Direct Payments Disabled Children and Young People. · Direct Payments . Disabled Children and Young People. Policy, ... Direct Payments – Disabled Children About this document

Thurrock Children, Education

and Families April 2014

Direct Payments Disabled

Children and Young People.

Policy, Practice and Guidance

Thurrock Children, Education and Families

Direct Payments – Disabled Children

About this document Title:

Direct Payments Cash for services – policy, practice and guidance

Purpose: To inform all staff about Direct Payments; and provide specific guidance for assessor staff to implement this option and understand their responsibilities in so doing.

Prepared by: Eileen McCabe Who should read:

This document is open to all interested in Direct Payments.

Access to copies of document:

Inform

Approved by (Executive accountability):

Mark Gurrey

Strategic accountability:

Operational accountability:

Date: 1st March 2006

Version Number: 5

Status: Reviewed

Reviewed by: Clare Moore. Service Manager Disabled Children’s Service.

Date of next review: April 2016

Thurrock Children, Education and Families

Direct Payments – Disabled Children

Circulation This policy has been circulated to: Head of Service – Care and Targeted Outcomes Strategic Leader – Early Years Strategic Leader- Care and Targeted Outcomes Service Manager- Disabled Children’s Service. Service Manager Looked After Children Service Manager Family Support Service Manager Placement support Service Managers- Multi Agency Groups. Service Manager Safeguarding Team Manager Team for Disabled Children Team Manager Youth Offending Team Team Managers Fostering Teams Team Manager Adoption Team Team Manager Initial Response Team Team Managers Family Support Teams Team Managers Through Care Teams Team Manager Adolescent Team Team Manager Independent Reviewing Service Manager Oaktree Resource Centre Team Manager Sunshine Centre Training & Staff Development Manager HR Principal Finance Officer

Direct Payments for Children, Education and Families in Thurrock

CONTENTS SECTON 1 Introduction to Direct Payments 1.1 What are Direct Payments? 2 Policy Guidance 2.1 Which new groups of people are eligible for Direct

Payments

2.2 Direct Payments for disabled people aged 16 and 17 2.3 How may a disabled person aged 16 or 17 use Direct

Payments?

2.4 How may those with parental responsibility for disabled children use Direct Payments?

2.5 What can a Direct Payment not be used for? 2.6 Which services can be purchased with a Direct

Payment?

2.7 What are the eligibility criteria for receiving a Direct Payment?

2.8 Consent 2.9 Ability to manage 2.10 Safeguarding the welfare of the child 2.11 When would a Direct Payment be appropriate? 2.12 When may a Direct Payment be declined? 2.13 Integrated charging policy 2.14 Complaints 3 Practice Guidelines 3.1 The Direct Payment process 3.2 Assessment 3.3 Social Worker 3.4 Transitional Arrangements 3.5 Independent Advice and Support 3.6 Third Party Arrangements/Trusts 3.7 Mixed Packages 3.8 Direct Payments for Looked After Children 3.9 Direct Payments for children on a care order or on the

children protection register

3.10 What if the service user no longer wishes to continue their Direct Payment?

3.11 Funding the Direct Payment 3.12 Employing a suitable person 3.13 How are police checks carried out? 3.14 What if a police check is not pursued 3.15 What advice should the practitioners give to

parents/young people re: employing a suitable person?

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3.16 Review of the Direct Payment 3.17 Short breaks 3.18 What are the practitioner’s responsibilities? 3.19 What the practitioner is NOT responsible for 3.20 Direct Payments paperwork SECTION 4 Financial Issues 4.1 Hourly rate for a Direct Payment 4.2 How much will the Direct Payment be? 4.3 Separate bank accounts 4.4 Who is responsible for the quarterly returns 4.5 Independent living fund (1993) 4.6 Income maximisation 4.7 Joint funded packages 4.8 Monitoring the use of Direct Payments 4.9 Contingency packages/recovering surplus funds 4.10 Review of the Direct Payment 4.11 Direct Payment contract 4.12 How payments are made 4.13 Direct Payments contract 4.14 Difficulties and emergencies 4.15 The assessor’s responsibility when difficulties arise 4.16 Discontinuing direct payments 4.17 Discontinuing direct payments temporarily


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1. Introduction to Direct Payments 1.1 What are Direct Payments? Direct payments are fundamental to achieving the Government’s aim of increasing people’s independence, choice and control by providing personalised alternatives to the social care services offered by a council with social services responsibilities.

