needs after the commencement of this section (as referred to in subsection (1)) is referred to in this Part as the adult's “accrued costs”.

(6) Where the costs accrued include daily living costs, the amount attributable to the daily living costs is to be disregarded in working out for the purposes of subsection (1) the total of the costs accrued in meeting an adult's eligible needs after the commencement of this section.

(7) Where the cost to a local authority of meeting an adult's needs under section 18 includes daily living costs, and the accrued costs exceed the cap on care costs (with the result that subsection (1) applies), the local authority may nonetheless make a charge to cover the amount attributable to those daily living costs.

(8) For the purposes of this Part, the amount attributable to an adult's daily living costs is the amount specified in, or determined in accordance with, regulations.

Prospective

16 Cap on care costs: annual adjustment E+W

(1) Where it appears to the Secretary of State that the level of average earnings in England is different at the end of a review period from what it was at the beginning of that period, the Secretary of State must make regulations under section 15(4) to vary the cap on care costs by the percentage increase or decrease by which that level has changed.

(2) If a variation is made under subsection (1), each adult's accrued costs are to be varied by the same percentage with effect from when the variation itself takes effect (and local authorities must accordingly ensure that care accounts and other records reflect the variation).

(3) The “level of average earnings in England” means the amount which represents the average annual earnings in England estimated in such manner as the Secretary of State thinks fit.

(4) “Review period” means—

(a) the period of 12 months beginning with the day on which section 15 comes into force, and

(b) each subsequent period of 12 months.

(5) The duty under subsection (1) does not restrict the exercise of the power to make regulations under section 15(4).

17 Assessment of financial resources E+W

(1) Where a local authority, having made a determination under section 13(1), thinks that, if it were to meet an adult's needs for care and support, it would charge the adult under section 14(1) for meeting at least some of the needs, it must assess—

(a) the level of the adult's financial resources, and

(b) the amount (if any) which the adult would be likely to be able to pay towards the cost of meeting the needs for care and support.

(2) Where a local authority thinks that, in meeting an adult's needs for care and support, it would make a charge under section 15(7), it must assess—

(a) the level of the adult's financial resources, and

(b) the amount (if any) which the adult would be likely to be able to pay towards the amount attributable to the adult's daily living costs.

(3) Where a local authority, having made a determination under section 13(1), thinks that, if it were to meet a carer's needs for support, it would charge the carer under section 14(1) for meeting at least some of the needs, it must assess—

(a) the level of the carer's financial resources, and

(b) the amount (if any) which the carer would be likely to be able to pay towards the cost of meeting the needs for support.

(4) Where a local authority, having made a determination under section 13(1), thinks that, if it were to meet a carer's needs for support, it would charge the adult needing care under section 14(1) for meeting at least some of the needs, it must assess—

(a) the level of the financial resources of the adult needing care, and

(b) the amount (if any) which the adult needing care would be likely to be able to pay towards the cost of meeting the carer's needs for support.

(5) An assessment under this section is referred to in this Part as a “financial assessment”.

(6) A local authority, having carried out a financial assessment, must give a written record of the assessment to the adult to whom it relates.

(7) Regulations must make provision about the carrying out of a financial assessment.

(8) The regulations must make provision as to cases or circumstances in which, if the financial resources of an adult who has needs for care and support (whether in terms of income, capital or a combination of both) exceed a specified level, a local authority is not permitted to, or may (but need not)—

(a) in a case where the adult's accrued costs do not exceed the cap on care costs, pay towards the cost of the provision of care and support for the adult;

(b) in a case where the adult's accrued costs exceed the cap on care costs, pay towards the amount attributable to the adult's daily living costs.

(9) The regulations must make provision as to cases or circumstances in which, if the financial resources of a carer who has needs for support or of the adult needing care (whether in terms of income, capital or a combination of both) exceed a specified level, a local authority is not permitted to, or may (but need not), pay towards the cost of the provision of support for the carer.

(10) The level specified for the purposes of subsections (8) and (9) is referred to in this Part as “the financial limit”; and the regulations may in particular (in reliance on section 125(7)) specify—

(a) different levels for different descriptions of care and support;

(b) different levels for different descriptions of support.

(11) The regulations must make provision for—

(a) calculating income;

(b) calculating capital.

(12) The regulations may make provision—

(a) for treating, or not treating, amounts of a specified type as income or as capital;

(b) as to cases or circumstances in which an adult is to be treated as having, or as not having, financial resources above the financial limit.

(13) The regulations may make provision as to cases or circumstances in which a local authority is to be treated as—

(a) having carried out a financial assessment in an adult's case, and

(b) being satisfied on that basis that the adult's financial resources exceed, or that they do not exceed, the financial limit.

Commencement Information

I23 S. 17(1)(3)-(6) in force at 1.4.2015 by S.I. 2015/993, art. 2(c) (with transitional provisions in S.I. 2015/995)

I24 S. 17(7)(9)-(13) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(e)

I25 S. 17(7)(9)-(13) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(c) (with transitional provisions in S.I. 2015/995)

I26 S. 17(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 7(1) (with art. 7(2))

I27 S. 17(8) in force at 1.4.2015 in so far as not already in force (subject to the modification made by S.I. 2014/2473, art. 7(2)) by S.I. 2015/993, art. 2(c) (with transitional provisions in S.I. 2015/995)

Duties and powers to meet needs E+W

18 Duty to meet needs for care and support E+W

(1) A local authority, having made a determination under section 13(1), must meet the adult's needs for care and support which meet the eligibility criteria if—

(a) the adult is ordinarily resident in the authority's area or is present in its area but of no settled residence,

(b) the adult's accrued costs do not exceed the cap on care costs, and

(c) there is no charge under section 14 for meeting the needs or, in so far as there is, condition 1, 2 or 3 is met.

(2) Condition 1 is met if the local authority is satisfied on the basis of the financial assessment it carried out that the adult's financial resources are at or below the financial limit.

(3) Condition 2 is met if—

(a) the local authority is satisfied on the basis of the financial assessment it carried out that the adult's financial resources are above the financial limit, but

(b) the adult nonetheless asks the authority to meet the adult's needs.

(4) Condition 3 is met if—

(a) the adult lacks capacity to arrange for the provision of care and support, but

(b) there is no person authorised to do so under the Mental Capacity Act 2005 or otherwise in a position to do so on the adult's behalf.

(5) A local authority, having made a determination under section 13(1), must meet the adult's needs for care and support which meet the eligibility criteria if—

(a) the adult is ordinarily resident in the authority's area or is present in its area but of no settled residence, and

(b) the adult's accrued costs exceed the cap on care costs.

(6) The reference in subsection (1) to there being no charge under section 14 for meeting an adult's needs for care and support is a reference to there being no such charge because—

(a) the authority is prohibited by regulations under section 14 from making such a charge, or

(b) the authority is entitled to make such a charge but decides not to do so.

(7) The duties under subsections (1) and (5) do not apply to such of the adult's needs as are being met by a carer.

Commencement Information

I28 S. 18(1)(a)(c) (2)-(4) (6) (7) in force at 1.4.2015 for specified purposes by S.I. 2015/993, art. 3 (with art. 5(a)) (and with transitional provisions in S.I. 2015/995)

19 Power to meet needs for care and support E+W

(1) A local authority, having carried out a needs assessment and (if required to do so) a financial assessment, may meet an adult's needs for care and support if—

(a) the adult is ordinarily resident in the authority's area or is present in its area but of no settled residence, and

(b) the authority is satisfied that it is not required to meet the adult's needs under section 18.

(2) A local authority, having made a determination under section 13(1), may meet an adult's needs for care and support which meet the eligibility criteria if—

(a) the adult is ordinarily resident in the area of another local authority,

(b) there is no charge under section 14 for meeting the needs or, in so far as there is such a charge, condition 1, 2 or 3 in section 18 is met, and

(c) the authority has notified the other local authority of its intention to meet the needs.

(3) A local authority may meet an adult's needs for care and support which appear to it to be urgent (regardless of whether the adult is ordinarily resident in its area) without having yet—

(a) carried out a needs assessment or a financial assessment, or

(b) made a determination under section 13(1).

(4) A local authority may meet an adult's needs under subsection (3) where, for example, the adult is terminally ill (within the meaning given in section 82(4) of the Welfare Reform Act 2012).

(5) The reference in subsection (2) to there being no charge under section 14 for meeting an adult's needs is to be construed in accordance with section 18(6).

Commencement Information

I29 S. 19 in force at 1.4.2015 by S.I. 2015/993, art. 2(d) (with transitional provisions in S.I. 2015/995)

20 Duty and power to meet a carer's needs for support E+W

(1) A local authority, having made a determination under section 13(1), must meet a carer's needs for support which meet the eligibility criteria if—

(a) the adult needing care is ordinarily resident in the local authority's area or is present in its area but of no settled residence,

(b) in so far as meeting the carer's needs involves the provision of support to the carer, there is no charge under section 14 for meeting the needs or, in so far as there is, condition 1 or 2 is met, and

(c) in so far as meeting the carer's needs involves the provision of care and support to the adult needing care—

(i) there is no charge under section 14 for meeting the needs and the adult needing care agrees to the needs being met in that way, or

(ii) in so far as there is such a charge, condition 3 or 4 is met.

(2) Condition 1 is met if the local authority is satisfied on the basis of the financial assessment it carried out that the carer's financial resources are at or below the financial limit.

(3) Condition 2 is met if—

(a) the local authority is satisfied on the basis of the financial assessment it carried out that the carer's financial resources are above the financial limit, but

(b) the carer nonetheless asks the authority to meet the needs in question.

(4) Condition 3 is met if—

(a) the local authority is satisfied on the basis of the financial assessment it carried out that the financial resources of the adult needing care are at or below the financial limit, and

(b) the adult needing care agrees to the authority meeting the needs in question by providing care and support to him or her.

(5) Condition 4 is met if—

(a) the local authority is satisfied on the basis of the financial assessment it carried out that the financial resources of the adult needing care are above the financial limit, but

(b) the adult needing care nonetheless asks the authority to meet the needs in question by providing care and support to him or her.

(6) A local authority may meet a carer's needs for support if it is satisfied that it is not required to meet the carer's needs under this section; but, in so far as meeting the carer's needs involves the provision of care and support to the adult needing care, it may do so only if the adult needing care agrees to the needs being met in that way.

(7) A local authority may meet some or all of a carer's needs for support in a way which involves the provision of care and support to the adult needing care, even if the authority would not be required to meet the adult's needs for care and support under section 18.

(8) Where a local authority is required by this section to meet some or all of a carer's needs for support but it does not prove feasible for it to do so by providing care and support to the adult needing care, it must, so far as it is feasible to do so, identify some other way in which to do so.

(9) The reference in subsection (1)(b) to there being no charge under section 14 for meeting a carer's needs for support is a reference to there being no such charge because—

(a) the authority is prohibited by regulations under section 14 from making such a charge, or

(b) the authority is entitled to make such a charge but decides not to do so.

(10) The reference in subsection (1)(c) to there being no charge under section 14 for meeting an adult's needs for care and support is to be construed in accordance with section 18(6).

Commencement Information

I30 S. 20 in force at 1.4.2015 by S.I. 2015/993, art. 2(d) (with transitional provisions in S.I. 2015/995)

21 Exception for persons subject to immigration control E+W

(1) A local authority may not meet the needs for care and support of an adult to whom section 115 of the Immigration and Asylum Act 1999 (“the 1999 Act”) (exclusion from benefits) applies and whose needs for care and support have arisen solely—

(a) because the adult is destitute, or

(b) because of the physical effects, or anticipated physical effects, of being destitute.

(2) For the purposes of subsection (1), section 95(2) to (7) of the 1999 Act applies but with the references in section 95(4) and (5) to the Secretary of State being read as references to the local authority in question.

(3) But, until the commencement of section 44(6) of the Nationality, Immigration and Asylum Act 2002, subsection (2) is to have effect as if it read as follows—

“(2) For the purposes of subsection (1), section 95(3) and (5) to (8) of, and paragraph 2 of Schedule 8 to, the 1999 Act apply but with references in section 95(5) and (7) and that paragraph to the Secretary of State being read as references to the local authority in question.”

(4) The reference in subsection (1) to meeting an adult's needs for care and support includes a reference to providing care and support to the adult in order to meet a carer's needs for support.

(5) For the purposes of its application in relation to the duty in section 2(1) (preventing needs for care and support), this section is to be read as if—

(a) for subsection (1) there were substituted—

“(1) A local authority may not perform the duty under section 2(1) in relation to an adult to whom section 115 of the Immigration and Asylum Act 1999 (“the 1999 Act”) (exclusion from benefits) applies and whose needs for care and support have arisen, or for whom such needs may in the future arise, solely—

(a) because the adult is destitute, or

(b) because of the physical effects, or anticipated physical effects, of being destitute.”, and

(b) subsection (4) were omitted.

Commencement Information

I31 S. 21 in force at 1.4.2015 by S.I. 2015/993, art. 2(d) (with transitional provisions in S.I. 2015/995)

22 Exception for provision of health services E+W

(1) A local authority may not meet needs under sections 18 to 20 by providing or arranging for the provision of a service or facility that is required to be provided under the National Health Service Act 2006 unless—

(a) doing so would be merely incidental or ancillary to doing something else to meet needs under those sections, and

(b) the service or facility in question would be of a nature that the local authority could be expected to provide.

(2) Regulations may specify—

(a) types of services or facilities which, despite subsection (1), may be provided or the provision of which may be arranged by a local authority, or circumstances in which such services or facilities may be so provided or the provision of which may be so arranged;

(b) types of services or facilities which may not be provided or the provision of which may not be arranged by a local authority, or circumstances in which such services or facilities may not be so provided or the provision of which may not be so arranged;

(c) services or facilities, or a method for determining services or facilities, the provision of which is, or is not, to be treated as meeting the conditions in subsection (1)(a) and (b).

(3) A local authority may not meet needs under sections 18 to 20 by providing or arranging for the provision of nursing care by a registered nurse.

(4) But a local authority may, despite the prohibitions in subsections (1) and (3), arrange for the provision of accommodation together with the provision of nursing care by a registered nurse if—

(a) the authority has obtained consent for it to arrange for the provision of the nursing care from whichever clinical commissioning group regulations require, or

(b) the case is urgent and the arrangements for accommodation are only temporary.

(5) In a case to which subsection (4)(b) applies, as soon as is feasible after the temporary arrangements are made, the local authority must seek to obtain the consent mentioned in subsection (4)(a).

(6) Regulations may require a local authority—

(a) to be involved in the specified manner in processes for assessing a person's needs for health care and for deciding how those needs should be met;

(b) to make arrangements for determining disputes between the authority and a clinical commissioning group or the National Health Service Commissioning Board about whether or not a service or facility is required to be provided under the National Health Service Act 2006.

(7) Nothing in this section affects what a local authority may do under the National Health Service Act 2006, including entering into arrangements under regulations under section 75 of that Act (arrangements with NHS bodies).

(8) A reference to the provision of nursing care by a registered nurse is a reference to the provision by a registered nurse of a service involving—

(a) the provision of care, or

(b) the planning, supervision or delegation of the provision of care,

other than a service which, having regard to its nature and the circumstances in which it is provided, does not need to be provided by a registered nurse.

(9) Where, in a case within subsection (4), the National Health Service Commissioning Board has responsibility for arranging for the provision of the nursing care, the reference in paragraph (a) of that subsection to a clinical commissioning group is to be read as a reference to the Board.

(10) For the purposes of its application in relation to the duty in section 2(1) (preventing needs for care and support), this section is to be read as if references to meeting needs under sections 18 to 20 were references to performing the duty under section 2(1).

Commencement Information

I32 S. 22(1)-(3)(4)(b)(5)(7)-(10) in force at 1.4.2015 by S.I. 2015/993, art. 2(d) (with transitional provisions in S.I. 2015/995)

I33 S. 22(4)(a)(6) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(f)

I34 S. 22(4)(a)(6) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(d) (with transitional provisions in S.I. 2015/995)

23 Exception for provision of housing etc. E+W

(1) A local authority may not meet needs under sections 18 to 20 by doing anything which it or another local authority is required to do under—

(a) the Housing Act 1996, or

(b) any other enactment specified in regulations.

(2) “Another local authority” includes a district council for an area in England for which there is also a county council.

(3) For the purposes of its application in relation to the duty in section 2(1) (preventing needs for care and support), this section is to be read as if, in subsection (1), for “meet needs under sections 18 to 20” there were substituted “ perform the duty under section 2(1) ”.

