Transition workshop slides

Transitions Workshop
CIPFA North West Audit Group
Introduction and Agenda
Introduction and Background
Education Health and Care Plans
Practitioner Perspective (Trafford MBC)
New Special Education Need Code Provisions
Audit Perspective (Manchester City Council)
Audit Perspective (Warrington Borough Council)
Conclusions and Next Steps
What do we mean by “Transitions”?:
• The transition from school to adulthood for children with SEN or
• The provision of advice and information about what can be done to meet
or reduce the needs they are likely to have
• Helping them to achieve the best outcomes in employment, independent
living, health and community participation
Who does this cover?:
• Young people who are likely to have care and support needs when they
turn 18
Why is it important now?
• Legislation and changes to SEN Code of Practice will place new
responsibilities on local authorities and partners from 1 September 2014
Key Legislation:
Children and Families Act 2014 Part 3: Children and Young People in
England with Special Educational Needs or Disabilities
• Replaces existing SEN legislation in the Education Act 1996
• Brings together separate arrangements for children in schools and young
people in post-16 institutions and training up to the their 25th birthday
• Integrated Education, Health and Care Plans to replace Statement of
Special Educational Needs
• Duties under the Act inform the new SEND Code of Practice
Care Act 2014
• if a child, young carer or an adult caring for a child is likely to have needs
when they, or the child they care for, turns 18, the local authority must
assess them if it considers there is “significant benefit” to the individual in
doing so.
The child, carer or parent may also request an assessment when the child
approaches 18
The assessment should give information about eligibility, what can be
done to meet or reduce their needs and an indication of the support they
will get
Requires local authorities to work to promote the integration of adult care
and support with health services
Single national eligibility criteria for adults
Education, Health and Care Plans
Who will be entitled to request a plan?
• Any child or young person who has had a Statement
• Any young person with a Learning Difficulty Assessment who
remains in education or training
• Eligibility for new plans largely the same as currently for SEN
Statements – extended to include 19-25 year olds
• Will cover 0-25
• Focus still on education, but will have increased emphasis on health
and social care support
• LA must issue draft plan within 20 weeks of receiving request for
Education, Health and Care Plans
What should they include?
• The SEN identified through the EHC needs assessment
• The outcomes the child is expected to achieve
• The special education provision in place at school
• The name of the school
• Any health and social care provision needed
• The child’s and parents’ / guardians views and aspirations
• Details of any SEN and outcomes to be met by Direct
Payments, where relevant
Key Areas
Practitioner Perspective
Financial Planning for Transition
• Planning for needs under different legislation
• Education ending incurs costs often not thought about
• Predictions verses actual costs
Key Areas
Practitioner Perspective
Person Centred Planning
Expectations of individuals and their families
Care Act implications
Different resource allocations
Care co-ordination
Carers needs
New SEND Code Provisions re Transitions
Key messages:
• Person-centred planning – aspirations and outcomes, direct
consultation with children and their families
• LAs and CCGs – shared vision and strategy derived from EHC
plans and other information, leading to joint commissioning
• Develop pathways into employment, independent living,
participation in society and good health
• Local Offer must include support in preparing for adulthood
• Co-operate with schools, colleges and other post-16 providers
New SEND Code Provisions re Transitions
• LA services must co-operate to help C&YP prepare for
adulthood, e.g. housing, social care, economic regeneration
• EHC reviews at Yr 9 and after must focus on preparing for
adulthood – clear, ambitious outcomes including:
Support for higher education / employment
Support preparing for independent living
Support in maintaining good health
Support in participating in society
• After compulsory school age, young people can make their
own representations
New SEND Code Provisions re Transitions
• Schools and colleges must co-operate with EHC plan reviews
from Yr 9
• High quality study / pathways into employment
• Consider five day a week packages
• LA must make young people aware, through their Local Offer,
of support available to them in Higher Education and support
any DSA application
• LA must pass on EHC plan to the HE institution
• Local Offer must identify support and provision for 19-25 year
olds with SEN, regardless of whether they have an EHC plan
New SEND Code Provisions re Transitions
• LAs and CCGs must co-operate to ensure alignment of care
plans and adult health services
• Must be joint commissioning of services to meet EHC plan