The transformation of adult social care services initiated by Putting People First builds on and reinforces these principles of choice and control. Central to the transformation programme is the concept of personal budgets, giving individuals a clear understanding of how much is to be allocated for their social care support and allowing them to make their own decisions about how to spend this amount in order to meet their assessed needs. It is the Government’s aim that all adults and children eligible for social care services will be able to have a personal budget, through which they can exercise choice and control over how their care and support are delivered.

Direct payments and personal budgets should not be seen as separate mechanisms for delivering social care services, but rather as a related set of tools enabling service users to direct how they want their care and support to be designed and delivered. The move towards personal budgets as a central component of the reform of adult and children’s social care therefore upholds direct payments as a key vehicle for managing care and support arrangements, and it is anticipated that the number of people using direct payments will increase substantially as a result.

Aiming high for disabled children: better support for families outlined the Government’s aim to improve service provision across the board for disabled children and their families. It included a commitment to give families with disabled children real choice and control to design flexible service packages that respond to their needs. Direct payments are one way of enabling families and disabled young people to achieve this ambition.

Paid as cash in lieu of directly provided services, a direct payment gives the service user flexibility to look beyond ‘off-the-peg’ service solutions at options that may include employment, education and leisure activities as well as personal assistance to meet their assessed needs. Many people using direct payments have experienced the benefits of increased opportunities for independence, social inclusion and enhanced self-esteem.


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2. Policy Guidance

2.1 Direct payments are monetary payments made by Thurrock Council, Children’s Social Care directly to parents or carers of disabled children who have been assessed as having eligible needs for Social Care Services. Direct payments are a way in which parents can direct their own support for their child. As such they promote independence, choice and inclusion by enabling parents to purchase the assistance or services that Social Care would otherwise provide in order to promote the welfare of the child within the family.

Direct payments were introduced in relation to social care services for adults through the Community Care (Direct Payments) Act 1996. This Act was repealed (in relation to England) by the Health and Social Care Act 2001 (‘the 2001 Act’) and direct payments are now governed by the 2001 Act and the Children Act 1989 (‘the 1989 Act’).

The power to make direct payments to people with parental responsibility for disabled children and to disabled 16 and 17-year-olds was created by the Carers and Disabled Children Act 2000 (‘the 2000 Act’). Section 17A of the 1989 Act, inserted by the 2001 Act, gave councils a duty to offer direct payments for children’s services. In making direct payments under section 17A of the 1989 Act, councils are subject to the general duty provided by Part 3 of that Act to safeguard and promote the welfare of children in need, and to promote their upbringing by their families when making these payments, in exactly the same way as when providing direct services.


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Aiming high for disabled children (AHDC) sets out the Government’s commitment to improve services and outcomes for, and to give greater choice and control to, disabled children and their families. Building on the principles underpinning direct payments, individual budgets bring together a number of funding streams and areas of expenditure to provide a more holistic and joined-up package of support for the child. Individual budgets can be held and managed by a broker, who has the advantages of: supporting parents to manage the budget better; reducing the parents’ personal responsibility for arranging care; facilitating the development of tailored support designed around the particular needs of the child and family; encouraging co-ordinated provision of services; and reducing duplication in provision. Direct payments and individual budgets have key roles to play in enabling disabled children and their families to purchase the services that they need. Not all areas of social care provision are included in the direct payments legislation, although a great many for which councils are responsible are included. The Regulations provide that the duty (or in some circumstances, a power) to offer direct payments applies to: • a community care service within the meaning of section 46 of the National Health Service and Community Care Act 1990; • a service under section 2 of the 2000 Act; or • a service which councils may provide under section 17 of the 1989 Act (provision of services for children in need, their families and others). Wherever a person is assessed as needing social care services, a council should check whether there is a duty or a power to make direct payments in respect of those services. 2.2 Direct payments for disabled people aged 16 and 17 The Children Act 1989 states that disabled children should be given “the opportunity to lead lives which are as normal as possible”. Direct payments, in promoting social inclusion and the principles of independent living, offer disabled 16 and 17 year olds the opportunity to make more decisions for themselves, giving them more control over their lives and thus aiding transition to adulthood. 2.3 How may a disabled person aged 16 or 17 use direct Payments? They can use the direct payment to purchase any service they have been assessed as needing under section 17 of the Children Act 1989. N.B. A 16/17 year old in receipt of a direct payment must use the direct payment to meet their own needs only.