Commencement Information

I35 S. 23(1)(a)(2)(3) in force at 1.4.2015 by S.I. 2015/993, art. 2(d) (with transitional provisions in S.I. 2015/995)

I36 S. 23(1)(b) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(g)

I37 S. 23(1)(b) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(d) (with transitional provisions in S.I. 2015/995)

Next steps after assessments E+W

24 The steps for the local authority to take E+W

(1) Where a local authority is required to meet needs under section 18 or 20(1), or decides to do so under section 19(1) or (2) or 20(6), it must—

(a) prepare a care and support plan or a support plan for the adult concerned,

(b) tell the adult which (if any) of the needs that it is going to meet may be met by direct payments, and

(c) help the adult with deciding how to have the needs met.

(2) Where a local authority has carried out a needs or carer's assessment but is not required to meet needs under section 18 or 20(1), and does not decide to do so under section 19(1) or (2) or 20(6), it must give the adult concerned—

(a) its written reasons for not meeting the needs, and

(b) (unless it has already done so under section 13(5)) advice and information about—

(i) what can be done to meet or reduce the needs;

(ii) what can be done to prevent or delay the development by the adult concerned of needs for care and support or of needs for support in the future.

(3) Where a local authority is not going to meet an adult's needs for care and support, it must nonetheless prepare an independent personal budget for the adult (see section 28) if—

(a) the needs meet the eligibility criteria,

(b) at least some of the needs are not being met by a carer, and

(c) the adult is ordinarily resident in the authority's area or is present in its area but of no settled residence.

Commencement Information

I38 S. 24(1)(2) in force at 1.4.2015 by S.I. 2015/993, art. 2(e) (with transitional provisions in S.I. 2015/995)

25 Care and support plan, support plan E+W

(1) A care and support plan or, in the case of a carer, a support plan is a document prepared by a local authority which—

(a) specifies the needs identified by the needs assessment or carer's assessment,

(b) specifies whether, and if so to what extent, the needs meet the eligibility criteria,

(c) specifies the needs that the local authority is going to meet and how it is going to meet them,

(d) specifies to which of the matters referred to in section 9(4) the provision of care and support could be relevant or to which of the matters referred to in section 10(5) and (6) the provision of support could be relevant,

(e) includes the personal budget for the adult concerned (see section 26), and

(f) includes advice and information about—

(i) what can be done to meet or reduce the needs in question;

(ii) what can be done to prevent or delay the development of needs for care and support or of needs for support in the future.

(2) Where some or all of the needs are to be met by making direct payments, the plan must also specify—

(a) the needs which are to be so met, and

(b) the amount and frequency of the direct payments.

(3) In preparing a care and support plan, the local authority must involve—

(a) the adult for whom it is being prepared,

(b) any carer that the adult has, and

(c) any person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that, any person who appears to the authority to be interested in the adult's welfare.

(4) In preparing a support plan, the local authority must involve—

(a) the carer for whom it is being prepared,

(b) the adult needing care, if the carer asks the authority to do so, and

(c) any other person whom the carer asks the authority to involve.

(5) In performing the duty under subsection (3)(a) or (4)(a), the local authority must take all reasonable steps to reach agreement with the adult or carer for whom the plan is being prepared about how the authority should meet the needs in question.

(6) In seeking to ensure that the plan is proportionate to the needs to be met, the local authority must have regard in particular—

(a) in the case of a care and support plan, to the matters referred to in section 9(4);

(b) in the case of a support plan, to the matters referred to in section 10(5) and (6).

(7) The local authority may authorise a person (including the person for whom the plan is to be prepared) to prepare the plan jointly with the authority.

(8) The local authority may do things to facilitate the preparation of the plan in a case within subsection (7); it may, for example, provide a person authorised under that subsection with—

(a) in the case of a care and support plan, information about the adult for whom the plan is being prepared;

(b) in the case of a support plan, information about the carer and the adult needing care;

(c) in either case, whatever resources, or access to whatever facilities, the authority thinks are required to prepare the plan.

(9) The local authority must give a copy of a care and support plan to—

(a) the adult for whom it has been prepared,

(b) any carer that the adult has, if the adult asks the authority to do so, and

(c) any other person to whom the adult asks the authority to give a copy.

(10) The local authority must give a copy of a support plan to—

(a) the carer for whom it has been prepared,

(b) the adult needing care, if the carer asks the authority to do so, and

(c) any other person to whom the carer asks the authority to give a copy.

(11) A local authority may combine a care and support plan or a support plan with a plan (whether or not prepared by it and whether or not under this Part) relating to another person only if the adult for whom the care and support plan or the support plan is being prepared agrees and—

(a) where the combination would include a plan prepared for another adult, that other adult agrees;

(b) where the combination would include a plan prepared for a child (including a young carer), the consent condition is met in relation to the child.

(12) The consent condition is met in relation to a child if—

(a) the child has capacity or is competent to agree to the plans being combined and does so agree, or

(b) the child lacks capacity or is not competent so to agree but the local authority is satisfied that the combining the plans would be in the child's best interests.

(13) Regulations may specify cases or circumstances in which such of paragraphs (a) to (f) of subsection (1) and paragraphs (a) and (b) of subsection (2) as are specified do not apply.

(14) The regulations may in particular specify that the paragraphs in question do not apply as regards specified needs or matters.

Commencement Information

I39 S. 25 in force at 1.4.2015 by S.I. 2015/993, art. 2(f) (with transitional provisions in S.I. 2015/995)

26 Personal budget E+W

(1) A personal budget for an adult is a statement which specifies—

(a) the cost to the local authority of meeting those of the adult's needs which it is required or decides to meet as mentioned in section 24(1),

(b) the amount which, on the basis of the financial assessment, the adult must pay towards that cost, and

(c) if on that basis the local authority must itself pay towards that cost, the amount which it must pay.

(2) In the case of an adult with needs for care and support which the local authority is required to meet under section 18, the personal budget must also specify—

(a) the cost to the local authority of meeting the adult's needs under that section, and

(b) where that cost includes daily living costs—

(i) the amount attributable to those daily living costs, and

(ii) the balance of the cost referred to in paragraph (a).

(3) A personal budget for an adult may also specify other amounts of public money that are available in the adult's case including, for example, amounts available for spending on matters relating to housing, health care or welfare.

(4) Regulations may make provision for excluding costs to a local authority from a personal budget if the costs are incurred in meeting needs for which the authority—

(a) does not make a charge, or

(b) is not permitted to make a charge.

Commencement Information

I40 S. 26(1)(3) in force at 1.4.2015 by S.I. 2015/993, art. 2(g)(with transitional provisions in S.I. 2015/995)

I41 S. 26(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(h)

I42 S. 26(4) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(g)(with transitional provisions in S.I. 2015/995)

27 Review of care and support plan or of support plan E+W

(1) A local authority must—

(a) keep under review generally care and support plans, and support plans, that it has prepared, and

(b) on a reasonable request by or on behalf of the adult to whom a care and support plan relates or the carer to whom a support plan relates, review the plan.

(2) A local authority may revise a care and support plan; and in deciding whether or how to do so, it—

(a) must have regard in particular to the matters referred to in section 9(4) (and specified in the plan under section 25(1)(d)), and

(b) must involve—

(i) the adult to whom the plan relates,

(ii) any carer that the adult has, and

(iii) any person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that, any person who appears to the authority to be interested in the adult's welfare.

(3) A local authority may revise a support plan; and in deciding whether or how to do so, it—

(a) must have regard in particular to the matters referred to in section 10(5) and (6) (and specified in the plan under section 25(1)(d)), and

(b) must involve—

(i) the carer to whom the plan relates,

(ii) the adult needing care, if the carer asks the authority to do so, and

(iii) any other person whom the carer asks the authority to involve.

(4) Where a local authority is satisfied that circumstances have changed in a way that affects a care and support plan or a support plan, the authority must—

(a) to the extent it thinks appropriate, carry out a needs or carer's assessment, carry out a financial assessment and make a determination under section 13(1), and

(b) revise the care and support plan or support plan accordingly.

(5) Where, in a case within subsection (4), the local authority is proposing to change how it meets the needs in question, it must, in performing the duty under subsection (2)(b)(i) or (3)(b)(i), take all reasonable steps to reach agreement with the adult concerned about how it should meet those needs.

Commencement Information

I43 S. 27 in force at 1.4.2015 by S.I. 2015/993, art. 2(h)

Prospective

28 Independent personal budget E+W

(1) An independent personal budget is a statement which specifies what the cost would be to the local authority concerned (see section 24(3)) of meeting the adult's eligible needs for care and support.

(2) Where the amount referred to in subsection (1) includes daily living costs, the independent personal budget for the adult must specify—

(a) the amount attributable to those daily living costs, and

(b) the balance of the amount referred to in subsection (1).

(3) An adult's needs are “eligible needs” if, at the time they were met—

(a) they met the eligibility criteria,

(b) they were not being met by a carer, and

(c) the adult was ordinarily resident or present in the area of the local authority.

(4) A local authority must—

(a) keep under review generally independent personal budgets that it has prepared, and

(b) on a reasonable request by or on behalf of the adult to whom an independent personal budget relates, review the independent personal budget.

(5) A local authority may revise an independent personal budget; and in deciding whether or how to do so, it must, in so far as it is feasible to do so, involve—

(a) the adult to whom the independent personal budget relates,

(b) any carer that the adult has, and

(c) any other person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that, any person who appears to the authority to be interested in the adult's welfare.

(6) Where a local authority is satisfied that the circumstances of the adult to whom an independent personal budget applies have changed in a way that affects the independent personal budget, the authority must—

(a) to the extent it thinks appropriate, carry out a needs assessment and make a determination under section 13(1), and

(b) revise the independent personal budget accordingly.

(7) Where, in a case within subsection (6), an adult refuses a needs assessment and the local authority thinks that the adult's refusal is unreasonable, it need no longer keep an up-to-date care account in the adult's case.

(8) Having reviewed an independent personal budget, a local authority must—

(a) if it revises the independent personal budget, notify the adult to whom the independent personal budget relates of the revisions and provide an explanation of the effect of each revision, or

(b) if it does not revise the independent personal budget, notify the adult accordingly.

Prospective

29 Care account E+W

(1) Where an adult has needs for care and support which meet the eligibility criteria, the local authority in whose area the adult is ordinarily resident or, if the adult is of no settled residence, in whose area the adult is present—

(a) must keep an up-to-date record of the adult's accrued costs (a “care account”), and

(b) once those costs exceed the cap on care costs, must inform the adult.

(2) Where a local authority which has been keeping a care account is no longer required to do so, it must nonetheless retain the account that it has kept so far until—

(a) the end of the period of 99 years beginning with the day on which it last updated the account, or

(b) where the adult dies, the local authority becomes aware of the death.

(3) A care account must specify such amount as is attributable to the adult's daily living costs.

(4) A local authority which is keeping a care account must, at such times as regulations may specify, provide the adult concerned with a statement which—

(a) sets out the adult's accrued costs, and

(b) includes such other matters as regulations may specify.

(5) Regulations may specify circumstances in which the duty under subsection (4) does not apply.

30 Cases where adult expresses preference for particular accommodation E+W

(1) Regulations may provide that where—

(a) a local authority is going to meet needs under sections 18 to 20 by providing or arranging for the provision of accommodation of a specified type,

(b) the adult for whom the accommodation is going to be provided expresses a preference for particular accommodation of that type, and

(c) specified conditions are met,

the local authority must provide or arrange for the provision of the preferred accommodation.

(2) The regulations may provide for the adult or a person of a specified description to pay for some or all of the additional cost in specified cases or circumstances.

(3) “Additional cost” means the cost of providing or arranging for the provision of the preferred accommodation less that part of the amount specified in the personal budget for the purposes of section 26(1)(a) that relates to the provision of accommodation of that type.

Commencement Information

I44 S. 30 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(i)

I45 S. 30 in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

Direct payments E+W

31 Adults with capacity to request direct payments E+W

(1) This section applies where—

(a) a personal budget for an adult specifies an amount which the local authority must pay towards the cost of meeting the needs to which the personal budget relates, and

(b) the adult requests the local authority to meet some or all of those needs by making payments to the adult or a person nominated by the adult.

(2) If conditions 1 to 4 are met, the local authority must, subject to regulations under section 33, make the payments to which the request relates to the adult or nominated person.

(3) A payment under this section is referred to in this Part as a “direct payment”.

(4) Condition 1 is that—

(a) the adult has capacity to make the request, and

(b) where there is a nominated person, that person agrees to receive the payments.

(5) Condition 2 is that—

(a) the local authority is not prohibited by regulations under section 33 from meeting the adult's needs by making direct payments to the adult or nominated person, and

(b) if regulations under that section give the local authority discretion to decide not to meet the adult's needs by making direct payments to the adult or nominated person, it does not exercise that discretion.

(6) Condition 3 is that the local authority is satisfied that the adult or nominated person is capable of managing direct payments—

(a) by himself or herself, or

(b) with whatever help the authority thinks the adult or nominated person will be able to access.

(7) Condition 4 is that the local authority is satisfied that making direct payments to the adult or nominated person is an appropriate way to meet the needs in question.

Commencement Information

I46 S. 31 in force at 1.4.2015 by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

32 Adults without capacity to request direct payments E+W

(1) This section applies where—

(a) a personal budget for an adult specifies an amount which the local authority must pay towards the cost of meeting the needs to which the personal budget relates, and

(b) the adult lacks capacity to request the local authority to meet any of those needs by making payments to the adult, but

(c) an authorised person requests the local authority to meet some or all of those needs by making payments to the authorised person.

(2) If conditions 1 to 5 are met, the local authority must, subject to regulations under section 33, make the payments to which the request relates to the authorised person.

(3) A payment under this section is referred to in this Part as a “direct payment”.

(4) A person is authorised for the purposes of this section if—

(a) the person is authorised under the Mental Capacity Act 2005 to make decisions about the adult's needs for care and support,

(b) where the person is not authorised as mentioned in paragraph (a), a person who is so authorised agrees with the local authority that the person is a suitable person to whom to make direct payments, or

(c) where the person is not authorised as mentioned in paragraph (a) and there is no person who is so authorised, the local authority considers that the person is a suitable person to whom to make direct payments.

(5) Condition 1 is that, where the authorised person is not authorised as mentioned in subsection (4)(a) but there is at least one person who is so authorised, a person who is so authorised supports the authorised person's request.

(6) Condition 2 is that—

(a) the local authority is not prohibited by regulations under section 33 from meeting the adult's needs by making direct payments to the authorised person, and

(b) if regulations under that section give the local authority discretion to decide not to meet the adult's needs by making direct payments to the authorised person, it does not exercise that discretion.

(7) Condition 3 is that the local authority is satisfied that the authorised person will act in the adult's best interests in arranging for the provision of the care and support for which the direct payments under this section would be used.

(8) Condition 4 is that the local authority is satisfied that the authorised person is capable of managing direct payments—

(a) by himself or herself, or

(b) with whatever help the authority thinks the authorised person will be able to access.

(9) Condition 5 is that the local authority is satisfied that making direct payments to the authorised person is an appropriate way to meet the needs in question.

Commencement Information

I47 S. 32 in force at 1.4.2015 by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

33 Direct payments: further provision E+W

(1) Regulations must make further provision about direct payments.

(2) The regulations may, in particular, specify—

(a) cases or circumstances in which a local authority must not, or cases or circumstances in which it has the discretion to decide not to, meet needs by making direct payments;

(b) conditions which a local authority may or must attach to the making of direct payments;

(c) matters to which a local authority may or must have regard when making a decision of a specified type in relation to direct payments;

(d) steps which a local authority may or must take before, or after, making a decision of a specified type in relation to direct payments;

(e) cases or circumstances in which an adult who lacks capacity to request the making of direct payments must or may nonetheless be regarded for the purposes of this Part or the regulations as having capacity to do so;

(f) cases or circumstances in which an adult who no longer lacks capacity to make such a request must or may nonetheless be regarded for any of those purposes as lacking capacity to do so;

(g) cases or circumstances in which a local authority making direct payments must review the making of those payments.

(3) A direct payment is made on condition that it be used only to pay for arrangements under which the needs specified under section 25(2)(a) in the care and support plan or (as the case may be) the support plan are met.

(4) In a case where one or more of conditions 1 to 4 in section 31 is no longer met or one or more of conditions 1 to 5 in section 32 is no longer met, the local authority must terminate the making of direct payments.

(5) In a case where a condition specified under subsection (2)(b) or the condition mentioned in subsection (3) is breached, the local authority—

(a) may terminate the making of direct payments, and

(b) may require repayment of the whole or part of a direct payment (with section 69 accordingly applying to sums which the local authority requires to be repaid).

Commencement Information

I48 S. 33(1)(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(j)

I49 S. 33(1)(2) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

I50 S. 33(3)-(5) in force at 1.4.2015 by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

Deferred payment agreements, etc. E+W

34 Deferred payment agreements and loans E+W

(1) Regulations may, in such cases or circumstances and subject to such conditions as may be specified, require or permit a local authority to enter into a deferred payment agreement with an adult.