• LA must carry out an adult care transition assessment where
there is significant benefit and the yp is likely to have care /
support needs after they turn 18
• This must take place at the right time for the individual
• Transition assessment must involve the yp and must include
their outcomes, views and wishes
New SEND Code Provisions re Transitions
• Assessments for adult care / support must include:
– Current needs
– Whether these needs will still exist after they turn 18
– What these needs are likely to be, and which are likely to be eligible
• LA must provide information and advice about provision and
support for ineligible needs
• LAs must continue to provide children’s services until the yp’s
needs as an adult have been identified
• LAs must put in place statutory care and support plans for yps
with eligible needs, and must meet these needs
New SEND Code Provisions re Transitions
• Any adult with eligible needs will have a care and support plan
that must include a personal budget
• LAs must follow the SEN CoP guidance on personal budgets
• Young people with SEN should have the information they
need to make the transition to life beyond school / college
• LA must continue to maintain the yp’s EHC plan as long as
they remain in education or training, or for as long as they
need it
Key Risk Areas – Manchester Perspective
Social Work
• Sufficiency of evidence to support actions and decisions
• Personal Budgets
• Corporate budget for Transition
• Commissioning
Engagement – Customer, Family and Partners
• Evidencing involvement
• Managing expectations
Possible Audit Approach - Manchester
Casework Compliance
• Assessments/reviews, EHC/support plans
• Evidence of engagement with customers and families
• Evidence of management oversight and challenge
Finance System/Risk Based Reviews
• Personal budgets – eligibility verses appropriateness of spend
• Commissioning – governance arrangements /approach
Developing System Work
• Transformation arrangements – changes to protocols and policies,
integration of Children’s and Adults.
• Skills gap – potential gap in the transfer of a child to adult social worker
Audit Issues
Governance issues:
• How does the LA ensure it is fulfilling its duty to co-operate?
• Is there a Programme Board for this area – what is its scope?
• Is there clarity over strategic decision-making?
• Do children’s and adult services work together effectively?
• Are there identified officers for key issues?
• Are there effective links between operational and strategic
Audit Issues
Commissioning Issues:
• Does joint commissioning cover all relevant areas?
• Are Parent Carer Forums and other bodies involved in
planning the local offer and commissioning services?
• Does the commissioning cover:
Securing needs assessments and the provision identified in EHCs
Agreeing personal budgets
Advice and information on provision
Processes for dealing with complaints / dispute resolution?
• Is all-age commissioning being considered?
Audit Issues
Commissioning Issues:
• Are children and young people and their parents / carers
involved in shaping the local offer ?
• Does the Joint Health and Wellbeing Strategy / JSNA make
reference to Transitional arrangements?
– Has there been a proper assessment of needs ?
– Do they cover the full range of services / support available?
• Is there a clear link between the JSNA and the Local Offer?
• Does the JSNA identify gaps in provision and how they will be
Audit Issues
Delivery Issues:
• What are the transition plans for changing to EHCs
• How are EHCs going to be approved?
• Are there SMART objectives tied specifically to outcomes and
meeting c&yp needs? Do these measure the success of joint
• Is there a review process to check EHC plans and ensure
• Is there proper consideration of the needs of looked after
children / children in need, care leavers, c&yp educated out of
area or at home
Audit Issues
Delivery Issues:
• How are children requiring transition plans identified and
• Is there adequate resourcing to support transition planning?
• Is there a programme of training for practitioners, to help
them advise c&yp and make correct decisions?
• Have transport and housing issues been properly addressed?
• Are children with complex needs prioritised?
• Are there effective arrangements in place where c&yp
transfer provision?
Audit Issues
Delivery Issues:
• Is provision being reviewed for suitability?
• Has consideration been given to delivering personal budgets?
• Are there processes in place for converting existing plans into
• What effect will changes to SEN funding have on the ability to
• How are children and young people without an EHC catered
for – will they have access to transitional provision?
Timescales for implementation
Transition is not a discrete system
Managing expectations is key
Partnership working
Its not just individuals with EHC plans
Budget, budget, budget
Next Steps
• Bite size chunks
• Audit approach taken will depend on your local assessment of
• Need to consider the level of integration between the
Children’s and Adult’s social work teams.

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