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2.4 How may those with parental responsibility for disabled children use direct payments? The Team for Disabled Children may offer direct payments to people with parental responsibility for a disabled child (under the age of 18) to meet • their own assessed needs as a parent/carer • the disabled child’s assessed needs • the family’s assessed needs 2.5 What can a direct payment not be used for ?

• Direct payments cannot be used to purchase services that the disabled 16/17 year old, or person with parental responsibility, has not been assessed as needing.

• The disabled person aged 16 or 17 cannot receive direct payments for

services that other family members have been assessed as needing.

• Direct payments cannot usually be used to secure services from a close relative living in the same household, or from someone else living in the household (this does not include live in personal assistants). The relationship between the personal assistant and the family should be contractual rather than personal. If the people would be living together regardless of any employment relationship then payment may not be made for any assistance one may give the other.

• The exception to this is if the local authority is satisfied that securing the

service from such a person is necessary for promoting the welfare of the child in need. In such circumstances, and with regard to evidence of such within the assessment and proposal, specific permission would be required from the relevant Service Manager and the situation would be kept under regular review.

• Direct payments cannot be used to purchase permanent residential

care. 2.6 Which services can be purchased with a direct payment? Direct payments can be used to purchase any service under section 17 of the Children Act 1989 which meets the assessed needs of the 16/17 year old disabled person or person with parental responsibility for the disabled child


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and the family. Such services may include short breaks, personal care, access to social and leisure activities and homecare. 2.7 What are the eligibility criteria for receiving a direct payment? In order to receive a direct payment the child/ young person must

• Be assessed as needing a service under section 17 of the Children Act 1989

• Be able to manage the direct payment (with or without assistance)

• Give consent

• Ensure that the direct payment safeguards and promotes their welfare

2.8 Consent Direct payments can only be made with the consent of the young person concerned. It will be crucial during the assessment process to ascertain the wishes and feelings of both the young person and his/her parents. Blanket decisions should not be made about young disabled people’s ability to participate in decision- making. Each case should be dealt with on an individual basis. When making a decision as to whether a young person is capable of managing a direct payment, the local authority should balance the wishes and feelings of the young person with those who have parental responsibility. However, as with a direct service, the overriding requirement is to promote and safeguard the welfare of the young person. 2.9 Ability to manage The local authority should consider whether the young disabled person or person with parental responsibility has the capacity to manage the direct payment either alone or with assistance. The Essex Coalition for Disabled People (ECDP) will be able to give advice about this issue. When considering the young person’s ability to manage, the size of the support package will reflect the degree of responsibility involved. It may be appropriate to consider a mixed package. (See “mixed package” for a fuller


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explanation) The ability to manage may change as the young person gains more experience. 2.10 Safeguarding the welfare of the child The local authority needs to be satisfied that the person offering help to support the young disabled person is a suitable person. It will therefore carry out checks on behalf of 16 and 17 year old disabled children or those with parental responsibility for disabled children who wish to employ others through a direct payment. Disabled children are at increased risk of abuse. People with parental responsibility for disabled children need to ensure as far as possible that the person offering help with the care of their child is a suitable person. Social workers should advise parents and disabled children prior to the implementation of the direct payment about appropriate steps to take if there are concerns for the welfare of the child. An Enhanced Criminal Records Bureau Check is mandatory for all Direct Payment Carers/ Employees. N.B. The local authority will not agree to a direct payment where they believe a child’s welfare is, or is likely to be, at risk. 2.11 When would a direct payment be appropriate? If the young disabled person or person with parental responsibility meet the above criteria a direct payment may be appropriate to give greater choice of service and control over the details of it. With regard to young disabled people, consideration should be given as to whether their developmental needs are best met by means of a direct payment or by a service managed by the local authority. A direct payment may offer more flexibility and, for example, enable them to choose an alternative age appropriate activity after school. 2.12 When may a direct payment be declined? A direct payment may be declined if:

• A potential employee is found to be unsuitable

(The service user should be made aware from the outset that a direct payment may be declined if, following a police check, an individual is found to be unsuitable.)


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• Social Care services are not satisfied the direct payment is used to

meet assessed needs

(The local authority may recover all or part of the direct payment if it is not used to meet the assessed needs.)

• The direct payment does not safeguard and promote the welfare of

the child.

Or, if either parent or guardian is involved in legal proceedings to do with their financial management, (such as bankruptcy).

2.13 Integrated Charging Policy There is no charge for children’s services. However, once a young person reaches 18, a charge may apply. These issues should be discussed with the young person/parent when the direct payment is being set up. 2.14 Complaints All arrangements in relation to the Children’s Social Care complaints procedure apply to direct payments just as they apply to a direct service. Those people entitled to make a complaint include any child who is in need, or is being looked after, anyone with parental responsibility for the child, any foster parent, or anyone else who the local authority considers has a sufficient interest in the child’s welfare. The complaint may be about the assessment of need or the fact that a direct payment has been denied. As in all disagreements, it is good practice to attempt to resolve the disagreement informally before the complaint reaches a formal stage. Reference to the appropriate Service Manager may be necessary. N.B. If the direct payment recipient is not satisfied with the services they have independently purchased, they should address any complaint to the service provider/employee concerned.


3. Practice Guidance 3.1 The Direct Payment Process

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Referral to advisory service (as required)

Direct payment approved

Consideration of direct service provision

Referral to safeguards unit for police check.

Police check cleared

Reviews

6 monthly & annual financial monitoring

Direct payment paperwork completed: contract agreed

Potential candidate found to be suitable

Direct payment declined pending more suitable candidate

Police check not cleared

Potential candidate selected

Advisory service advise service user on interview process &

employment issues

Direct payment not approved

Application of eligibility for a direct payment

Assessment

Application of eligibility and priority for an assessment


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3.2 Assessment Direct payments can only be paid to families who are eligible to receive services under section 17 of the Children Act 1989. The assessment will be based on the Framework for the Assessment of Children in Need and their Families regardless of whether the outcome is to provide a service managed by the local authority, a direct payment, or a combination of both. When considering eligibility for a direct payment, practitioners should take into account the level of support required. They should also consult other agencies such as education and health as to their views. It is important that the assessment clarifies the support arrangements that are necessary for the young person/parent to effectively manage the direct payment or part of the direct payment. Adequate help over a sustained period of time should be available where this has been identified as crucial to the success of the direct payment. Advice and information on any aspect of direct payments is provided locally by the Essex Coalition for Disabled People, (ECDP). See below for more information about ECDP. 3.3 Social Worker It is important that a Social Care Worker is allocated for direct payment users. Their role would be to ensure that the direct payment package is running smoothly and that the assessed needs are being met. The Social Care Worker would be the first point of contact should the direct payments package breakdown. 3.4 Transitional Arrangements Direct payments can play a useful part in assisting a disabled 16 or 17 year old in the transition to adulthood. The disabled young person should be made aware of the option of a direct payment at an early stage, possibly at their 14+ review. Every effort should be made to provide the opportunity for the eligible young disabled person as they reach 16 to begin to manage their own direct payment. When the young person reaches 18 the person with parental responsibility may no longer continue to receive a direct payment for the services that meet the needs of the disabled child. It is important that practitioners discuss the implications to the young person and the person with parental responsibility well in advance of the young person’s 18th birthday.