(2) A “deferred payment agreement” is an agreement under which a local authority agrees not to require until the specified time either or both of the following—

(a) the payment of the specified part of the amounts due from an adult to the authority under such provision of this Part or of regulations under this Part as is specified in regulations;

(b) the repayment of the specified part of a loan made under the agreement by the authority to an adult for the purpose of assisting the adult to obtain the provision of care and support for the adult.

(3) The care and support mentioned in subsection (2)(b) includes care and support the provision of which—

(a) the authority does not consider to be necessary to meet the adult's needs;

(b) is in addition to care and support which is being provided, arranged for, or paid for (in whole or in part) by the authority.

(4) Regulations under subsection (1) may, in particular, prohibit a local authority from entering into, or permit it to refuse to enter into, a deferred payment agreement unless it obtains adequate security for the payment of the adult's deferred amount.

(5) Regulations may specify what constitutes adequate security for the purposes of subsection (4); they may, for example, specify—

(a) an obligation on the adult to give the authority a charge over the adult's legal or beneficial interest in the property which the adult occupies as his or her only or main residence (or in a property which the adult used to occupy as such) to secure payment of the adult's deferred amount;

(b) a guarantee from another person to pay the adult's deferred amount.

(6) A reference in this section or section 35 to an adult's deferred amount, in relation to a deferred payment agreement, is a reference to the amount of which the local authority agrees not to require payment or repayment until the specified time.

(7) “Specified”, in relation to a time or a part of an amount or loan, means specified in or determined in accordance with regulations; and the specified part of an amount or loan may be 100%.

(8) This section applies in relation to an agreement under which a local authority agrees to make a loan to an adult for the purpose of assisting the adult to obtain the provision of care and support for the adult as it applies in relation to a deferred payment agreement; and for that purpose—

(a) the reference in subsection (3) to subsection (2)(b) is to be read as a reference to this subsection; and

(b) the references in subsections (4) and (5) to payment of the adult's deferred amount are to be read as references to repayment of the loan.

Commencement Information

I51 S. 34(1)(2)(4)-(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(k)

I52 S. 34(1)(2)(4)-(8) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

I53 S. 34(3) in force at 1.4.2015 by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

35 Deferred payment agreements and loans: further provision E+W

(1) Regulations may require or permit a local authority to charge—

(a) interest on an adult's deferred amount;

(b) such amount relating to the authority's administrative costs as is specified in or determined in accordance with the regulations;

(c) interest on an amount charged under paragraph (b).

(2) The regulations may specify costs which are, or which are not, to be regarded as administrative costs for the purposes of subsection (1)(b).

(3) The regulations may—

(a) require or permit adequate security to be obtained for the payment of any interest or other amount referred to in subsection (1);

(b) require or permit any such interest or other amount to be treated in the same way as the adult's deferred amount;

(c) specify what constitutes adequate security for the purposes of paragraph (a).

(4) The authority may not charge interest under regulations made under subsection (1) or under a deferred payment agreement at a rate that exceeds the rate specified in or determined in accordance with the regulations; the regulations may, for example, provide for a rate to be determined by reference to a specified interest rate or other specified criterion.

(5) The regulations must enable the adult to terminate a deferred payment agreement by—

(a) giving the authority notice, and

(b) paying the authority the full amount for which the adult is liable with respect to the adult's deferred amount and any interest or other amount charged under regulations made under subsection (1) or under the agreement.

(6) The regulations may make other provision about the duration of a deferred payment agreement and for its termination by either party.

(7) The regulations may make provision as to the rights and obligations of the authority and the adult where the adult disposes of any legal or beneficial interest in a property to which a deferred payment agreement relates and acquires a legal or beneficial interest in another property (whether or not it is in the area of that authority); they may, for example, make provision—

(a) for the authority not to require payment of the amounts referred to in subsection (5)(b) until the time specified in or determined in accordance with the regulations;

(b) for the adult to give the authority a charge over the adult's legal or beneficial interest in the other property.

(8) The regulations may—

(a) require or permit terms or conditions of a specified description, or in a specified form, to be included in a deferred payment agreement;

(b) permit such other terms or conditions as the authority considers appropriate to be included in such an agreement;

(c) require statements or other information relating to specified matters, or in a specified form, to be included in such an agreement.

(9) The regulations may make provision for the purpose of enabling local authorities to protect (for example, by registration) or enforce security obtained for the payment of the adult's deferred amount or the payment of any interest or other amount referred to in subsection (1); and, for that purpose, the regulations may amend, repeal, or revoke an enactment, or provide for an enactment to apply with specified modifications.

(10) This section applies in relation to an agreement of the kind mentioned in section 34(8) as it applies in relation to a deferred payment agreement; and for that purpose—

(a) the references in subsections (1), (3) and (5) to the adult's deferred amount are to be read as references to the loan; and

(b) the reference in subsection (9) to payment of the adult's deferred amount is to be read as a reference to repayment of the loan.

Commencement Information

I54 S. 35 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(k)

I55 S. 35 in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(i) (with transitional provisions in S.I. 2015/995)

Prospective

36 Alternative financial arrangements E+W

(1) Regulations may, in such cases or circumstances and subject to such conditions as may be specified, require or permit a local authority to enter into alternative financial arrangements of a specified description with an adult.

(2) “Alternative financial arrangements” means arrangements which in the Secretary of State's opinion—

(a) equate in substance to a deferred payment agreement or an agreement of the kind mentioned in section 34(8), but

(b) achieve a similar effect to an agreement of the kind in question without including provision for the payment of interest.

(3) The regulations may make provision in connection with alternative financial arrangements to which they apply, including, in particular, provision of the kind that may (or must) be made in regulations under section 34 or 35 (apart from provision for the payment of interest).

Continuity of care and support when adult moves E+W

37 Notification, assessment, etc. E+W

(1) This section applies where—

(a) an adult's needs for care and support are being met by a local authority (“the first authority”) under section 18 or 19,

(b) the adult notifies another local authority (“the second authority”) (or that authority is notified on the adult's behalf) that the adult intends to move to the area of the second authority, and

(c) the second authority is satisfied that the adult's intention is genuine.

(2) This section also applies where—

(a) an adult is not having needs for care and support met under either of those sections but a local authority (“the first authority”) is nonetheless keeping a care account in the adult's case,

(b) the adult notifies another local authority (“the second authority”) (or that authority is notified on the adult's behalf) that the adult intends to move to the area of the second authority, and

(c) the second authority is satisfied that the adult's intention is genuine.

(3) This section also applies where—

(a) an adult's needs for care and support are being met by a local authority (“the first authority”) under section 18 or 19 by the first authority arranging for the provision of accommodation in the area of another local authority (“the second authority”),

(b) the adult notifies the second authority (or that authority is notified on the adult's behalf) that the adult intends to move out of that accommodation but to remain, and be provided with care and support at home or in the community, in its area, and

(c) the second authority is satisfied that the adult's intention is genuine.

(4) The second authority must—

(a) provide the adult and, if the adult has or is proposing to have a carer, the carer with such information as it considers appropriate (in so far as it would not do so under section 4), and

(b) notify the first authority that it is satisfied as mentioned in subsection (1)(c), (2)(c) or (3)(c).

(5) The first authority, having received the notification under subsection (4)(b), must provide the second authority with—

(a) a copy of any care and support plan prepared for the adult,

(b) a copy of any independent personal budget prepared for the adult,

(c) in a case within subsection (2), a copy of the most recent needs assessment in the adult's case,

(d) if the first authority has been keeping a care account in the adult's case, a copy of that account,

(e) if the adult has a carer and that carer is to continue as the adult's carer after the move, a copy of any support plan prepared for the carer, and

(f) such other information relating to the adult and, if the adult has a carer (whether or not one with needs for support), such other information relating to the carer as the second authority may request.

(6) The second authority must—

(a) assess whether the adult has needs for care and support and, if the adult does, what those needs are, and

(b) where the adult has or is proposing to have a carer and it is appropriate to do so, assess whether the carer has or is likely to have needs for support and, if the carer does or is likely to, what those needs are or are likely to be.

(7) In carrying out an assessment under subsection (6)(a) or (b), the second authority must have regard to the care and support plan provided under subsection (5)(a) or (as the case may be) the support plan provided under subsection (5)(e).

(8) This Part—

(a) applies to an assessment under subsection (6)(a) as it applies to a needs assessment, and

(b) applies to an assessment under subsection (6)(b) as it applies to a carer's assessment.

(9) Pending the adult's move, the first authority must keep in contact with the second authority in order to ascertain the progress that the second authority is making in preparing to meet—

(a) any needs for care and support under section 18 or 19 in the adult's case, and

(b) where the adult is proposing to have a carer immediately after the move, any needs for support under section 20 in the carer's case.

(10) The first authority must keep the adult (and, where applicable, the carer) informed about its contact under subsection (9) with the second authority and must involve the adult (and, where applicable, the carer) in the contact.

(11) Where the needs identified by an assessment under subsection (6)(a) carried out by the second authority are different from those specified in the care and support plan provided under subsection (5)(a), the second authority must provide a written explanation of the difference to—

(a) the adult,

(b) any carer that the adult has, if the adult asks the authority to do so, and

(c) any other person to whom the adult asks the authority to provide the explanation.

(12) Where the cost to the second authority of meeting the adult's eligible needs is different from the cost to the first authority of doing so, the second authority must provide a written explanation of the difference to—

(a) the adult,

(b) any carer that the adult has, if the adult asks the authority to do so, and

(c) any other person to whom the adult asks the authority to provide the explanation.

(13) Where the needs identified by an assessment under subsection (6)(b) carried out by the second authority are different from those in the support plan provided under subsection (5)(e), the second authority must provide a written explanation of the difference to—

(a) the carer,

(b) the adult needing care, if the carer asks the authority to do so, and

(c) any other person to whom the carer asks the authority to provide an explanation.

(14) Regulations may specify steps which a local authority must take for the purpose of being satisfied as mentioned in subsection (1)(c), (2)(c) or (3)(c).

(15) In this section—

(a) an adult's needs are “eligible needs” if they meet the eligibility criteria and are not being met by a carer,

(b) a reference to moving to an area is a reference to moving to that area with a view to becoming ordinarily resident there, and

(c) a reference to remaining in an area is a reference to remaining ordinarily resident there.

Commencement Information

I56 S. 37(1) (3) (4) (5)(a) (5)(e) (5)(f) (6)-(15) in force at 1.4.2015 by S.I. 2015/993, art. 2(j) (with art. 5(b)) (and with transitional provisions in S.I. 2015/995)

38 Case where assessments not complete on day of move E+W

(1) If, on the day of the intended move as mentioned in section 37(1)(b), (2)(b) or (3)(b), the second authority has yet to carry out the assessment or assessments under section 37(6), or has done so but has yet to take the other steps required under this Part in the adult's case, it must—

(a) meet the adult's needs for care and support, and the needs for support of any carer who is continuing as the adult's carer, which the first authority has been meeting, and

(b) where the first authority has been keeping a care account in the adult's case, itself keep that account on the same basis as the first authority has been keeping it.

(2) The second authority is subject to the duty under subsection (1) until it has—

(a) carried out the assessment or assessments under section 37(6), and

(b) taken the other steps required under this Part in the adult's case.

(3) In deciding how to meet the adult's needs for care and support under subsection (1), the second authority must involve—

(a) the adult,

(b) any carer who is continuing as the adult's carer, and

(c) any person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that, any person who appears to the authority to be interested in the adult's welfare.

(4) In deciding how to meet the needs for support of any carer who is continuing as the adult's carer, the second authority must involve—

(a) the carer,

(b) the adult needing care, if the carer asks the authority to do so, and

(c) any other person whom the carer asks the authority to involve.

(5) In performing the duty under subsection (3)(a) or (4)(a), the second authority must take all reasonable steps to reach agreement with the adult or carer about how it should meet the needs in question.

(6) The first authority is not required to meet the adult's needs for care and support or, if the adult has a carer, such needs for support as the carer has, for so long as the second authority is subject to the duty under subsection (1).

(7) Where, having complied with the duty under subsection (1), the second authority is not required to meet the adult's needs for care and support under section 18 because the adult is still ordinarily resident in the area of the first authority, the second authority may recover from the first authority the costs it incurs in complying with the duty under subsection (1).

(8) Regulations may specify matters to which the second authority must have regard in deciding how to perform the duty under subsection (1).

Commencement Information

I57 S. 38(1)(a)(2)-(7) in force at 1.4.2015 by S.I. 2015/993, art. 2(k) (with art. 5(c)) (and with transitional provisions in S.I. 2015/995)

I58 S. 38(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(l)

I59 S. 38(8) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(k)

Establishing where a person lives, etc. U.K.

39 Where a person's ordinary residence is U.K.

(1) Where an adult has needs for care and support which can be met only if the adult is living in accommodation of a type specified in regulations, and the adult is living in accommodation in England of a type so specified, the adult is to be treated for the purposes of this Part as ordinarily resident—

(a) in the area in which the adult was ordinarily resident immediately before the adult began to live in accommodation of a type specified in the regulations, or

(b) if the adult was of no settled residence immediately before the adult began to live in accommodation of a type so specified, in the area in which the adult was present at that time.

(2) Where, before beginning to live in his or her current accommodation, the adult was living in accommodation of a type so specified (whether or not of the same type as the current accommodation), the reference in subsection (1)(a) to when the adult began to live in accommodation of a type so specified is a reference to the beginning of the period during which the adult has been living in accommodation of one or more of the specified types for consecutive periods.

(3) The regulations may make provision for determining for the purposes of subsection (1) whether an adult has needs for care and support which can be met only if the adult is living in accommodation of a type specified in the regulations.

(4) An adult who is being provided with accommodation under section 117 of the Mental Health Act 1983 (after-care) is to be treated for the purposes of this Part as ordinarily resident in the area of the local authority in England or the local authority in Wales on which the duty to provide the adult with services under that section is imposed; and for that purpose—

(a) “local authority in England” means a local authority for the purposes of this Part, and

(b) “local authority in Wales” means a local authority for the purposes of the Social Services and Well-being (Wales) Act 2014.

(5) An adult who is being provided with NHS accommodation is to be treated for the purposes of this Part as ordinarily resident—

(a) in the area in which the adult was ordinarily resident immediately before the accommodation was provided, or

(b) if the adult was of no settled residence immediately before the accommodation was provided, in the area in which the adult was present at that time.

(6) “NHS accommodation” means accommodation under—

(a) the National Health Service Act 2006,

(b) the National Health Service (Wales) Act 2006,

(c) the National Health Service (Scotland) Act 1978, or

(d) Article 5(1) of the Health and Personal Social Services (Northern Ireland) Order 1972.

(7) The reference in subsection (1) to this Part does not include a reference to section 28 (independent personal budget).

(8) Schedule 1 (which makes provision about cross-border placements to and from Wales, Scotland or Northern Ireland) has effect.

Modifications etc. (not altering text)

C3 S. 39(1)(2) applied by 2005 c. 9, Sch. A1 para. 183(2A) (as inserted (1.4.2015) by The Care Act 2014 and Children and Families Act 2014 (Consequential Amendments) Order 2015 (S.I. 2015/914), art. 1(2), Sch. para. 80 (with arts. 1(3), 3); S.I. 2015/993, art. 2(a))

C4 S. 39(4)-(6) applied by 2005 c. 9, Sch. A1 para. 183(2A) (as inserted (1.4.2015) by The Care Act 2014 and Children and Families Act 2014 (Consequential Amendments) Order 2015 (S.I. 2015/914), art. 1(2), Sch. para. 80 (with arts. 1(3), 3); S.I. 2015/993, art. 2(a))

Commencement Information

I60 S. 39(1)(3) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(m)

I61 S. 39(1)(3) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(l) (with transitional provisions in S.I. 2015/995)

I62 S. 39(2)(4)-(7) in force at 1.4.2015 by S.I. 2015/993, art. 2(l) (with art. 6) (and with transitional provisions in S.I. 2015/995)

I63 S. 39(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(x)(2)

I64 S. 39(8) in force at 1.4.2015 for specified purposes by S.I. 2015/993, art. 2(l) (with transitional provisions in S.I. 2015/995)

40 Disputes about ordinary residence or continuity of care E+W

(1) Any dispute about where an adult is ordinarily resident for the purposes of this Part, or any dispute between local authorities under section 37 about the application of that section, is to be determined by—

(a) the Secretary of State, or

(b) where the Secretary of State appoints a person for that purpose (the “appointed person”), that person.

(2) The Secretary of State or appointed person may review a determination under subsection (1), provided that the review begins within 3 months of the date of the determination.

(3) Having carried out a review under subsection (2), the Secretary of State or appointed person must—

(a) confirm the original determination, or

(b) substitute a different determination.

