•assess in writing the adult’s needs for care and support (the ‘needs assessment’) and the carer’s needs for support (the ‘carer’s assessment’ (under sections 9–12); then

•(i) ‘determine’ in writing which of those needs are ‘eligible needs’; (ii) ‘consider’ what could be done to meet those needs; (iii) ‘ascertain’ whether the adult wishes the local authority to meet those needs; and (iv) ‘establish’ whether the adult/carer is ordinarily resident in the local authority’s area (section 13).

•the threshold is low: the duty to assess arises ‘where it appears to a local authority’ that an adult, or carer, ‘may have needs’ for ‘care and support’ (adult) or ‘support’ (carer) (sections 9(1) and 10(1)). The possibility that a need may exist must no doubt be a realistic one, but the threshold is on any view low;

•the duty requires an assessment to be completed ‘regardless of the authority’s view’ of ‘the level of the adult’s needs for care and support’/‘the level of the carer’s needs for support’ or ‘the level of the adult’s financial resources’/‘the level of the carer’s financial resources or of those of the adult needing care’ (sections 9(2) and 10(4)). In other words, the duty to assess will arise even though –

•A local authority may not charge for undertaking any form of assessment under the Care Act 2014 (see para 11 8 below).

•the assessment of an adult must include an assessment of the impact of the adult’s needs for care and support on their ‘well-being’ (as defined in section 1(2)), the ‘outcomes’ the adult wishes to achieve in day-to-day life and whether, and if so to what extent, the provision of care and support could contribute to the achievement of those outcomes (section 9(4)). This emphasises the importance of assessing what it is that the adult wants to do with his or her life;

•the assessment of a carer must include an assessment of whether the carer is able, and is likely to continue to be able, to provide care; whether they are willing, and are likely to continue to be willing to do so; the impact of the carer’s needs for support on their ‘well-being’ (as defined in section 1(2)); the ‘outcomes’ the carer wishes to achieve in day-to-day life and whether, and if so to what extent, the provision of care and support could contribute to the achievement of those outcomes (section 10(5)); and the local authority must take into account whether the carer works, or wishes to do so and is participating in education, training or recreation, or wishes to do so (section 10(6)). This emphasises the importance of ensuring that carers do not become trapped in a caring role.

•the local authority must involve the adult and any carer and any person whom the adult asks to be involved or, where the adult lacks capacity, who appears to the authority to be interested in the adult’s welfare (sections 9(5) and 10(7)). The importance of ensuring effective participation and involvement is further emphasised and provided for in regulation 3 of the Care and Support (Assessment) Regulations 2014 and at paragraphs 6.30–6.53 of the Care and Support Statutory Guidance;

•it is implicit in the Act that, in assessing an adult’s needs, the local authority must disregard any support being provided by a carer, although such support (willingly provided) may be taken into account later, during the care and support planning stage and that is spelled out at paragraph 6.15 of the Guidance;

•when carrying out an assessment, a local authority must also consider whether matters other than the provision of care and support might contribute to the achievement of the outcomes the adult/carer wishes to achieve and whether the adult/carer might benefit from ‘anything which might be available in the community’, under section 2 (preventative measures) or under section 4 (information and advice) (section 9(6) and section 10(8));

•the local authority is required to provide and retain ‘a written record’ of adult’s and carer’s assessments (section 12(3) and (4));

•a local authority may undertake ‘combined assessments’ (adult’s and carer’s) and/or ‘joint assessments’ (with other agencies) (section 12(5), (6) and (7));

•in the case of an adult the local authority must make, and provide, a written and reasoned determination ‘whether any of the needs meet the eligibility criteria’ (section 13(1) and (2)) and, if so, it must (i) ‘consider’ ‘what could be done to meet those needs’; (ii) ‘ascertain’ ‘whether the adult wants to have those needs met by the local authority’ and (iii) ‘establish’ ‘whether the adult is ordinarily resident in the local authority’s area’ (section 13(2));

•in the case of a carer the local authority must make a written and reasoned determination ‘whether any of the needs meet the eligibility criteria’ (section 13(1)) and, if so, it must (i) ‘consider’ ‘what could be done to meet those needs’; and (ii) ‘establish’ ‘whether the adult needing care is ordinarily resident in the local authority’s area’ (section 13(3));