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Those with parental responsibility may be entitled to receive direct payment for carers’ services if they are going to continue in their caring role. (see Carers’ section) 3.5 Independent Advice and Support The support agency for Direct payments in Thurrock is: Essex Coalition of Disabled People (ECDP) Social workers should make a referral to ECDP in the first instance. It is important, for example, that 16 and 17 year olds, wishing to undertake a direct payment should visit the ECDP Centre with the social worker.

ECDP has staff that provides independent advice and guidance on all direct payment issues. Advice on employment is the role of the adviser and not the social worker. Parent carers and potential service users will be able to receive telephone advice from. ECDP 01245 392313 3.6 Third party arrangements/Trusts It is possible that direct payments for young people may be made through a third party who would act as an agent for the young person or a user controlled trust. They may, for example, manage the financial aspects of the payment. In these cases, however, it is important that the young person has control over how support is delivered. When considering a third party agent or a trust arrangement, the local authority should ensure that the young person’s autonomy is not undermined and that the views of those with parental responsibility are taken into account. The practitioner should bear in mind that there is a conflict of interest if the same person both manages the direct payment and provides services to the young person. The amount of support that the young person requires may decrease over time as he or she gains more confidence. They may gradually wish to take on more responsibility for the management of the direct payment. 3.7 Mixed Packages A mixed package may involve both the parent and the child receiving a direct payment to manage different aspects of the assessed needs. The Act allows for the parent to receive a direct payment for a disabled child of any


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age up until the child reaches his/her 18th birthday. A parent may have received a direct payment prior to the child’s 16th birthday. On reaching his /her 16th birthday the young person may wish to manage part of the support package. The proportion could then, for example, increase as the child reaches his 18th birthday. 3.8 Direct payments for looked after children Looked after disabled children are able to be considered for a direct payment, if additional support is identified via a Social Work assessment. 3.9 Direct payments for children on a care order or subject to a Child Protection Plan. Families whose children are subjects of a Care Order or subject to a Child Protection Plan may still be eligible for a direct payment. Each case should be assessed individually and blanket assumptions not be made. However, the eligibility criteria for a direct payment would still apply, including the overriding need to ensure the welfare of the child. What if there are concerns for the welfare of the child? If there are child protection concerns at any stage of the direct payment process, the direct payment should be suspended immediately and the child protection procedures apply. 3.10 What if the service user no longer wishes to continue their direct payment? There may be circumstances when the service user does not wish to continue to receive services by means of a direct payment. It should be made clear to all potential direct payment recipients, early on in the assessment process, that they are under no obligation to continue to receive a direct payment should they not wish to do so. Their assessed needs would then be met by means of a direct service. 3.11 Funding the direct payment Direct payments are funded through the local authority, and formally agreed via TARP (Thurrock Access to Resources Panel) but other agencies may make a contribution. There may be disagreements between agencies about whether the assessed needs to be met by a direct payment constitute health, educational or social needs and therefore how the direct payment should be funded. These decisions should be resolved prior to making the direct payment.


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3.12 Employing a suitable person At present, the Protection of Children Act 1999 enables a person who is considering employing an individual to care for their child, or a disabled 16 or 17-year-old who is considering employing a care worker themselves to ask the council to carry out checks under the Protection of Children Act 1999 via the DBS check. When the person with parental responsibility or the disabled young person requests such a check the council has a duty to comply.

The Department should work in partnership with parents to help them make arrangements that are designed to safeguard and promote the welfare of the child. The majority of parents will be both willing and able to do this, but councils should only arrange direct payments for a parent of a disabled child when they are satisfied that this is the case.

If a parent still wishes to employ an individual after a DBS check has indicated the individual’s unsuitability to work with children, the Department would have to make it clear that it could not agree to the direct payments under these circumstances. The council’s actions must be determined in the light of its duty to safeguard and promote the welfare of children in need. The Department should be aware that it is an offence under the Criminal Justice and Court Services Act 2000 if an individual knowingly offers work with children to, or procures work with children for, an individual who is disqualified from working with children, or allows such an individual to continue in such work.