(4) Regulations may make further provision about resolution of disputes of the type mentioned in subsection (1); the regulations may, for example, include—

(a) provision for ensuring that care and support is provided to the adult while the dispute is unresolved;

(b) provision requiring the local authorities in dispute to take specified steps before referring the dispute to the Secretary of State or (as the case may be) the appointed person;

(c) provision about the procedure for referring the dispute to the Secretary of State or appointed person;

(d) where a review of a determination has been carried out under subsection (2) and a different determination substituted, provision requiring a local authority to take specified steps (including paying specified amounts) in relation to the period before the determination was substituted.

Commencement Information

I65 S. 40(1)-(3) in force at 1.4.2015 by S.I. 2015/993, art. 2(m) (with transitional provisions in S.I. 2015/995)

I66 S. 40(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(n)

I67 S. 40(4) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(m) (with transitional provisions in S.I. 2015/995)

41 Financial adjustments between local authorities E+W

(1) This section applies where—

(a) a local authority has been meeting an adult's needs for care and support, but

(b) it transpires (whether following the determination of a dispute under section 40 or otherwise) that the adult was, for some or all of the time that the authority has been meeting the adult's needs, ordinarily resident in the area of another local authority.

(2) This section also applies where—

(a) a local authority has been meeting a carer's needs for support, but

(b) it transpires (whether following the determination of a dispute under section 40 or otherwise) that the adult needing care was, for some or all of the time that the authority has been meeting the carer's needs, ordinarily resident in the area of another local authority.

(3) The local authority concerned may recover from the other local authority the amount of any payments it made towards meeting the needs in question at a time when the other local authority was instead liable to meet them under section 18 or 20(1) (as the case may be).

(4) Subsection (3) does not apply to payments which are the subject of a deferred payment agreement entered into by the local authority in question, unless it agrees with the other local authority to assign its rights and obligations under the deferred payment agreement to that other authority.

(5) Any period during which a local authority was meeting the needs in question under section 19 or 20(6) is to be disregarded for the purposes of this section.

Commencement Information

I68 S. 41 in force at 1.4.2015 by S.I. 2015/993, art. 2(m) (with transitional provisions in S.I. 2015/995)

Safeguarding adults at risk of abuse or neglect E+W

42 Enquiry by local authority E+W

(1) This section applies where a local authority has reasonable cause to suspect that an adult in its area (whether or not ordinarily resident there)—

(a) has needs for care and support (whether or not the authority is meeting any of those needs),

(b) is experiencing, or is at risk of, abuse or neglect, and

(c) as a result of those needs is unable to protect himself or herself against the abuse or neglect or the risk of it.

(2) The local authority must make (or cause to be made) whatever enquiries it thinks necessary to enable it to decide whether any action should be taken in the adult's case (whether under this Part or otherwise) and, if so, what and by whom.

(3) “Abuse” includes financial abuse; and for that purpose “financial abuse” includes—

(a) having money or other property stolen,

(b) being defrauded,

(c) being put under pressure in relation to money or other property, and

(d) having money or other property misused.

Commencement Information

I69 S. 42 in force at 1.4.2015 by S.I. 2015/993, art. 2(m) (with transitional provisions in S.I. 2015/995)

43 Safeguarding Adults Boards E+W

(1) Each local authority must establish a Safeguarding Adults Board (an “SAB”) for its area.

(2) The objective of an SAB is to help and protect adults in its area in cases of the kind described in section 42(1).

(3) The way in which an SAB must seek to achieve its objective is by co-ordinating and ensuring the effectiveness of what each of its members does.

(4) An SAB may do anything which appears to it to be necessary or desirable for the purpose of achieving its objective.

(5) Schedule 2 (which includes provision about the membership, funding and other resources, strategy and annual report of an SAB) has effect.

(6) Where two or more local authorities exercise their respective duties under subsection (1) by establishing an SAB for their combined area—

(a) a reference in this section, section 44 or Schedule 2 to the authority establishing the SAB is to be read as a reference to the authorities establishing it, and

(b) a reference in this section, that section or that Schedule to the SAB's area is to be read as a reference to the combined area.

Commencement Information

I70 S. 43 in force at 1.4.2015 by S.I. 2015/993, art. 2(n) (with transitional provisions in S.I. 2015/995)

44 Safeguarding adults reviews E+W

(1) An SAB must arrange for there to be a review of a case involving an adult in its area with needs for care and support (whether or not the local authority has been meeting any of those needs) if—

(a) there is reasonable cause for concern about how the SAB, members of it or other persons with relevant functions worked together to safeguard the adult, and

(b) condition 1 or 2 is met.

(2) Condition 1 is met if—

(a) the adult has died, and

(b) the SAB knows or suspects that the death resulted from abuse or neglect (whether or not it knew about or suspected the abuse or neglect before the adult died).

(3) Condition 2 is met if—

(a) the adult is still alive, and

(b) the SAB knows or suspects that the adult has experienced serious abuse or neglect.

(4) An SAB may arrange for there to be a review of any other case involving an adult in its area with needs for care and support (whether or not the local authority has been meeting any of those needs).

(5) Each member of the SAB must co-operate in and contribute to the carrying out of a review under this section with a view to—

(a) identifying the lessons to be learnt from the adult's case, and

(b) applying those lessons to future cases.

Commencement Information

I71 S. 44 in force at 1.4.2015 by S.I. 2015/993, art. 2(o) (with transitional provisions in S.I. 2015/995)

45 Supply of information E+W

(1) If an SAB requests a person to supply information to it, or to some other person specified in the request, the person to whom the request is made must comply with the request if—

(a) conditions 1 and 2 are met, and

(b) condition 3 or 4 is met.

(2) Condition 1 is that the request is made for the purpose of enabling or assisting the SAB to exercise its functions.

(3) Condition 2 is that the request is made to a person whose functions or activities the SAB considers to be such that the person is likely to have information relevant to the exercise of a function by the SAB.

(4) Condition 3 is that the information relates to—

(a) the person to whom the request is made,

(b) a function or activity of that person, or

(c) a person in respect of whom that person exercises a function or engages in an activity.

(5) Condition 4 is that the information—

(a) is information requested by the SAB from a person to whom information was supplied in compliance with another request under this section, and

(b) is the same as, or is derived from, information so supplied.

(6) Information may be used by the SAB, or other person to whom it is supplied under subsection (1), only for the purpose of enabling or assisting the SAB to exercise its functions.

Commencement Information

I72 S. 45 in force at 1.4.2015 by S.I. 2015/993, art. 2(o) (with transitional provisions in S.I. 2015/995)

46 Abolition of local authority's power to remove persons in need of care E+W

Section 47 of the National Assistance Act 1948 (which gives a local authority power to remove a person in need of care from home) ceases to apply to persons in England.

Commencement Information

I73 S. 46 in force at 1.4.2015 by S.I. 2015/993, art. 2(o) (with transitional provisions in S.I. 2015/995)

47 Protecting property of adults being cared for away from home E+W

(1) This section applies where—

(a) an adult is having needs for care and support met under section 18 or 19 in a way that involves the provision of accommodation, or is admitted to hospital (or both), and

(b) it appears to a local authority that there is a danger of loss or damage to movable property of the adult's in the authority's area because—

(i) the adult is unable (whether permanently or temporarily) to protect or deal with the property, and

(ii) no suitable arrangements have been or are being made.

(2) The local authority must take reasonable steps to prevent or mitigate the loss or damage.

(3) For the purpose of performing that duty, the local authority—

(a) may at all reasonable times and on reasonable notice enter any premises which the adult was living in immediately before being provided with accommodation or admitted to hospital, and

(b) may deal with any of the adult's movable property in any way which is reasonably necessary for preventing or mitigating loss or damage.

(4) A local authority may not exercise the power under subsection (3)(a) unless—

(a) it has obtained the consent of the adult concerned or, where the adult lacks capacity to give consent, the consent of a person authorised under the Mental Capacity Act 2005 to give it on the adult's behalf, or

(b) where the adult lacks capacity to give consent and there is no person so authorised, the local authority is satisfied that exercising the power would be in the adult's best interests.

(5) Where a local authority is proposing to exercise the power under subsection (3)(a), the officer it authorises to do so must, if required, produce valid documentation setting out the authorisation to do so.

(6) A person who, without reasonable excuse, obstructs the exercise of the power under subsection (3)(a)—

(a) commits an offence, and

(b) is liable on summary conviction to a fine not exceeding level 4 on the standard scale.

(7) A local authority may recover from an adult whatever reasonable expenses the authority incurs under this section in the adult's case.

Commencement Information

I74 S. 47 in force at 1.4.2015 by S.I. 2015/993, art. 2(o) (with transitional provisions in S.I. 2015/995)

Provider failure U.K.

48 Temporary duty on local authority E+W

(1) This section applies where a person registered under Chapter 2 of Part 1 of the Health and Social Care Act 2008 (a “registered care provider”) in respect of the carrying on of a regulated activity (within the meaning of that Part) becomes unable to carry on that activity because of business failure.

(2) A local authority must for so long as it considers necessary (and in so far as it is not already required to do so) meet those of an adult's needs for care and support and those of a carer's needs for support which were, immediately before the registered care provider became unable to carry on the regulated activity, being met by the carrying on of that activity in the authority's area by the provider.

(3) A local authority is accordingly required to meet needs under subsection (2) regardless of—

(a) whether the relevant adult is ordinarily resident in its area;

(b) whether the authority has carried out a needs assessment, a carer's assessment or a financial assessment;

(c) whether any of the needs meet the eligibility criteria.

(4) Where a local authority is meeting needs under subsection (2), it is not required to carry out a needs assessment, a carer's assessment or a financial assessment or to determine whether any of the needs meet the eligibility criteria.

(5) A local authority may make a charge for meeting needs under subsection (2) (except in so far as doing so involves the provision of information or advice); and a charge under this subsection may cover only the cost that the local authority incurs in meeting the needs to which the charge applies.

(6) Subsection (5) does not apply if section 49 (cross-border cases) applies (see subsection (3) of that section).

(7) If the relevant adult is not ordinarily resident in the area of the local authority which is required to meet needs under subsection (2), that authority—

(a) must, in meeting needs under that subsection which were being met under arrangements made by another local authority, co-operate with that authority (in so far as it is not already required to do so by section 6);

(b) must, in meeting needs under that subsection which were being met under arrangements all or part of the cost of which was paid for by another local authority by means of direct payments, co-operate with that authority (in so far as it is not already required to do so by section 6);

(c) may recover from the other local authority mentioned in paragraph (a) or (b) (as the case may be) the cost it incurs in meeting those of the adult's or carer's needs referred to in the paragraph in question.

(8) Any dispute between local authorities about the application of this section is to be determined under section 40 as if it were a dispute of the type mentioned in subsection (1) of that section.

(9) “The relevant adult” means—

(a) in a case involving an adult's needs for care and support, that adult;

(b) in a case involving a carer's needs for support, the adult needing care.

Commencement Information

I75 S. 48 in force at 1.4.2015 by S.I. 2015/993, art. 2(p) (with transitional provisions in S.I. 2015/995)

49 Section 48: cross-border cases U.K.

(1) This section applies where, in a case within section 48, immediately before the registered care provider became unable to carry on the regulated activity, some or all of the adult's needs for care and support or the carer's needs for support were being met by the carrying on of that activity by the provider under arrangements made—

(a) by a local authority in Wales discharging its duty under section 35 or 40, or exercising its power under section 36 or 45, of the Social Services and Well-being (Wales) Act 2014,

(b) by a local authority in Scotland discharging its duty under section 12 or 13A of the Social Work (Scotland) Act 1968 or section 25 of the Mental Health (Care and Treatment) (Scotland) Act 2003, or

(c) by a Health and Social Care trust under Article 15 of the Health and Personal Social Services (Northern Ireland) Order 1972 or section 2 of the Carers and Direct Payments Act (Northern Ireland) 2002.

(2) This section also applies where, in a case within section 48—

(a) immediately before the registered care provider became unable to carry on the regulated activity, some or all of the adult's needs for care and support or the carer's needs for support were being met by the carrying on of that activity by the provider, and

(b) all or part of the cost of the accommodation or other services provided by the provider to meet those needs was paid for by means of direct payments made—

(i) under section 50 or 52 of the Social Services and Well-being (Wales) Act 2014,

(ii) as a result of a choice made by the adult pursuant to section 5 of the Social Care (Self-directed Support) (Scotland) Act 2013, or

(iii) by virtue of section 8 of the Carers and Direct Payments Act (Northern Ireland) 2002.

(3) The local authority which is required to meet needs under section 48(2)—

(a) must, in meeting needs under section 48(2) which were being met by the authority which made the arrangements referred to in subsection (1), co-operate with that authority;

(b) must, in meeting needs under section 48(2) which were being met by the provision of accommodation or other services all or part of the cost of which was paid for by an authority by means of direct payments as referred to in subsection (2), co-operate with that authority;

(c) may recover from the authority referred to in paragraph (a) or (b) (as the case may be) the cost it incurs in meeting those of the adult's or carer's needs referred to in the paragraph in question;

(d) may recover from the adult or carer the cost it incurs in meeting those of the adult's or carer's needs other than those referred to in paragraph (a) or (b) (as the case may be).

(4) Any dispute between a local authority and a local authority in Wales, a local authority in Scotland or a Health and Social Care trust about the application of section 48 or of this section is to be resolved in accordance with paragraph 5 of Schedule 1.

(5) “Local authority in Wales” and “local authority in Scotland” each have the meaning given in paragraph 12 of Schedule 1.

(6) The references in paragraphs (a) and (b) of subsection (3) to an authority are references to a local authority in Wales, a local authority in Scotland or a Health and Social Care trust (as the case may be).

Commencement Information

I76 S. 49 in force at 1.4.2015 by S.I. 2015/993, art. 2(p) (with transitional provisions in S.I. 2015/995)

50 Temporary duty on local authority in Wales U.K.

(1) This section applies where a person registered under Part 2 of the Care Standards Act 2000 in respect of an establishment or agency [F2 or registered under Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016 in respect of a regulated service]—

(a) becomes unable to carry on or manage the establishment or agency [F3 or regulated service] because of business failure, and

(b) immediately before becoming unable to do so, was providing an adult with accommodation or other services in Wales under arrangements made—

(i) by a local authority meeting an adult's needs for care and support or a carer's needs for support under this Part,

(ii) by a local authority in Scotland discharging its duty under section 12 or 13A of the Social Work (Scotland) Act 1968 or section 25 of the Mental Health (Care and Treatment) (Scotland) Act 2003, or

(iii) by a Health and Social Care trust under Article 15 of the Health and Personal Social Services (Northern Ireland) Order 1972 or section 2 of the Carers and Direct Payments Act (Northern Ireland) 2002.

(2) This section also applies where a person registered under Part 2 of the Care Standards Act 2000 in respect of an establishment or agency [F4 or registered under Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016 in respect of a regulated service]—

(a) becomes unable to carry on or manage the establishment or agency [F5 or regulated service] because of business failure, and

(b) immediately before becoming unable to do so, was providing an adult with accommodation or other services in Wales all or part of the cost of which was paid for by means of direct payments made—

(i) under this Part of this Act,

(ii) as a result of a choice made by the adult pursuant to section 5 of the Social Care (Self-directed Support) (Scotland) Act 2013, or

(iii) by virtue of section 8 of the Carers and Direct Payments Act (Northern Ireland) 2002.

(3) The local authority in Wales in whose area the accommodation is situated or the services were provided must for so long as it considers necessary meet those of the adult's needs for care and support or the carer's needs for support which were being met by the registered person by the provision of the accommodation or other services.

(4) A local authority in Wales which is required to meet needs under subsection (3)—

(a) must, in meeting needs under that subsection which were being met by the authority which made the arrangements referred to in subsection (1)(b), co-operate with that authority;

(b) must, in meeting needs under subsection (3) which were being met by the provision of accommodation or other services all or part of the cost of which was paid for by an authority by means of direct payments as referred to in subsection (2)(b), co-operate with that authority;

(c) may recover from the authority referred to in paragraph (a) or (b) (as the case may be) the cost it incurs in meeting those of the adult's or carer's needs referred to in the paragraph in question.

(5) Any dispute about the application of this section is to be resolved in accordance with paragraph 5 of Schedule 1.

(6) “Local authority in Wales” and “local authority in Scotland” each have the meaning given in paragraph 12 of Schedule 1.

(7) The references in paragraphs (a) and (b) of subsection (4) to an authority are references to a local authority, a local authority in Scotland or a Health and Social Care trust (as the case may be).

[F6 (8) In this section “regulated service” has the meaning given by section 2 of the Regulation and Inspection of Social Care (Wales) Act 2016.]