•where none of the adult’s needs meet the eligibility criteria, the local authority must give him or her written advice and information about ‘what can be done to meet or reduce the needs’ and ‘to prevent or delay the development of needs for care and support, or the development of needs for support, in the future’ (section 13(4) and (5));

•section 67 provides that where an individual would experience substantial difficulty in participating in the assessment process, the local authority must appoint an independent advocate. Paragraph 6.23 of the Guidance states that from the time of first contact ‘local authorities should consider whether the individual would have substantial difficulty in being involved in the assessment process and if so consider the need for independent advocacy’ and paragraphs 6.33–6.34 and Chapter 7 contain further advice. The Care and Support (Independent Advocacy Support) (No 2) Regulations 2014, regulate both local authorities and advocates;1This has teeth: an assessment completed without having engaged an independent advocate, in breach of section 67, was held to be unlawful in R (SG) v Haringey LBC [2015] EWHC 2579 (Admin), (2015) 18 CCLR 444.

•a local authority need not carry out an assessment when it is refused (section 11(1)) although it remains under a duty to do so when the adult lacks capacity to refuse the assessment and the local authority is satisfied that it would be in their best interests to carry out the assessment, or that they are experiencing or at risk of abuse or neglect (section 11(2)). Otherwise, the obligation to carry out an assessment revives when, after a refusal, an assessment is requested, or the circumstances change (sections 11(3), (4), (5) and (7));

•assessments may be delegated (section 79(1); paragraph 6.99 and Chapter 18 of the Guidance).

•local authorities are required to facilitate a ‘supported self-assessment’ where the adult or child concerned wishes and has the capacity/competence (regulation 2);

•assessments are to be conducted in a manner which is ‘appropriate and proportionate to the needs and circumstances of the individual to whom it relates’ and ‘ensures that the individual is able to participate in the process as effectively as possible’ (regulation 3);

•where the level of an individual’s needs fluctuates, the local authority must take into account their circumstances over an appropriate period of time (regulation 3(3) of the Care and Support (Assessment) Regulations 2014 and paragraphs 6.58–6.59 of the Guidance);

•the local authority must provide information about the assessment process, wherever practicable before it commences (regulation 3(4) and (5));

•assessments must consider the impact of the needs of the individual on ‘any person who is involved in caring for the individual’ and ‘any person the local authority considers to be relevant’; they must also consider the impact of providing care on child carers (regulation 4);

•local authorities must ensure that every person undertaking assessments ‘has the skills, knowledge and competence to carry out the assessment in question’ and ‘is appropriately trained’ and, where appropriate, seeks an expert view (regulation 5). Further ‘An assessment which relates to an individual who is deafblind must be carried out by a person who has specific training and expertise relating to individuals who are deafblind’ (regulation 6). These provisions, together with the Guidance, also in effect require persons who assess adults with autism to have specialist training (see paragraphs 6.83–6.88 of the Guidance);

•local authorities must refer individuals to the relevant NHS body where it appears that they may be eligible for NHS continuing healthcare (regulation 7).

•the assessment process (paragraphs 6.1–6.43);

•supported self-assessments (paragraphs 6.44–6.53);

•cases where a safeguarding issue arises (paragraphs 6.54–6.57);

•fluctuating needs and prevention (paragraphs 6.58–6.62);

•the person’s strengths and capabilities (paragraphs 6.63–6.64);

•the ‘whole family approach’ (paragraphs 6.65–6.73);

•combined and integrated assessments (paragraphs 6.74–6.79);

•NHS continuing healthcare cases (paragraphs 6.80–6.83);

•roles, training, record-keeping and delegation (paragraphs 6.84–6.99);

•eligibility and service provision (paragraphs 6.100–6.134);

•independent advocacy (Chapter 7).

•Think Autism (2014);

•Fulfilling and Rewarding Lives (2014 Update);

•the strategy for adults with autism in England.

•is the statutory threshold for an assessment met?

•is the person undertaking the assessment suitably qualified to do so? Is an expert view required?

•how are all the relevant people going to be properly involved?

•should there be a referral to the NHS?

•should there be a supported self-assessment?

•should there be an independent advocate?

•should there be a combined or integrated assessment?

•how long should the process take?