When the parent or young disabled person has requested for a DBS check to be carried out, they should be advised that they may wish to continue to receive services from their council or current provider or contract with a registered agency for the services they need until the prospective candidate for employment is approved.

The council may also refer to the Secretary of State a relevant individual who it considers to be guilty of a misconduct that has harmed a child or has placed a child at risk of harm for potential inclusion on the Protection of Children Act list. Councils should make those with parental responsibilities aware that the fact that a DBS check reveals no criminal convictions does not necessarily mean that someone is a suitable person to work with children. They should still offer advice about employing someone using direct payments.


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The individual is one who is or has been employed to provide care to a child and that employment is funded by direct payments under section 17A of the Children Act 1989.

An individual wishing to work with a child will make an application for a DBS check to be carried out. The application will be countersigned by ECDP. A fee is required for each CRB check. The council may wish to consider the cost of the check in its estimate of the reasonable cost of securing the provision of the service so that the direct payment user may reimburse successful candidates.

3.13 How are police checks carried out? The potential employee should submit their application to be police checked to ECDP. The potential employee should be made aware that the results of their police check will be shared with the young person/parent. Whilst the check is being carried out, potential users of direct payments should continue to receive services commissioned by the local authority. If the person is found to be unsuitable, the direct payment would be declined, pending a more suitable candidate. The practitioner would need to discuss the unsuitability of a particular candidate with the young person/parent. The advisory service could also be involved in this discussion. 3.14 What if a police check is not pursued? The Department has the right not to continue with a Direct Payment if no Police Check has been undertaken. 3.15 What advice should the practitioners give to parents/young people re: employing a suitable person?

• To take up police checks on the potential employee

• To work with the advice service in taking up references and advice on interview questions and selecting an appropriate person

• Not to employ anyone under the age of 16 as they cannot be held

legally responsible for any harm that happens to a child in their care.

• Not to employ anyone about whom they have doubts

• If they are unhappy with the person working for them, to look at recruiting someone else.


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3.16 Review of the direct payment Direct payment packages should be regularly reviewed to ensure that the assessed needs are being met. The first review should take place within the first 12 weeks and then at six months and thereafter annually. The practitioner needs to ensure that during the review process they have direct contact with the recipient of direct payments. This may mean that the person who is helping them is absent to help establish whether the recipient is content with the way that the direct payment is used. 3.17 Short breaks Direct payments may be used to purchase short breaks either in a registered establishment or by employing someone to work within the service user’s home. A direct payment for residential care cannot be used for more than 60 days in total in any 12 month period and cannot exceed 14 days at any one time. 3.18 What are the Social Worker’s responsibilities? The practitioner is responsible for:

• Assessing the needs of the client

• Assessing eligibility for a direct payment

• Assessing risk

• Advising parents and young disabled people on appropriate steps to take should concerns arise for the child’s welfare

• Liaising with the advice and support services

• Completing appropriate agreements and financial forms to set the

direct payment up

• Commissioning direct services in the event that the direct payment package breaks down

• Reviewing the direct payments package


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3.19 What the practitioner is NOT responsible for The practitioner should not be involved in the recruitment process or any other employment issues. Once the direct payment has been agreed and any outstanding police checks cleared, it is the advisory and support services who advise on employment issues. 3.20 Direct payments paperwork Practitioners must complete the following paperwork prior to the commencement of the direct payment and provide copies to: the service user, and finance. A copy should be kept on the child’s file.

The Direct Payments Agreement The agreement must be explained by the practitioner and understood by the person receiving the direct payment. It needs to be signed by the social worker, the parent/ carer and the team manager/budget holder. The original should be sent to finance. One copy should be held by the parent/ carer and a copy kept on file.

The Direct Payments Finance Form This is a financial form signed by the Service Manager, which states which needs are being met by the direct payment, the type of service provided and the cost. The original will be forwarded to the finance team and a copy should be kept on file.