Textual Amendments

F2 Words in s. 50(1) inserted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 49(a)(i)

F3 Words in s. 50(1)(a) inserted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 49(a)(ii)

F4 Words in s. 50(2) inserted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 49(b)(i)

F5 Words in s. 50(2)(a) inserted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 49(b)(ii)

F6 S. 50(8) inserted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 49(c)

51 Temporary duty on Health and Social Care trust in Northern Ireland U.K.

(1) This section applies where a person registered under Part 3 of the Health and Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003 in respect of an establishment or agency—

(a) becomes unable to carry on or manage the establishment or agency because of business failure, and

(b) immediately before becoming unable to do so, was providing an adult with accommodation or other services in Northern Ireland under arrangements made—

(i) by a local authority meeting an adult's needs for care and support or a carer's needs for support under this Part,

(ii) by a local authority in Wales discharging its duty under section 35 or 40, or exercising its power under section 36 or 45, of the Social Services and Well-being (Wales) Act 2014, or

(iii) by a local authority in Scotland discharging its duty under section 12 or 13A of the Social Work (Scotland) Act 1968 or section 25 of the Mental Health (Care and Treatment) (Scotland) Act 2003.

(2) This section also applies where a person registered under Part 3 of the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003 in respect of an establishment or agency—

(a) becomes unable to carry on or manage the establishment or agency because of business failure, and

(b) immediately before becoming unable to do so, was providing an adult with accommodation or other services in Northern Ireland, all or part of the cost of which was paid for by means of direct payments made—

(i) under this Part of this Act,

(ii) under section 50 or 52 of the Social Services and Well-being (Wales) Act 2014, or

(iii) as a result of a choice made by the adult pursuant to section 5 of the Social Care (Self-directed Support) (Scotland) Act 2013.

(3) The Health and Social Care trust in whose area the accommodation is situated or the services were provided must for so long as it considers necessary meet those of the adult's needs for care and support or the carer's needs for support which were being met by the registered person by the provision of the accommodation or other services.

(4) A Health and Social Care trust which is required to meet needs under subsection (3)—

(a) must, in meeting needs under that subsection which were being met by the authority which made the arrangements referred to in subsection (1)(b), co-operate with that authority;

(b) must, in meeting needs under subsection (3) which were being met by the provision of accommodation or other services all or part of the cost of which was paid for by an authority by means of direct payments as referred to in subsection (2)(b), co-operate with that authority;

(c) may recover from the authority referred to in paragraph (a) or (b) (as the case may be) the cost it incurs in meeting those of the adult's or carer's needs referred to in the paragraph in question.

(5) Any dispute about the application of this section is to be resolved in accordance with paragraph 5 of Schedule 1.

(6) “Local authority in Wales” and “local authority in Scotland” each have the meaning given in paragraph 12 of Schedule 1.

(7) The references in paragraphs (a) and (b) of subsection (4) to an authority are references to a local authority, a local authority in Wales or a local authority in Scotland (as the case may be).

Commencement Information

I77 S. 51 in force at 1.4.2015 by S.I. 2015/993, art. 2(p) (with transitional provisions in S.I. 2015/995)

52 Sections 48 to 51: supplementary U.K.

(1) An authority becomes subject to the duty under section 48(2), 50(3) or 51(3) as soon as it becomes aware of the business failure.

(2) Section 8 (how to meet needs) applies to meeting needs under section 48(2) as it applies to meeting needs under section 18.

(3) Section 34 of the Social Services and Well-being (Wales) Act 2014 (how to meet needs) applies to meeting needs under section 50(3) as it applies to meeting needs under section 35 of that Act.

(4) In deciding how to meet an adult's needs for care and support under section 48(2), 50(3) or 51(3), an authority must involve—

(a) the adult,

(b) any carer that the adult has, and

(c) any person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that, any person who appears to the authority to be interested in the adult's welfare.

(5) In deciding how to meet a carer's needs for support under section 48(2), 50(3) or 51(3), an authority must involve—

(a) the carer, and

(b) any person whom the carer asks the authority to involve.

(6) In carrying out the duty under subsection (4)(a) or (5)(a), an authority must take all reasonable steps to reach agreement with the adult or carer about how it should meet the needs in question.

(7) Sections 21 to 23 (exceptions to duty to meet needs) apply to meeting needs under section 48(2) as they apply to meeting needs under section 18.

(8) Sections 46 to 49 of the Social Services and Well-being (Wales) Act 2014 (exceptions to, and restrictions on, duty to meet needs) apply to meeting needs under section 50(3) as they apply to meeting needs under section 35 of that Act.

(9) Where an adult whose case comes within section 48 is being provided with NHS continuing healthcare under arrangements made by a clinical commissioning group no part of whose area is in the local authority's area, the group is to be treated as a relevant partner of the authority for the purposes of sections 6 and 7.

(10) “NHS continuing healthcare” is to be construed in accordance with standing rules under section 6E of the National Health Service Act 2006.

(11) Where a local authority considers it necessary to do so for the purpose of carrying out its duty under section 48(2), it may request the registered care provider, or such other person involved in the provider's business as it considers appropriate, to provide it with specified information.

(12) Regulations must make provision as to the interpretation for the purposes of sections 48, 50 and 51 and this section of references to business failure or to being unable to do something because of business failure; and the regulations may, in particular, specify circumstances in which a person is to be treated as unable to do something because of business failure.

(13) Pending the commencement of Part 4 of the Social Services and Well-being (Wales) Act 2014—

(a) a reference in section 49 or 51 to making arrangements to meet needs under section 35 or 36 of that Act is to be read as a reference to making arrangements or providing services under—

(i) Part 3 of the National Assistance Act 1948,

(ii) section 45 of the Health Services and Public Health Act 1968,

(iii) section 117 of the Mental Health Act 1983, or

(iv) Schedule 15 to the National Health Service (Wales) Act 2006;

(b) a reference in section 49 or 51 to making arrangements to meet needs under section 40 or 45 of that Act is to be read as a reference to providing services as referred to in section 2 of the Carers and Disabled Children Act 2000;

(c) a reference in section 49 or 51 to making direct payments under section 50 or 52 of that Act is to be read as a reference to making direct payments by virtue of section 57 of the Health and Social Care Act 2001;

(d) subsection (8) is to be read as if there were substituted for it—

“(8) Sections 21(1A) and (8) and 29(6) of the National Assistance Act 1948 apply to meeting needs under section 50(3) as they apply to the exercise of functions under sections 21 and 29 of that Act by a local authority in Wales (within the meaning given in paragraph 12 of Schedule 1).”

(14) Pending the commencement of section 5 of the Social Care (Self-directed Support) (Scotland) Act 2013—

(a) sections 49(2)(b)(ii) and 50(2)(b)(ii) are to be read as if there were substituted for each of them—

“(ii) under section 12B of the Social Work (Scotland) Act 1968,”, and

(b) section 51(2)(b)(iii) is to be read as if there were substituted for it—

“(iii) under section 12B of the Social Work (Scotland) Act 1968.”.

Commencement Information

I78 S. 52(1)-(13) in force at 1.4.2015 for specified purposes by S.I. 2015/993, art. 2(p) (with transitional provisions in S.I. 2015/995)

I79 S. 52(1)-(13) in force at 6.4.2016 in so far as not already in force by S.I. 2016/464, art. 2(b)

I80 S. 52(12) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(o)

Market oversight E+W

53 Specifying criteria for application of market oversight regime E+W

(1) Regulations must specify criteria for determining whether (subject to regulations under subsection (4)) section 55 (financial sustainability assessment) applies to a registered care provider who is registered in respect of the carrying on of a regulated activity relating to the provision of social care for adults.

(2) In specifying the criteria, the Secretary of State must have regard to the following in particular—

(a) the amount of social care provided by a registered care provider,

(b) the geographical concentration of a registered care provider's business,

(c) the extent to which a registered care provider specialises in the provision of particular types of care.

(3) The Secretary of State must—

(a) at such times as the Secretary of State considers appropriate, review the criteria for the time being specified in the regulations, and

(b) publish information about how the matters mentioned in subsection (2), and any other matters to which the Secretary of State has regard in specifying the criteria, are to be measured.

(4) Regulations may provide that section 55 does not apply, or applies only to the extent specified, to a specified registered care provider or to a registered care provider of a specified description, regardless of whether that provider or a provider of that description would satisfy the criteria.

(5) Regulations may provide that section 55 applies, or applies to the extent specified, to a specified registered care provider or to a registered care provider of a specified description, regardless of whether that provider or a provider of that description would satisfy the criteria.

(6) The circumstances in which regulations may be made under subsection (4) include those in which the Secretary of State is satisfied that certain registered care providers are already subject to a regulatory regime comparable to that provided for by sections 55 and 56; and regulations made in such circumstances may, for example, make provision requiring specified persons to co-operate or to share information of a specified description.

(7) “Social care” has the same meaning as in Part 1 of the Health and Social Care Act 2008.

Commencement Information

I81 S. 53(1)(2)(7) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(p)

I82 S. 53(1)(2)(7) in force at 6.4.2015 in so far as not already in force by S.I. 2015/993, art. 4 (with transitional provisions in S.I. 2015/995)

I83 S. 53(3)-(6) in force at 6.4.2015 by S.I. 2015/993, art. 4 (with transitional provisions in S.I. 2015/995)

54 Determining whether criteria apply to care provider E+W

(1) The Care Quality Commission must determine, in the case of each registered care provider, whether the provider satisfies one or more of the criteria specified in regulations under section 53.

(2) If the Commission determines that the provider satisfies one or more of the criteria, section 55 applies to that provider unless, or except in so far as, regulations under section 53(4) provide that it does not apply.

(3) Where section 55 applies to a registered care provider (whether as a result of subsection (2) or as a result of regulations under section 53(5)), the Commission must inform the provider accordingly.

55 Assessment of financial sustainability of care provider E+W

(1) Where this section applies to a registered care provider, the Care Quality Commission must assess the financial sustainability of the provider's business of carrying on the regulated activity in respect of which it is registered.

(2) Where the Commission, in light of an assessment under subsection (1), considers that there is a significant risk to the financial sustainability of the provider's business, it may—

(a) require the provider to develop a plan for how to mitigate or eliminate the risk;

(b) arrange for, or require the provider to arrange for, a person with appropriate professional expertise to carry out an independent review of the business.

(3) Where the Commission imposes a requirement on a care provider under subsection (2)(a), it may also require the provider—

(a) to co-operate with it in developing the plan, and

(b) to obtain its approval of the finalised plan.

(4) Where the Commission arranges for a review under subsection (2)(b), it may recover from the provider such costs as the Commission incurs in connection with the arrangements (other than its administrative costs in making the arrangements).

(5) Regulations may make provision for enabling the Commission to obtain from such persons as it considers appropriate information which the Commission believes will assist it to assess the financial sustainability of a registered care provider to which this section applies.

(6) Regulations may make provision about the making of the assessment required by subsection (1).

(7) The Commission may consult such persons as it considers appropriate on the method for assessing the financial sustainability of a registered care provider's business; and, having done so, it must publish guidance on the method it expects to apply in making the assessment.

Modifications etc. (not altering text)

C5 S. 55 applied (6.4.2015 immediately after s. 53(1) of this Act comes fully into force - see S.I. 2015/993, art. 4) by The Care and Support (Market Oversight Criteria) Regulations 2015 (S.I. 2015/314), regs. 1(1), 2, 3

Commencement Information

I84 S. 55(1)-(4) (6) (7) in force at 6.4.2015 by S.I. 2015/993, art. 4 (with transitional provisions in S.I. 2015/995)

I85 S. 55(5) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(q)

I86 S. 55(5) in force at 6.4.2015 in so far as not already in force by S.I. 2015/993, art. 4 (with transitional provisions in S.I. 2015/995)

56 Informing local authorities where failure of care provider likely E+W

(1) This section applies where the Care Quality Commission is satisfied that a registered care provider to which section 55 applies is likely to become unable to carry on the regulated activity in respect of which it is registered because of business failure as mentioned in section 48.

(2) The Commission must inform the local authorities which it thinks will be required to carry out the duty under section 48(2) if the provider becomes unable to carry on the regulated activity in question.

(3) Where the Commission considers it necessary to do so for the purpose of assisting a local authority to carry out the duty under section 48(2), it may request the provider, or such other person involved in the provider's business as the Commission considers appropriate, to provide it with specified information.

(4) Where (as a result of subsection (3) or otherwise) the Commission has information about the provider's business that it considers may assist a local authority in carrying out the duty under section 48(2), the Commission must give the information to the local authority.

(5) Regulations may make provision as to the circumstances in which the Commission is entitled to be satisfied for the purposes of subsection (1) that a registered care provider is likely to become unable to carry on a regulated activity.

(6) The Commission may consult such persons as it considers appropriate on the methods to apply in assessing likelihood for the purposes of subsection (1); and, having carried out that consultation, it must publish guidance on the methods it expects to apply in making the assessment.

57 Sections 54 to 56: supplementary E+W

(1) For the purposes of Part 1 of the Health and Social Care Act 2008, the duties imposed on the Care Quality Commission under sections 54(1) and 55(1) are to be treated as regulatory functions of the Commission.

(2) For the purposes of that Part of that Act, the doing by the Commission of anything for the purpose of assisting a local authority to carry out the duty under section 48(2) is to be treated as one of the Commission's regulatory functions.

(3) For the purposes of sections 17 and 18 of that Act (cancellation or suspension of registration under Part 1 of that Act), a requirement imposed on a registered care provider under or by virtue of any of sections 54 to 56 (or by virtue of subsection (1) or (2)) is to be treated as a requirement imposed by or under Chapter 6 of Part 1 of that Act.

(4) The Commission must, in exercising any of its functions under sections 54 to 56, have regard to the need to minimise the burdens it imposes on others.

Transition for children to adult care and support, etc. E+W

58 Assessment of a child's needs for care and support E+W

(1) Where it appears to a local authority that a child is likely to have needs for care and support after becoming 18, the authority must, if it is satisfied that it would be of significant benefit to the child to do so and if the consent condition is met, assess—

(a) whether the child has needs for care and support and, if so, what those needs are, and

(b) whether the child is likely to have needs for care and support after becoming 18 and, if so, what those needs are likely to be.

(2) An assessment under subsection (1) is referred to in this Part as a “child's needs assessment”.

(3) The consent condition is met if—

(a) the child has capacity or is competent to consent to a child's needs assessment being carried out and the child does so consent, or

(b) the child lacks capacity or is not competent so to consent but the authority is satisfied that carrying out a child's needs assessment would be in the child's best interests.

(4) Where a child refuses a child's needs assessment and the consent condition is accordingly not met, the local authority must nonetheless carry out the assessment if the child is experiencing, or is at risk of, abuse or neglect.

(5) Where a local authority, having received a request to carry out a child's assessment from the child concerned or a parent or carer of the child, decides not to comply with the request, it must give the person who made the request—

(a) written reasons for its decision, and

(b) information and advice about what can be done to prevent or delay the development by the child of needs for care and support in the future.

(6) “Parent”, in relation to a child, includes—

(a) a parent of the child who does not have parental responsibility for the child, and

(b) a person who is not a parent of the child but who has parental responsibility for the child.

(7) “Carer”, in relation to a child, means a person, other than a parent, who is providing care for the child, whether or not under or by virtue of a contract or as voluntary work.

(8) The reference to providing care includes a reference to providing practical or emotional support.

Commencement Information

I87 S. 58 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

59 Child's needs assessment: requirements etc. E+W

(1) A child's needs assessment must include an assessment of—

(a) the impact on the matters specified in section 1(2) of what the child's needs for care and support are likely to be after the child becomes 18,

(b) the outcomes that the child wishes to achieve in day-to-day life, and

(c) whether, and if so to what extent, the provision of care and support could contribute to the achievement of those outcomes.

(2) A local authority, in carrying out a child's needs assessment, must involve—

(a) the child,

(b) the child's parents and any carer that the child has, and

(c) any person whom the child or a parent or carer of the child requests the local authority to involve.

(3) When carrying out a child's needs assessment, a local authority must also consider whether, and if so to what extent, matters other than the provision of care and support could contribute to the achievement of the outcomes that the child wishes to achieve in day-to-day life.

(4) Having carried out a child's needs assessment, a local authority must give the child—

(a) an indication as to whether any of the needs for care and support which it thinks the child is likely to have after becoming 18 are likely to meet the eligibility criteria (and, if so, which ones are likely to do so), and

(b) advice and information about—

(i) what can be done to meet or reduce the needs which it thinks the child is likely to have after becoming 18;

(ii) what can be done to prevent or delay the development by the child of needs for care and support in the future.

(5) But in a case where the child is not competent or lacks capacity to understand the things which the local authority is required to give under subsection (4), that subsection is to have effect as if for “must give the child” there were substituted “ must give the child's parents ”.

(6) Where a person to whom a child's needs assessment relates becomes 18, the local authority must decide whether to treat the assessment as a needs assessment; and if the authority decides to do so, this Part applies to the child's needs assessment as if it were a needs assessment that had been carried out after the person had become 18.

(7) In considering what to decide under subsection (6), a local authority must have regard to—

(a) when the child's needs assessment was carried out, and

(b) whether it appears to the authority that the circumstances of the person to whom the child's needs assessment relates have changed in a way that might affect the assessment.

(8) “Carer” has the same meaning as in section 58.

Commencement Information

I88 S. 59 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

60 Assessment of a child's carer's needs for support E+W

(1) Where it appears to a local authority that a carer of a child is likely to have needs for support after the child becomes 18, the authority must, if it is satisfied that it would be of significant benefit to the carer to do so, assess—

(a) whether the carer has needs for support and, if so, what those needs are, and

(b) whether the carer is likely to have needs for support after the child becomes 18 and, if so, what those needs are likely to be.

(2) An assessment under subsection (1) is referred to in this Part as a “child's carer's assessment”.

(3) Where a child's carer refuses a child's carer's assessment, the local authority is not required to carry out the assessment (and subsection (1) does not apply in the carer's case).

(4) Where, having refused a child's carer's assessment, a child's carer requests the assessment, subsection (1) applies in the carer's case (and subsection (3) does not).

(5) Where a child's carer has refused a child's carer's assessment and the local authority concerned thinks that the carer's needs or circumstances have changed, subsection (1) applies in the carer's case (but subject to further refusal as mentioned in subsection (3)).

(6) Where a local authority, having received a request to carry out a child's carer's assessment from the carer concerned, decides not to comply with the request, it must give the carer—

(a) written reasons for its decision, and

(b) information and advice about what can be done to prevent or delay the development by the carer of needs for support in the future.

(7) “Carer”, in relation to a child, means an adult (including one who is a parent of the child) who provides or intends to provide care for the child (but see subsection (8)).

(8) An adult is not a carer for the purposes of this section if the adult provides or intends to provide care—

(a) under or by virtue of a contract, or

(b) as voluntary work.

(9) But in a case where the local authority considers that the relationship between the child and the adult providing or intending to provide care is such that it would be appropriate for the adult to be regarded as a carer, the adult is to be regarded as such (and subsection (8) is therefore to be ignored in that case).

(10) The references to providing care include a reference to providing practical or emotional support.

Commencement Information

I89 S. 60 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

61 Child's carer's assessment: requirements etc. E+W

(1) A child's carer's assessment must include an assessment of—

(a) whether the carer is able to provide care for the child and is likely to continue to be able to do so after the child becomes 18,

(b) whether the carer is willing to do so and is likely to continue to be willing to do so after the child becomes 18,

(c) the impact on the matters specified in section 1(2) of what the carer's needs for support are likely to be after the child becomes 18,

(d) the outcomes that the carer wishes to achieve in day-to-day life, and

(e) whether, and if so to what extent, the provision of support could contribute to the achievement of those outcomes.

(2) A local authority, in carrying out a child's carer's assessment, must have regard to—

(a) whether the carer works or wishes to do so, and

(b) whether the carer is participating in or wishes to participate in education, training or recreation.

(3) A local authority, in carrying out a child's carer's assessment, must involve—

(a) the carer, and

(b) any person whom the carer asks the local authority to involve.

(4) When carrying out a child's carer's assessment, a local authority must also consider whether, and if so to what extent, matters other than the provision of support could contribute to the achievement of the outcomes that the carer wishes to achieve in day-to-day life.

(5) Having carried out a child's carer's assessment, a local authority must give the carer—

(a) an indication as to whether any of the needs for support which it thinks the carer is likely to have after the child becomes 18 are likely to meet the eligibility criteria (and, if so, which ones are likely to do so), and

(b) advice and information about—

(i) what can be done to meet or reduce the needs which it thinks the carer is likely to have after the child becomes 18;

(ii) what can be done to prevent or delay the development by the carer of needs for support in the future.

(6) Where, in the case of a carer to whom a child's carer's assessment relates, the child becomes 18, the local authority must decide whether to treat the assessment as a carer's assessment; and if the authority decides to do so, this Part applies to the child's carer's assessment as if it were a carer's assessment that had been carried out after the child had become 18.

(7) In considering what to decide under subsection (6), a local authority must have regard to—

(a) when the child's carer's assessment was carried out, and

(b) whether it appears to the authority that the circumstances of the carer to whom the child's carer's assessment relates have changed in a way that might affect the assessment.

(8) “Carer” has the same meaning as in section 60.

Commencement Information

I90 S. 61 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

62 Power to meet child's carer's needs for support E+W

(1) Where a local authority, having carried out a child's carer's assessment, is satisfied that the carer has needs for support, it may meet such of those needs as it considers appropriate.

(2) Regulations may make provision in connection with the exercise of the power under subsection (1); the regulations may, in particular, provide for provisions of this Part to apply with such modifications as may be specified.

(3) In deciding whether or how to exercise the power under subsection (1), a local authority must have regard to any services being provided to the carer [F7 under—

(a) section 17 of the Children Act 1989, or

(b) sections 37 to 39 of the Social Services and Well-being (Wales) Act 2014.]

(4) “Carer” has the same meaning as in section 60.

Textual Amendments

F7 Words in s. 62(3) substituted (6.4.2016) by The Social Services and Well-being (Wales) Act 2014 (Consequential Amendments) Regulations 2016 (No. 413), regs. 2(1), 293

Commencement Information

I91 S. 62(1)(3)(4) in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

I92 S. 62(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(r)

I93 S. 62(2) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

63 Assessment of a young carer's needs for support E+W

(1) Where it appears to a local authority that a young carer is likely to have needs for support after becoming 18, the authority must, if it is satisfied that it would be of significant benefit to the young carer to do so and if the consent condition is met, assess—

(a) whether the young carer has needs for support and, if so, what those needs are, and

(b) whether the young carer is likely to have needs for support after becoming 18 and, if so, what those needs are likely to be.

(2) An assessment under subsection (1) is referred to in this Part as a “young carer's assessment”.

(3) The consent condition is met if—

(a) the young carer has capacity or is competent to consent to a young carer's assessment being carried out and the young carer does so consent, or

(b) the young carer lacks capacity or is not competent so to consent but the authority is satisfied that carrying out a young carer's assessment would be in the young carer's best interests.

(4) Where a young carer refuses a young carer's assessment and the consent condition is accordingly not met, the local authority must nonetheless carry out the assessment if the young carer is experiencing, or is at risk of, abuse or neglect.

(5) Where a local authority, having received a request to carry out a young carer's assessment from the young carer concerned or a parent of the young carer, decides not to comply with the request, it must give the person who made the request—

(a) written reasons for its decision, and

(b) advice and information about what can be done to prevent or delay the development by the young carer of needs for support in the future.

(6) “Young carer” means a person under 18 who provides or intends to provide care for an adult (but see subsection (7)).

(7) A person is not a young carer for the purposes of this section if the person provides or intends to provide care—

(a) under or by virtue of a contract, or

(b) as voluntary work.

(8) But in a case where the local authority considers that the relationship between the adult and the person under 18 providing or intending to provide care is such that it would be appropriate for the person under 18 to be regarded as a young carer, that person is to be regarded as such (and subsection (7) is therefore to be ignored in that case).

(9) The references to providing care include a reference to providing practical or emotional support.

Commencement Information

I94 S. 63 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

64 Young carer's assessment: requirements etc. E+W

(1) A young carer's assessment must include an assessment of—

(a) whether the young carer is able to provide care for the person in question and is likely to continue to be able to do so after becoming 18,

(b) whether the young carer is willing to do so and is likely to continue to be willing to do so after becoming 18,

(c) the impact on the matters specified in section 1(2) of what the young carer's needs for support are likely to be after the young carer becomes 18,

(d) the outcomes that the young carer wishes to achieve in day-to-day life, and

(e) whether, and if so to what extent, the provision of support could contribute to the achievement of those outcomes.

(2) A local authority, in carrying out a young carer's assessment, must have regard to—

(a) the extent to which the young carer works or wishes to work (or is likely to wish to do so after becoming 18),

(b) the extent to which the young carer is participating in or wishes to participate in education, training or recreation (or is likely to wish to do so after becoming 18).

(3) A local authority, in carrying out a young carer's assessment, must involve—

(a) the young carer,

(b) the young carer's parents, and

(c) any person whom the young carer or a parent of the young carer requests the authority to involve.

(4) When carrying out a young carer's assessment, a local authority must also consider whether, and if so to what extent, matters other than the provision of support could contribute to the achievement of the outcomes that the young carer wishes to achieve in day-to-day life.

(5) Having carried out a young carer's assessment, a local authority must give the young carer—

(a) an indication as to whether any of the needs for support which it thinks the young carer is likely to have after becoming 18 are likely to meet the eligibility criteria (and, if so, which ones are likely to do so), and

(b) advice and information about—

(i) what can be done to meet or reduce the needs for support which it thinks the young carer is likely to have after becoming 18;

(ii) what can be done to prevent or delay the development by the young carer of needs for support in the future.

(6) But in a case where the young carer is not competent or lacks capacity to understand the things which the local authority is required to give under subsection (5), that subsection is to have effect as if for “must give the young carer” there were substituted “ must give the young carer's parents ”.

(7) Where a person to whom a young carer's assessment relates becomes 18, the local authority must decide whether to treat the assessment as a carer's assessment; and if the authority decides to do so, this Part applies to the young carer's assessment as if it were a carer's assessment that had been carried out after the person had become 18.

(8) In considering what to decide under subsection (7), a local authority must have regard to—

(a) when the young carer's assessment was carried out, and

(b) whether it appears to the authority that the circumstances of the person to whom the young carer's assessment relates have changed in a way that might affect the assessment.

Commencement Information

I95 S. 64 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

65 Assessments under sections 58 to 64: further provision E+W

(1) Regulations under section 12—

(a) may make such provision about carrying out a child's needs assessment as they may make about carrying out a needs assessment;

(b) may make such provision about carrying out a child's carer's assessment or a young carer's assessment as they may make about carrying out a carer's assessment.

(2) A local authority may combine a child's needs assessment or young carer's assessment with an assessment it is carrying out (whether or not under this Part) in relation to another person only if the consent condition is met in relation to the child to whom the child's needs or young carer's assessment relates and—

(a) where the combination would include an assessment relating to another child, the consent condition is met in relation to that other child;

(b) where the combination would include an assessment relating to an adult, the adult agrees.

(3) A local authority may combine a child's carer's assessment with an assessment it is carrying out (whether or not under this Part) in relation to another person only if the adult to whom the child's carer's assessment relates agrees and—

(a) where the combination would include an assessment relating to another adult, that other adult agrees, and

(b) where the combination would include an assessment relating to a child, the consent condition is met in relation to that child.

(4) The consent condition is met in relation to a child if—

(a) the child has capacity or is competent to agree to the assessments being combined and does so agree, or

(b) the child lacks capacity or is not competent so to agree but the local authority is satisfied that combining the assessments would be in the child's best interests.

(5) Where a local authority is carrying out a child's needs assessment, a child's carer's assessment or a young carer's assessment, and there is some other assessment being or about to be carried out in relation to the person to whom the assessment relates or in relation to a relevant person, the local authority may carry out that other assessment—

(a) on behalf of or jointly with the body responsible for carrying it out, or

(b) if that body has arranged to carry out the other assessment jointly with another person, jointly with that body and the other person.

(6) A reference to an assessment includes a reference to part of an assessment.

(7) A person is a “relevant person”, in relation to a child's needs, child's carer's or young carer's assessment, if it would be reasonable to combine an assessment relating to that person with the child's needs, child's carer's or young carer's assessment (as mentioned in subsections (2) and (3)).

Commencement Information

I96 S. 65(1) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(s)

I97 S. 65(1) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

I98 S. 65(2)-(7) in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

66 Continuity of services under other legislation E+W

(1) Before section 17A of the Children Act 1989 insert—

“17ZH Section 17 services: transition for children to adult care and support

(1) Subsections (2) to (4) apply where a local authority in England providing services for a child in need in the exercise of functions conferred by section 17—

(a) are required by section 58(1) or 63(1) of the Care Act 2014 to carry out a child's needs assessment or young carer's assessment in relation to the child, or

(b) are required by section 60(1) of that Act to carry out a child's carer's assessment in relation to a carer of the child.

(2) If the local authority carry out the assessment before the child reaches the age of 18 and decide to treat it as a needs or carer's assessment in accordance with section 59(6), 61(6) or 64(7) of the Care Act 2014 (with Part 1 of that Act applying to the assessment as a result), the authority must continue to comply with section 17 after the child reaches the age of 18 until they reach a conclusion in his case.

(3) If the local authority carry out the assessment before the child reaches the age of 18 but decide not to treat it as a needs or carer's assessment in accordance with section 59(6), 61(6) or 64(7) of the Care Act 2014—

(a) they must carry out a needs or carer's assessment (as the case may be) after the child reaches the age of 18, and

(b) they must continue to comply with section 17 after he reaches that age until they reach a conclusion in his case.

(4) If the local authority do not carry out the assessment before the child reaches the age of 18, they must continue to comply with section 17 after he reaches that age until—

(a) they decide that the duty under section 9 or 10 of the Care Act 2014 (needs or carer's assessment) does not apply, or

(b) having decided that the duty applies and having discharged it, they reach a conclusion in his case.

(5) Subsection (6) applies where a local authority in England providing services for a child in need in the exercise of functions conferred by section 17—

(a) receive a request for a child's needs assessment or young carer's assessment to be carried out in relation to the child or for a child's carer's assessment to be carried out in relation to a carer of the child, but

(b) have yet to be required by section 58(1), 60(1) or 63(1) of the Care Act 2014 to carry out the assessment.

(6) If the local authority do not decide, before the child reaches the age of 18, whether or not to comply with the request, they must continue to comply with section 17 after he reaches that age until—

(a) they decide that the duty under section 9 or 10 of the Care Act 2014 does not apply, or

(b) having decided that the duty applies and having discharged it, they reach a conclusion in his case.

(7) A local authority reach a conclusion in a person's case when—

(a) they conclude that he does not have needs for care and support or for support (as the case may be), or

(b) having concluded that he has such needs and that they are going to meet some or all of them, they begin to do so, or

(c) having concluded that he has such needs, they conclude that they are not going to meet any of those needs (whether because those needs do not meet the eligibility criteria or for some other reason).

(8) In this section, “child's needs assessment”, “child's carer's assessment”, “young carer's assessment”, “needs assessment”, “carer's assessment” and “eligibility criteria” each have the same meaning as in Part 1 of the Care Act 2014.

17ZI Section 17 services: provision after EHC plan no longer maintained

(1) This section applies where a local authority in England providing services for a person in the exercise, by virtue of section 17ZG, of functions conferred by section 17 are required to carry out a needs assessment in that person's case.

(2) If the EHC plan for the person ceases to be maintained before the local authority reach a conclusion in the person's case, they must continue to comply with section 17 until they do reach a conclusion in his case.

(3) The references to the local authority reaching a conclusion in a person's case are to be read with section 17ZH(7).

(4) In this section, “needs assessment” has the same meaning as in Part 1 of the Care Act 2014.”

(2) In section 17ZG of that Act (continued provision of services under section 17 where EHC plan maintained), in subsection (2), after “after the EHC plan has ceased to be maintained” insert “ , except in so far as the authority is required to do so under section 17ZH or 17ZI ”.

(3) After section 2 of the Chronically Sick and Disabled Persons Act 1970 insert—

“2A Welfare services: transition for children to adult care and support

(1) Subsections (2) to (4) apply where a local authority in England making arrangements for a disabled child under section 2 are required by section 58(1) of the Care Act 2014 to carry out a child's needs assessment in relation to the child.

(2) If the local authority carry out the assessment before the child reaches the age of 18 and decide to treat it as a needs assessment in accordance with section 59(6) of the Care Act 2014 (with Part 1 of that Act applying to the assessment as a result), the authority must continue to comply with section 2 after the child reaches the age of 18 until they reach a conclusion in his case.

(3) If the local authority carry out the assessment before the child reaches the age of 18 but decide not to treat it as a needs assessment in accordance with section 59(6) of that Act—

(a) they must carry out a needs assessment after the child reaches the age of 18, and

(b) they must continue to comply with section 2 after he reaches that age until they reach a conclusion in his case.

(4) If the local authority do not carry out the assessment before the child reaches the age of 18, they must continue to comply with section 2 after he reaches that age until—

(a) they decide that the duty under section 9 of the Care Act 2014 (needs assessment) does not apply, or

(b) having decided that the duty applies and having discharged it, they reach a conclusion in his case.

(5) Subsection (6) applies where a local authority in England making arrangements for a disabled child under section 2—

(a) receive a request for a child's needs assessment to be carried out in relation to the child, but

(b) have yet to be required by section 58(1) of the Care Act 2014 to carry out the assessment.