The Letter of Arrangement The letter of arrangement outlines the total number of hours to meet the assessed needs, and the weekly amount that the child/young person has been assessed as needing. It should refer to the separate responsibilities of the practitioner and the parent/carer. Copies should be provided to the parent/carer, the advice and support services where appropriate and a copy kept on file.


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4. Financial Issues

4.1 Hourly rate for a direct payment From April 2009 the rates for a direct payment are: £11.43 Hourly rate (maximum 105 hours per week to meet assessed

needs) £6.68 Sleep in rate for up to 9 hours a night x 7 nights a week

(Maximum 63 hours a week)

These rates are inclusive of holiday pay, in line with E.U. requirements.

A service user may receive a combination of the two rates as set out above. The rate includes provision for all employment/administration requirements. 4.2 How much will the direct payment be? The weekly sum of a direct payment will be the number of hours required to meet the service user’s assessed needs times the rate per hour. Allowance needs to be made for Bank Holiday payments and the usual employment entitlements. This is then multiplied by 52 and divided by four to give the regular payment. In addition, four extra week’s payment should be included as a contingency sum. If the service user decides to use an independent service for help with the payroll administration, there may be a charge for administrative costs which will be funded by the Council and included at set up costs in the first direct payment paid. In calculating the direct payment, the assessor needs to ensure that it is at least as cost effective as services arranged by the local authority. The authority is not obliged to fund costs associated with the service user’s preferred method of service, if the service can, in fact, be supplied to the same standard at a cheaper cost. Neither is it obliged to cover costs that are incurred by the user on a discretionary basis


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Whilst the local authority has to ensure that a direct payment is at least as cost effective as directly commissioned services, there may be circumstances where exceeding the recommended ceiling is at least as cost effective or can be justified “by the greater effectiveness arising from enabling the person to manage his/her own services and living independently” (Department of Health). All Direct Payment packages have to be agreed by the Service Manager at the TARP Panel. 4.3 Separate Bank Accounts It is essential for the local authority to ensure that the monies made available are being used to meet the needs and objectives outlined in the assessment. It is not appropriate for the local authority to have access to records from the direct payments recipient’s personal bank account. The authority therefore requires that every direct payment recipient has a separate and exclusive bank account with a cheque book facility from which to manage their direct payment. Statements from this separate account should be made available to the department as part of the submission of 6 monthly returns.

4.4 Who is responsible for the 6 monthly returns? The service user must make 6 monthly returns as requested. Compliance with the operational procedure is the responsibility of the service user and monitoring the direct payment is the responsibility of the Children’s Services department’s finance section. There may be circumstances when additional input from the Social Worker is required. (See financial section) The finance department will provide a procedure note on the operation of the scheme to inform all parties. 4.7 Jointly funded packages It is important that all organisations that have a responsibility to the individual are engaged in determining the most appropriate way for that person to receive services. It may be appropriate, in certain circumstances, when complex needs are identified, for an agreement to be made involving the Children’s Social Care department and other agencies. In exceptional circumstances, where a direct payment is used to meet needs that are the responsibility of other agencies, the partner agencies concerned would need to contribute towards the cost of the care package. 4.8 Monitoring the use of the direct payment It is essential that the local authority ensures that the monies made available are being used to meet the needs and outcomes outlined in the assessment.


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In order to facilitate this process, the direct payment recipient must:

Open a separate and exclusive bank account with cheque book facility (this ensures confidentiality and also transparency)