(6) If the local authority do not decide, before the child reaches the age of 18, whether or not to comply with the request, they must continue to comply with section 2 after he reaches that age until—

(a) they decide that the duty under section 9 of the Care Act 2014 does not apply, or

(b) having decided that the duty applies and having discharged it, they reach a conclusion in his case.

(7) A local authority reach a conclusion in a person's case when—

(a) they conclude that he does not have needs for care and support,

(b) having concluded that he has such needs and that they are going to meet some or all of them, they begin to do so, or

(c) having concluded that he has such needs, they conclude that they are not going to meet any of those needs (whether because those needs do not meet the eligibility criteria or for some other reason).

(8) In this section, “child's needs assessment”, “needs assessment” and “eligibility criteria” each have the same meaning as in Part 1 of the Care Act 2014.”

Commencement Information

I99 S. 66 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

Independent advocacy support E+W

67 Involvement in assessments, plans etc. E+W

(1) This section applies where a local authority is required by a relevant provision to involve an individual in its exercise of a function.

(2) The authority must, if the condition in subsection (4) is met, arrange for a person who is independent of the authority (an “independent advocate”) to be available to represent and support the individual for the purpose of facilitating the individual's involvement; but see subsection (5).

(3) The relevant provisions are—

(a) section 9(5)(a) and (b) (carrying out needs assessment);

(b) section 10(7)(a) (carrying out carer's assessment);

(c) section 25(3)(a) and (b) (preparing care and support plan);

(d) section 25(4)(a) and (b) (preparing support plan);

(e) section 27(2)(b)(i) and (ii) (revising care and support plan);

(f) section 27(3)(b)(i) and (ii) (revising support plan);

(g) section 59(2)(a) and (b) (carrying out child's needs assessment);

(h) section 61(3)(a) (carrying out child's carer's assessment);

(i) section 64(3)(a) and (b) (carrying out young carer's assessment).

(4) The condition is that the local authority considers that, were an independent advocate not to be available, the individual would experience substantial difficulty in doing one or more of the following—

(a) understanding relevant information;

(b) retaining that information;

(c) using or weighing that information as part of the process of being involved;

(d) communicating the individual's views, wishes or feelings (whether by talking, using sign language or any other means).

(5) The duty under subsection (2) does not apply if the local authority is satisfied that there is a person—

(a) who would be an appropriate person to represent and support the individual for the purpose of facilitating the individual's involvement, and

(b) who is not engaged in providing care or treatment for the individual in a professional capacity or for remuneration.

(6) For the purposes of subsection (5), a person is not to be regarded as an appropriate person unless—

(a) where the individual has capacity or is competent to consent to being represented and supported by that person, the individual does so consent, or

(b) where the individual lacks capacity or is not competent so to consent, the local authority is satisfied that being represented and supported by that person would be in the individual's best interests.

(7) Regulations may make provision in connection with the making of arrangements under subsection (2); the regulations may in particular—

(a) specify requirements that must be met for a person to be independent for the purposes of subsection (2);

(b) specify matters to which a local authority must have regard in deciding whether an individual would experience substantial difficulty of the kind mentioned in subsection (4);

(c) specify circumstances in which the exception in subsection (5) does not apply;

(d) make provision as to the manner in which independent advocates are to perform their functions;

(e) specify circumstances in which, if an assessment under this Part is combined with an assessment under this Part that relates to another person, each person may or must be represented and supported by the same independent advocate or by different independent advocates;

(f) provide that an independent advocate may, in such circumstances or subject to such conditions as may be specified, examine and take copies of relevant records relating to the individual.

(8) This section does not restrict the provision that may be made under any other provision of this Act.

(9) “Relevant record” means—

[F8 (a) a health record (within the meaning given in section 205 of the Data Protection Act 2018),]

(b) a record of, or held by, a local authority and compiled in connection with a function under this Part or a social services function (within the meaning given in section 1A of the Local Authority Social Services Act 1970),

(c) a record held by a person registered under Part 2 of the Care Standards Act 2000 [F9 , Chapter 2 of Part 1 of the Health and Social Care Act 2008 or Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016], or

(d) a record of such other description as may be specified in the regulations.

Textual Amendments

F8 S. 67(9)(a) substituted (25.5.2018) by Data Protection Act 2018 (c. 12), s. 212(1), Sch. 19 para. 187 (with ss. 117, 209, 210); S.I. 2018/625, reg. 2(1)(g)

F9 Words in s. 67(9)(c) substituted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 50

Modifications etc. (not altering text)

C6 S. 67(5) excluded (6.10.2014 coming into force in accordance with reg. 1(1)) by The Care and Support (Independent Advocacy Support) Regulations 2014 (S.I. 2014/2824), regs. 1(1), 4

C7 S. 67(5) restricted (1.4.2015 immediately after s. 67(2) comes into force, see S.I. 2015/993, art. 2(q)) by The Care and Support (Independent Advocacy Support) (No. 2) Regulations 2014 (S.I. 2014/2889), regs. 1(1), 4

Commencement Information

I100 S. 67(1)-(6) (8) (9) in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

I101 S. 67(7) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(t)

I102 S. 67(7) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

68 Safeguarding enquiries and reviews E+W

(1) This section applies where there is to be—

(a) an enquiry under section 42(2),

(b) a review under section 44(1) of a case in which condition 2 in section 44(3) is met or a review under section 44(4).

(2) The relevant local authority must, if the condition in subsection (3) is met, arrange for a person who is independent of the authority (an “independent advocate”) to be available to represent and support the adult to whose case the enquiry or review relates for the purpose of facilitating his or her involvement in the enquiry or review; but see subsections (4) and (6).

(3) The condition is that the local authority considers that, were an independent advocate not to be available, the individual would experience substantial difficulty in doing one or more of the following—

(a) understanding relevant information;

(b) retaining that information;

(c) using or weighing that information as part of the process of being involved;

(d) communicating the individual's views, wishes or feelings (whether by talking, using sign language or any other means).

(4) The duty under subsection (2) does not apply if the local authority is satisfied that there is a person—

(a) who would be an appropriate person to represent and support the adult for the purpose of facilitating the adult's involvement, and

(b) who is not engaged in providing care or treatment for the adult in a professional capacity or for remuneration.

(5) For the purposes of subsection (4), a person is not to be regarded as an appropriate person unless—

(a) where the adult has capacity to consent to being represented and supported by that person, the adult does so consent, or

(b) where the adult lacks capacity so to consent, the local authority is satisfied that being represented and supported by that person would be in the adult's best interests.

(6) If the enquiry or review needs to begin as a matter of urgency, it may do so even if the authority has not yet been able to comply with the duty under subsection (2) (and the authority continues to be subject to the duty).

(7) “Relevant local authority” means—

(a) in a case within subsection (1)(a), the authority making the enquiry or causing it to be made;

(b) in a case within subsection (1)(b), the authority which established the SAB arranging the review.

Commencement Information

I103 S. 68 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

Enforcement of debts E+W

69 Recovery of charges, interest etc. E+W

(1) Any sum due to a local authority under this Part is recoverable by the authority as a debt due to it.

(2) But subsection (1) does not apply in a case where a deferred payment agreement could, in accordance with regulations under section 34(1), be entered into, unless—

(a) the local authority has sought to enter into such an agreement with the adult from whom the sum is due, and

(b) the adult has refused.

(3) A sum is recoverable under this section—

(a) in a case in which the sum becomes due to the local authority on or after the commencement of this section, within six years of the date the sum becomes due;

(b) in any other case, within three years of the date on which it becomes due.

(4) Where a person misrepresents or fails to disclose (whether fraudulently or otherwise) to a local authority any material fact in connection with the provisions of this Part, the following sums are due to the authority from the person—

(a) any expenditure incurred by the authority as a result of the misrepresentation or failure, and

(b) any sum recoverable under this section which the authority has not recovered as a result of the misrepresentation or failure.

(5) The costs incurred by a local authority in recovering or seeking to recover a sum due to it under this Part are recoverable by the authority as a debt due to it.

(6) Regulations may—

(a) make provision for determining the date on which a sum becomes due to a local authority for the purposes of this section;

(b) specify cases or circumstances in which a sum due to a local authority under this Part is not recoverable by it under this section;

(c) specify cases or circumstances in which a local authority may charge interest on a sum due to it under this Part;

(d) where interest is chargeable, provide that it—

(i) must be charged at a rate specified in or determined in accordance with the regulations, or

(ii) may not be charged at a rate that exceeds the rate specified in or determined in accordance with the regulations.

Commencement Information

I104 S. 69 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

70 Transfer of assets to avoid charges E+W

(1) This section applies in a case where an adult's needs have been or are being met by a local authority under sections 18 to 20 and where—

(a) the adult has transferred an asset to another person (a “transferee”),

(b) the transfer was undertaken with the intention of avoiding charges for having the adult's needs met, and

(c) either the consideration for the transfer was less than the value of the asset or there was no consideration for the transfer.

(2) The transferee is liable to pay to the local authority an amount equal to the difference between—

(a) the amount the authority would have charged the adult were it not for the transfer of the asset, and

(b) the amount it did in fact charge the adult.

(3) But the transferee is not liable to pay to the authority an amount which exceeds the benefit accruing to the transferee from the transfer.

(4) Where an asset has been transferred to more than one transferee, the liability of each transferee is in proportion to the benefit accruing to that transferee from the transfer.

(5) “Asset” means anything which may be taken into account for the purposes of a financial assessment.

(6) The value of an asset (other than cash) is the amount which would have been realised if it had been sold on the open market by a willing seller at the time of the transfer, with a deduction for—

(a) the amount of any incumbrance on the asset, and

(b) a reasonable amount in respect of the expenses of the sale.

(7) Regulations may specify cases or circumstances in which liability under subsection (2) does not arise.

Commencement Information

I105 S. 70 in force at 1.4.2015 by S.I. 2015/993, art. 2(q) (with transitional provisions in S.I. 2015/995)

Review of funding provisions E+W

Prospective

71 Five-yearly review by Secretary of State E+W

(1) The Secretary of State must review—

(a) the level at which the cap on care costs is for the time being set under regulations under section 15(4),

(b) the level at which the amount attributable to an adult's daily living costs is for the time being set under regulations under section 15(8), and

(c) the level at which the financial limit is for the time being set under regulations under section 17(8).

(2) In carrying out the review, the Secretary of State must have regard to—

(a) the financial burden on the state of each of those matters being at the level in question,

(b) the financial burden on local authorities of each of those matters being at the level in question,

(c) the financial burden on adults who have needs for care and support of each of those matters being at the level in question,

(d) the length of time for which people can reasonably be expected to live in good health,

(e) changes in the ways or circumstances in which adults' needs for care and support are being or are likely to be met,

(f) changes in the prevalence of conditions for which the provision of care and support is or is likely to be required, and

(g) such other factors as the Secretary of State considers relevant.

(3) The Secretary of State must prepare and publish a report on the outcome of the review.

(4) The first report must be published before the end of the period of five years beginning with the day on which section 15 comes into force.

(5) Each subsequent report must be published before the end of the period of five years beginning with the day on which the previous report was published.

(6) The Secretary of State may arrange for some other person to carry out the whole or part of a review under this section on the Secretary of State's behalf.

(7) The Secretary of State must lay before Parliament a report prepared under this section.

Appeals E+W

Prospective

72 Part 1 appeals E+W

(1) Regulations may make provision for appeals against decisions taken by a local authority in the exercise of functions under this Part in respect of an individual (including decisions taken before the coming into force of the first regulations made under this subsection).

(2) The regulations may in particular make provision about—

(a) who may (and may not) bring an appeal;

(b) grounds on which an appeal may be brought;

(c) pre-conditions for bringing an appeal;

(d) how an appeal is to be brought and dealt with (including time limits);

(e) who is to consider an appeal;

(f) matters to be taken into account (and disregarded) by the person or body considering an appeal;

(g) powers of the person or body deciding an appeal;

(h) what action is to be taken by a local authority as a result of an appeal decision;

(i) providing information about the right to bring an appeal, appeal procedures and other sources of information and advice;

(j) representation and support for an individual bringing or otherwise involved in an appeal;

(k) investigations into things done or not done by a person or body with power to consider an appeal.

(3) Provision about pre-conditions for bringing an appeal may require specified steps to have been taken before an appeal is brought.

(4) Provision about how an appeal is to be dealt with may include provision for—

(a) the appeal to be treated as, or as part of, an appeal brought or complaint made under another procedure;

(b) the appeal to be considered with any such appeal or complaint.

(5) Provision about who is to consider an appeal may include provision—

(a) establishing, or requiring or permitting the establishment of, a panel or other body to consider an appeal;

(b) requiring an appeal to be considered by, or by persons who include, persons with a specified description of expertise or experience.

(6) Provision about representation and support for an individual may include provision applying any provision of or made under section 67, with or without modifications.

(7) The regulations may make provision for—

(a) an appeal brought or complaint made under another procedure to be treated as, or as part of, an appeal brought under the regulations;

(b) an appeal brought or complaint made under another procedure to be considered with an appeal brought under the regulations;

(c) matters raised in an appeal brought under the regulations to be taken into account by the person or body considering an appeal brought or complaint made under another procedure.

(8) The regulations may include provision conferring functions on a person or body established by or under an Act (including an Act passed after the passing of this Act); for that purpose, the regulations may amend, repeal, or revoke an enactment, or provide for an enactment to apply with specified modifications.

(9) Regulations may make provision, in relation to a case where an appeal is brought under regulations under subsection (1)—

(a) for any provision of this Part to apply, for a specified period, as if a decision (“the interim decision”) differing from the decision appealed against had been made;

(b) as to what the terms of the interim decision are, or as to how and by whom they are to be determined;

(c) for financial adjustments to be made following a decision on the appeal.

(10) The period specified under subsection (9)(a) may not begin earlier than the date on which the decision appealed against was made, or end later than the date on which the decision on the appeal takes effect.

Miscellaneous U.K.

73 Human Rights Act 1998: provision of regulated care or support etc a public function U.K.

(1) This section applies where—

(a) in England, a registered care provider provides care and support to an adult or support to a carer, in the course of providing—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care;

(b) in Wales, a person registered under Part 2 of the Care Standards Act 2000 [F10 or Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016] provides care and support to an adult, or support to a carer, in the course of providing—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care;

(c) in Scotland, a person provides advice, guidance or assistance to an adult or support to a carer, in the course of providing a care service which is registered under section 59 of the Public Services Reform (Scotland) Act 2010 and which consists of the provision of—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care;

(d) in Northern Ireland, a person registered under Part 3 of the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003 provides advice, guidance or assistance to an adult or services to a carer, in the course of providing—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care.

In this section “the care or support” means the care and support, support, advice, guidance, assistance or services provided as mentioned above, and “the provider” means the person who provides the care or support.

(2) The provider is to be taken for the purposes of section 6(3)(b) of the Human Rights Act 1998 (acts of public authorities) to be exercising a function of a public nature in providing the care or support, if the requirements of subsection (3) are met.

(3) The requirements are that—

(a) the care or support is arranged by an authority listed in column 1 of the Table below, or paid for (directly or indirectly, and in whole or in part) by such an authority, and

(b) the authority arranges or pays for the care or support under a provision listed in the corresponding entry in column 2 of the Table.

TABLE

Authority	Provisions imposing duty or conferring power to meet needs
Local authority in England	Sections 2, 18, 19, 20, 38 and 48 of this Act.
Local authority in Wales	Part 4 and section 189 of the Social Services and Well-being (Wales) Act 2014.
	Section 50 of this Act.
Local authority in Scotland	Sections 12, 13A, 13B and 14 of the Social Work (Scotland) Act 1968.
	Section 3 of the Social Care (Self-directed Support) (Scotland) Act 2013.
Health and Social Care trust	Article 15 of the Health and Personal Social Services (Northern Ireland) Order 1972.
	Section 51 of this Act.
Authority (within the meaning of section 10 of the Carers and Direct Payments Act (Northern Ireland) 2002)	Section 2 of the Carers and Direct Payments Act (Northern Ireland) 2002.

(4) In this section—

• “local authority in England” means a local authority for the purposes of this Part;

• “local authority in Wales” means a local authority for the purposes of the Social Services and Well-being (Wales) Act 2014;

• “local authority in Scotland” means a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994;

• “nursing care”, for England, Wales and Northern Ireland, has the same meaning as in the Health and Social Care Act 2008 (Regulated Activities) Regulations 2010, as amended from time to time;

• “personal care”—

  (a)

  for England, Wales and Northern Ireland, has the same meaning as in the Health and Social Care Act 2008 (Regulated Activities) Regulations 2010, as amended from time to time;

  (b)

  for Scotland, has the same meaning as in Part 5 of the Public Services Reform (Scotland) Act 2010, as amended from time to time.

Textual Amendments

F10 Words in s. 73(1)(b) inserted (2.4.2018) by The Regulation and Inspection of Social Care (Wales) Act 2016 (Consequential Amendments) Regulations 2018 (S.I. 2018/195), regs. 2(1), 51

Commencement Information

I106 S. 73 in force at 1.4.2015 by S.I. 2015/993, art. 2(r) (with transitional provisions in S.I. 2015/995)

74 Discharge of hospital patients with care and support needs E+W

Schedule 3 (which includes provision about the discharge of hospital patients with care and support needs) has effect.

Commencement Information

I107 S. 74 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(y)

I108 S. 74 in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(s) (with transitional provisions in S.I. 2015/995)

75 After-care under the Mental Health Act 1983 E+W

(1) In section 117 of the Mental Health Act 1983 (after-care), in subsection (2), after “to provide” insert “ or arrange for the provision of ”.

(2) In subsection (2D) of that section, for the words from “as if” to the end substitute “ as if the words “provide or” were omitted. ”

(3) In subsection (3) of that section, after “means the local social services authority” insert “—

(a) if, immediately before being detained, the person concerned was ordinarily resident in England, for the area in England in which he was ordinarily resident;

(b) if, immediately before being detained, the person concerned was ordinarily resident in Wales, for the area in Wales in which he was ordinarily resident; or

(c) in any other case”.

(4) After that subsection insert—

“(4) Where there is a dispute about where a person was ordinarily resident for the purposes of subsection (3) above—

(a) if the dispute is between local social services authorities in England, section 40 of the Care Act 2014 applies to the dispute as it applies to a dispute about where a person was ordinarily resident for the purposes of Part 1 of that Act;

(b) if the dispute is between local social services authorities in Wales, section 195 of the Social Services and Well-being (Wales) Act 2014 applies to the dispute as it applies to a dispute about where a person was ordinarily resident for the purposes of that Act;

(c) if the dispute is between a local social services authority in England and a local social services authority in Wales, it is to be determined by the Secretary of State or the Welsh Ministers.

(5) The Secretary of State and the Welsh Ministers shall make and publish arrangements for determining which of them is to determine a dispute under subsection (4)(c); and the arrangements may, in particular, provide for the dispute to be determined by whichever of them they agree is to do so.”

(5) After subsection (5) insert—

“(6) In this section, “after-care services”, in relation to a person, means services which have both of the following purposes—

(a) meeting a need arising from or related to the person's mental disorder; and

(b) reducing the risk of a deterioration of the person's mental condition (and, accordingly, reducing the risk of the person requiring admission to a hospital again for treatment for mental disorder).”

(6) After section 117 of that Act insert—

“117A After-care: preference for particular accommodation

(1) The Secretary of State may by regulations provide that where—

(a) the local social services authority under section 117 is, in discharging its duty under subsection (2) of that section, providing or arranging for the provision of accommodation for the person concerned;

(b) the person concerned expresses a preference for particular accommodation; and

(c) any prescribed conditions are met,

the local social services authority must provide or arrange for the provision of the person's preferred accommodation.

(2) Regulations under this section may provide for the person concerned, or a person of a prescribed description, to pay for some or all of the additional cost in prescribed cases.

(3) In subsection (2), “additional cost” means the cost of providing or arranging for the provision of the person's preferred accommodation less the amount that the local social services authority would expect to be the usual cost of providing or arranging for the provision of accommodation of that kind.

(4) The power to make regulations under this section—

(a) is exercisable only in relation to local social services authorities in England;

(b) includes power to make different provision for different cases or areas.”

(7) The ways in which a local authority may discharge its duty under section 117 of the Mental Health Act 1983 include by making direct payments; and for that purpose Part 1 of Schedule 4 (which includes modifications of the provisions of this Part relating to direct payments) has effect.

(8) In section 53 of the Social Services and Well-being (Wales) Act 2014 (direct payments: further provision), at the end insert—

“(11) The ways in which a local authority may discharge its duty under section 117 of the Mental Health Act 1983 include by making direct payments; and for that purpose Schedule A1 (which includes modifications of sections 50 and 51 and this section) has effect.”

(9) Before Schedule 1 to that Act insert the Schedule A1 contained in Part 2 of Schedule 4 to this Act.

(10) In section 194 of that Act (ordinary residence), after subsection (4) insert—

“(4A) A person who is being provided with accommodation under section 117 of the Mental Health Act 1983 (after-care) is to be treated for the purposes of this Act as ordinarily resident in the area of the local authority, or the local authority in England, on which the duty to provide that person with services under that section is imposed.”

(11) In consequence of subsections (7) to (9), in subsection (2C) of section 117 of the Mental Health Act 1983—

(a) in paragraph (a), for “regulations under section 57 of the Health and Social Care Act 2001 or” substitute “—

(i) sections 31 to 33 of the Care Act 2014 (as applied by Schedule 4 to that Act),

(ii) sections 50, 51 and 53 of the Social Services and Well-being (Wales) Act 2014 (as applied by Schedule A1 to that Act), or

(iii) regulations under”,

(b) in paragraph (b), after “apart from” insert “ those sections (as so applied) or ”.

(12) In the case of a person who, immediately before the commencement of subsections (3) and (4), is being provided with after-care services under section 117 of the Mental Health Act 1983, the amendments made by those subsections do not apply while those services are continuing to be provided to that person.

(13) In section 145 of the Mental Health Act 1983 (interpretation), for the definition of “local social services authority” substitute—

““local social services authority” means—

(a) an authority in England which is a local authority for the purposes of Part 1 of the Care Act 2014, or

(b) an authority in Wales which is a local authority for the purposes of the Social Services and Well-being (Wales) Act 2014.”

Commencement Information

I109 S. 75(1)-(5) (12) (13) in force at 1.4.2015 by S.I. 2015/993, art. 7(1)(a) (with temp. modifications in art. 7(2)(5) and with transitional provisions in S.I. 2015/995)

I110 S. 75(6) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(u)

I111 S. 75(6)(7) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 7(1)(b) and with transitional provisions in S.I. 2015/995

I112 S. 75(7) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(z)

I113 S. 75(8)-(11) in force at 6.4.2016 by S.I. 2016/464, art. 2(d)

I114 S. 75(11) in force at 1.4.2015 for specified purposes by S.I. 2015/993, art. 7(3) (with temp. modification at art. 7(4))

76 Prisoners and persons in approved premises etc. E+W

(1) In its application to an adult who is detained in prison, this Part has effect as if references to being ordinarily resident in an area were references to being detained in prison in that area.

(2) In its application to an adult who is residing in approved premises, this Part has effect as if references to being ordinarily resident in an area were references to being resident in approved premises in that area.

(3) In its application to an adult who is residing in any other premises because a requirement to do so has been imposed on the adult as a condition of the grant of bail in criminal proceedings, this Part has effect as if references to being ordinarily resident in an area were references to being resident in premises in that area for that reason.

(4) The power under section 30 (preference for particular accommodation) may not be exercised in the case of an adult who is detained in prison or residing in approved premises except for the purpose of making provision with respect to accommodation for the adult—

(a) on his or her release from prison (including temporary release), or

(b) on ceasing to reside in approved premises.

(5) Sections 31 to 33 (direct payments) do not apply in the case of an adult who, having been convicted of an offence, is—

(a) detained in prison, or

(b) residing in approved premises.

(6) Sections 37 and 38 (continuity of care), in their application to an adult who is detained in prison or residing in approved premises, also apply where it is decided that the adult is to be detained in prison, or is to reside in approved premises, in the area of another local authority; and accordingly—

(a) references to the adult's intention to move are to be read as references to that decision, and

(b) references to carers are to be ignored.

(7) Sections 42 and 47 (safeguarding: enquiry by local authority and protection of property) do not apply in the case of an adult who is—

(a) detained in prison, or

(b) residing in approved premises.

(8) An SAB's objective under section 43(2) does not include helping and protecting adults who are detained in prison or residing in approved premises; but an SAB may nonetheless provide advice or assistance to any person for the purpose of helping and protecting such adults in its area in cases of the kind described in section 42(1) (adults with needs for care and support who are at risk of abuse or neglect).

(9) Section 44 (safeguarding adults reviews) does not apply to any case involving an adult in so far as the case relates to any period during which the adult was—

(a) detained in prison, or

(b) residing in approved premises.

(10) Regulations under paragraph 1(1)(d) of Schedule 2 (membership of Safeguarding Adults Boards) may not specify the governor, director or controller of a prison or a prison officer or prisoner custody officer.

(11) “Prison” has the same meaning as in the Prison Act 1952 (see section 53(1) of that Act); and—

(a) a reference to a prison includes a reference to a young offender institution, secure training centre or secure children's home,

(b) the reference in subsection (10) to the governor, director or controller of a prison includes a reference to the governor, director or controller of a young offender institution, to the governor, director or monitor of a secure training centre and to the manager of a secure children's home, and

(c) the reference in that subsection to a prison officer or prisoner custody officer includes a reference to a prison officer or prisoner custody officer at a young offender institution, to an officer or custody officer at a secure training centre and to a member of staff at a secure children's home.

(12) “Approved premises” has the meaning given in section 13 of the Offender Management Act 2007.

(13) “Bail in criminal proceedings” has the meaning given in section 1 of the Bail Act 1976.

(14) For the purposes of this section—

(a) a person who is temporarily absent from prison is to be treated as detained in prison for the period of absence;

(b) a person who is temporarily absent from approved premises is to be treated as residing in approved premises for the period of absence;

(c) a person who is temporarily absent from other premises in which the person is required to reside as a condition of the grant of bail in criminal proceedings is to be treated as residing in the premises for the period of absence.

Commencement Information

I115 S. 76 in force at 1.4.2015 by S.I. 2015/993, art. 2(t) (with transitional provisions in S.I. 2015/995)

77 Registers of sight-impaired adults, disabled adults, etc. E+W

(1) A local authority must establish and maintain a register of sight-impaired and severely sight-impaired adults who are ordinarily resident in its area.

(2) Regulations may specify descriptions of persons who are, or are not, to be treated as being sight-impaired or severely sight-impaired for the purposes of this section.

(3) A local authority may establish and maintain one or more registers of adults to whom subsection (4) applies, and who are ordinarily resident in the local authority's area, for the purposes in particular of—

(a) planning the provision by the authority of services to meet needs for care and support, and

(b) monitoring changes over time in the number of adults in the authority's area with needs for care and support and the types of needs they have.

(4) This subsection applies to an adult who—

(a) has a disability,

(b) has a physical or mental impairment which is not a disability but which gives rise, or which the authority considers may in the future give rise, to needs for care and support, or

(c) comes within any other category of persons the authority considers appropriate to include in a register of persons who have, or the authority considers may in the future have, needs for care and support.

(5) “Disability” has the meaning given by section 6 of the Equality Act 2010.

Commencement Information

I116 S. 77(1)(3)-(5) in force at 1.4.2015 by S.I. 2015/993, art. 2(t) (with transitional provisions in S.I. 2015/995)

I117 S. 77(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(v)

I118 S. 77(2) in force at 1.4.2015 in so far as not already in force by S.I. 2015/993, art. 2(t) (with transitional provisions in S.I. 2015/995)

78 Guidance, etc. E+W

(1) A local authority must act under the general guidance of the Secretary of State in the exercise of functions given to it by this Part or by regulations under this Part.

(2) Before issuing any guidance for the purposes of subsection (1), the Secretary of State must consult such persons as the Secretary of State considers appropriate.

(3) The Secretary of State must have regard to the general duty of local authorities under section 1(1) (promotion of individual well-being)—

(a) in issuing guidance for the purposes of subsection (1);

(b) in making regulations under this Part.

Modifications etc. (not altering text)

C8 S. 78 applied by 1970 c. 42, s. 7(1A) (as inserted (1.4.2015) by The Care Act 2014 and Children and Families Act 2014 (Consequential Amendments) Order 2015 (S.I. 2015/914), art. 1(2), Sch. para. 17 (with arts. 1(3), 3); S.I. 2015/993, art. 2(a))

Commencement Information

I119 S. 78 in force at 1.4.2015 by S.I. 2015/993, art. 2(t) (with transitional provisions in S.I. 2015/995)

79 Delegation of local authority functions E+W

(1) A local authority may authorise a person to exercise on its behalf a function it has under—

(a) this Part or regulations under this Part (but see subsection (2)), or

(b) section 117 of the Mental Health Act 1983 (after-care services).

(2) The references in subsection (1)(a) to this Part do not include a reference to—

(a) section 3 (promoting integration with health services etc.),

(b) sections 6 and 7 (co-operating),

(c) section 14 (charges),

(d) sections 42 to 47 (safeguarding adults at risk of abuse or neglect), or

(e) this section.

(3) An authorisation under this section may authorise an employee of the authorised person to exercise the function to which the authorisation relates; and for that purpose, where the authorised person is a body corporate, “employee” includes a director or officer of the body.

(4) An authorisation under this section may authorise the exercise of the function to which it relates—

(a) either wholly or to the extent specified in the authorisation;

(b) either generally or in cases, circumstances or areas so specified;

(c) either unconditionally or subject to conditions so specified.

(5) An authorisation under this section—

(a) is for the period specified in the authorisation;

(b) may be revoked by the local authority;

(c) does not prevent the local authority from exercising the function to which the authorisation relates.

(6) Anything done or omitted to be done by or in relation to a person authorised under this section in, or in connection with, the exercise or purported exercise of the function to which the authorisation relates is to be treated for all purposes as done or omitted to be done by or in relation to the local authority.

(7) But subsection (6) does not apply—

(a) for the purposes of the terms of any contract between the authorised person and the local authority which relate to the function, or

(b) for the purposes of any criminal proceedings brought in respect of anything done or omitted to be done by the authorised person.

(8) Schedule 15 to the Deregulation and Contracting Out Act 1994 (which permits disclosure of information between local authorities and contractors where that is necessary for the exercise of the functions concerned, even if that would otherwise be unlawful) applies to an authorisation under this section as it applies to an authorisation by virtue of an order under section 70(2) of that Act.

(9) The Secretary of State may by order—

(a) amend subsection (2) so as to add to or remove from the list a provision of this Part;

(b) amend subsection (1) so as to add to or remove from the list a provision relating to care and support for adults or support for carers;

(c) impose conditions or other restrictions on the exercise of the power under subsection (1), whether by amending this section or otherwise.

(10) The provision which may be made in an order under subsection (9) in reliance on section 125(8) (supplementary etc. provision in orders under this Act) includes, in particular, provision as to the rights and obligations of local authorities and persons authorised under this section in light of the provision made by the order.

(11) “Function” includes a power to do anything that is calculated to facilitate, or is conducive or incidental to, the exercise of a function.

Commencement Information

I120 S. 79 in force at 1.4.2015 by S.I. 2015/993, art. 2(t) (with transitional provisions in S.I. 2015/995)

General E+W

80 Part 1: interpretation E+W

(1) For the purposes of this Part, an expression in the first column of the following table is defined or otherwise explained by the provision of this Act specified in the second column.

Expression	Provision
Abuse	Section 42(3)
Accrued costs	Section 15(5)
Adult	Section 2(8)
Adult needing care	Section 10(3)
Authority under the Mental Capacity Act 2005	Subsection (3) below
Best interests	Subsection (2) below
Cap on care costs	Section 15(4)
Capacity, having or lacking	Subsection (2) below
Care and support plan	Section 25
Care account	Section 29
Carer (other than in sections 58 to 62)	Section 10(3)
Carer's assessment	Sections 10(2) and 12(8) and (9)
Child's carer's assessment	Section 60(2)
Child's needs assessment	Section 58(2)
Daily living costs, amount attributable to	Section 15(8)
Deferred payment agreement	Section 34
Direct payment	Sections 31 and 32
Eligibility criteria	Section 13
Financial assessment	Section 17(5)
Financial limit	Section 17(10)
Financial year	Section 126
The health service	Section 126
Independent personal budget	Section 28
Local authority	Section 1(4)
Needs assessment	Sections 9(2) and 12(8) and (9)
Parent	Section 58(6)
Personal budget	Section 26
Registered care provider	Section 48
Support plan	Section 25
Well-being	Section 1(2)
Young carer	Section 63(6)
Young carer's assessment	Section 63(2)

(2) A reference in this Part to having or lacking capacity, or to a person's best interests, is to be interpreted in accordance with the Mental Capacity Act 2005.

(3) A reference in this Part to being authorised under the Mental Capacity Act 2005 is a reference to being authorised (whether in general or specific terms) as—

(a) a donee of a lasting power of attorney granted under that Act, or

(b) a deputy appointed by the Court of Protection under section 16(2)(b) of that Act.

Commencement Information

I121 S. 80 in force at 1.4.2015 for specified purposes by S.I. 2015/993, art. 2(u) (with transitional provisions in S.I. 2015/995)

I122 S. 80(1) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, art. 2(1)(w)