Submit 6 monthly returns to the finance department

Submit relevant receipts

Submit bank statements

Submit mileage records for vehicles where petrol/diesel is purchased

using Direct Payments. Meeting these requirements is a necessity, and individuals who do not comply in a timely manner will be warned that this may lead to withdrawal of the service. 4.9 Contingency payments/Recovering surplus funds At the beginning of the direct payment arrangement, an extra payment up to the equivalent of four week’s direct payment will be made as a contingency amount. In addition an adequate amount of "cash in hand” will be permitted which can be built up as a surplus (usually four more weeks payment) this allows for tax liabilities, emergencies, etc. Any surplus above the agreed amount will be recouped by the department in liaison with the service user, advocate, assessor and finance section. This information is outlined in the direct payment agreement letter. Recovering monies In addition to the above, if the Local authority is not satisfied that the direct payment has been used for its intended purpose, or if the conditions imposed have not been met, it has the power to recover all or part of the monies. 4.12 How Payments are made To ensure that the service user receives the first payment at the appropriate time and at 4- weekly intervals thereafter, the necessary paperwork needs to be completed. The agreement and Finance form should clearly state the commencement date of the direct payment along with details in the provider space, with the name, address, account number and sort code of the bank into which the direct payments will be made. Once the financial assessment outcome is


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known, copies of these documents will be used by finance to set up the service user on the direct payments database and payment is made. To ensure the first payment is received in advance, sufficient notice must be given to the Finance Team. In certain circumstances it may be appropriate for the advance payment to be made before the commencement date of the care package. Please note that the finance team must receive all necessary documentation a minimum of 10 working days before the requested date of the first payment. Thereafter payments will be made on the 4 weekly automatic bank transfers. Finance needs a finance form reference if there is an amendment or termination of a direct payment arrangement. 4.13 Direct Payments Contract/ Agreement Each service user wishing to utilise the direct payments option must have understood and signed the council’s contract in respect of direct payments. 4.14 Difficulties and emergencies Direct payment recipients themselves should make contingency plans to cope with emergencies. The cost of contingency plans should be covered by the contingency payment which, if used, must be clearly accounted for in order for a replacement of the monies used to be made. Difficulties with recruitment may also arise. The ECDP advisor or Social Worker can offer advice about suitable arrangements to cope with emergencies. These areas should be discussed at the time the person is considering a direct payment. 4.15 The Social Worker’s responsibility when difficulties arise The monitoring or review process may identify various difficulties for the direct payment recipient. Perhaps the service user's needs are not being met, the recipient regularly contacts the assessor to seek emergency assistance, or the direct payment has not been used for its intended purpose. Careful consideration should be made about what support is needed to rectify these difficulties. Assessors should not consider withdrawing a direct payment at the first sign of difficulty. The Department of Health practice guidance suggests that the following questions may be asked to determine whether the direct payment is still a viable option:


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Have the person's needs changed?

Is the amount of money reasonable to enable the person to secure the

relevant services?

Is the person still able to manage direct payments, or can they do so with assistance?

Does the person wish to continue receiving direct payments?

Has all the money been spent towards achieving the outcomes

identified in the care plan?

Have services for which the user has paid been received?

Has the money been spent wisely? 4.16 Discontinuing direct payments Either the service user or the local authority may decide that they no longer wish to continue with the direct payment. If a decision to discontinue is made, a full and frank discussion should take place with all relevant parties involved. These discussions should be recorded fully and sent to all those involved. In the event of the service user’s admission to permanent residential or nursing care, or their death, the social worker must ensure that the Customer Finance Department is promptly notified so that appropriate action may be taken. (Refer to direct payment agreement letter) As direct payments are made four weekly in advance it might not be possible to avoid overpayment. If the scheme ceases and an overpayment has been made, arrangements will be made to invoice the service user (or their representative) for the amount of overpayment. 4.17 Discontinuing direct payments temporarily Some service users may not need their direct payment for a short but significant period as a result of hospital admission or some other unforeseen eventuality. The service user must ensure that their social worker/the Customer Finance Department is aware of their change of circumstances. If this is longer than four weeks, careful consideration should be given as to whether


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to discontinue the direct payment for that particular period. The Social Worker may consider it more appropriate to recoup any over payment at the quarterly monitoring stage, rather than to disrupt regular payment systems. It may also possible for the local authority to take over the management of the service user’s arrangements for a short period of time. This should be discussed between the service user, assessor and advocate. If a service user has set up a contract of employment with one or more personal assistants and it is proposed to discontinue a direct payment either temporarily or permanently, careful consideration should be given to any on-going contractual responsibilities. The Social Worker, independent living advisor and the service user need to discuss all such issues prior to any direct payment agreement being finalised.

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