Information on Personalisation - RAS and mental capacity policy

The request was successful.

Dear Lancashire County Council,

Please could you help me out with some research I am doing into personalisation and mental capacity. My questions relate to personalisation as it applies to Adult Social Care.

1. Please could you provide me with copies of any policy documents or protocols relating to making direct payments to third parties on behalf of people who lack mental capacity.

2. Please could you also supply any policy documents or protocols, if such exist, relating to any safeguarding issues specifically arising from personalisation (including checks to prevent financial abuse, and breakdown of care contingency plans, ensuring personal assistants paid out of DP's are CRB checked and trained)

3.Please could you provide me with yearly data on:
a.The overall number of people (to date) who have received direct payments which they have managed themselves – please could you also give this figure as a total proportion of service users
b. The overall number of people for whom direct payments have been made to a third party to manage on their behalf, on the basis that they either lack the mental - please could you also give this figure as a total proportion of service users capacity to consent to a DP, or the ability to manage it (ie. under Health and Social Care Act 2008).
c. If possible, please could you break down the figures for 3a and 3b into how many DP’s were paid for service users with dementia or learning disabilities
d. If possible, please could you break down the figures for 3b into how many DP’s were paid into user trusts, independent brokerage, or directly to individuals to manage on their behalf

4.Please could you provide me with yearly data on the number and proportion of direct payments where the amount awarded exceeded the indicative amount specified by a RAS (of those cases where a RAS was used to calculate the amount).

5. Please could you provide me with yearly data on the number of any legal challenges that the local authority may have been subject to on the basis that indicative amounts were insufficient to meet eligible needs, or that insufficient ‘reasons’ were supplied for changes in support based on RAS decisions. By ‘legal challenge’ I mean both pre-action letters from solicitors which may not have gone to court, and any cases which have reached the courts.

6. Please could you give me copies of any financial or technical reports into the Resource Allocation System used by the local authority adult social care department. I would particularly like to see information regarding what questions the RAS bases its calculations on, and what those calculations are (i.e. what are the multipliers behind the possible answers to each question). It may be that this information is not given in a 'report' as such, but I would be happy to receive it in whatever means the council holds it in.

I really appreciate your team taking the time to respond to my request. If you would like further clarification regarding any question, please do not hesitate to contact me.

Yours faithfully,

Lucy Series

Freedom of Information, Lancashire County Council

Dear Ms Series,

Request for information under the Freedom of Information Act 2000

I am writing to acknowledge receipt of your email dated 18 March 2011, in
which you request the disclosure of information under the provisions of
the above Act.

I have begun a search for the information you require and shall contact
you again when we are in a position to respond further. Should I envisage
any delays, or require more details from you, I will contact you
immediately.

In the meantime, if you have any queries about the above, do not hesitate
to contact me, quoting reference number 805.304.

Yours sincerely,

Holly Gregson

Freedom of Information | Access to Information Team

Lancashire County Council, PO Box 78,

County Hall, Preston, PR1 8XJ

Tel: 01772 533997

[1]www.lancashire.gov.uk

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Lancashire, a place where everyone matters

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References

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1. http://www.lancashire.gov.uk/

Freedom of Information, Lancashire County Council

10 Attachments

Dear Ms Series,

Request for information under the Freedom of Information Act (2000)

Thank you for your email dated 18 March 2011, in which you request
disclosure of information under the provisions of the above Act; we are
now in a position to respond.

Please could you help me out with some research I am doing into
personalisation and mental capacity. My questions relate to
personalisation as it applies to Adult Social Care.

1. Please could you provide me with copies of any policy documents or
protocols relating to making direct payments to third parties on behalf of
people who lack mental capacity.

Current guidance refers staff to the Department of Health statutory
guidance on direct payments which describes the process to be followed for
appointing a suitable person. The County Council is currently undertaking
a piece of work to revise it policies and procedures relating to direct
payment which will provide detailed guidance in relation to making direct
payments to third parties on behalf of people who lack mental capacity.
Therefore although Lancashire County Council does hold this information,
it is potentially exempt from disclosure by virtue of section 22 of the
Act. Section 22 provides that, subject to a public interest test,
information is exempt from disclosure if it is held with a view to its
publication at some future date, and it is reasonable in the circumstances
to withhold the information until the planned publication date. This
publication date has yet to be determined.

In considering the public interest arguments, I accept that there is a
public interest in local authorities being as open and transparent as
possible. However, this must be balanced against the strong public
interest in local authorities being able to publish information in a
timely manner at appropriate times, and not being rushed into premature
publication. This is particularly important when information is awaiting
verification or would pre-empt ongoing matters; the public interest would
not be served by disclosing information that may be inaccurate in its
current form or subject to amendment. Accordingly, I am of the opinion
that the public interest in this instance favours maintaining the
exemption at section 22 of the Act, and that it is entirely reasonable to
withhold release of the statements until the appropriate time, and
therefore this aspect of your request is refused.

The guidance will be published when the document has been approved.

2. Please could you also supply any policy documents or protocols, if such
exist, relating to any safeguarding issues specifically arising from
personalisation (including checks to prevent financial abuse, and
breakdown of care contingency plans, ensuring personal assistants paid out
of DP's are CRB checked and trained)

Please see the attached documents:

. Residential Care

. SDS Flow Chart

. Self Directed Support

. Support Planning Workbook

. Reablement and Area Review Team Support Process

. Reablement Flow Chart

. Contingency Planning

. Direct Payments

The County Council Adult and Community Service Directorate are currently
undergoing a major restructure and as such have established a Policy
Procedures and Guidance Group to look at what is needed in the new
structure to support the new ways of working. Therefore many of the
attached documents will be amended and updated.

3. Please could you provide me with yearly data on:

a. The overall number of people (to date) who have received direct
payments which they have managed themselves - please could you also give
this figure as a total proportion of service users

b. The overall number of people for whom direct payments have been made
to a third party to manage on their behalf, on the basis that they either
lack the mental - please could you also give this figure as a total
proportion of service users capacity to consent to a DP, or the ability to
manage it (ie. under Health and Social Care Act 2008).

c. If possible, please could you break down the figures for 3a and 3b
into how many DP's were paid for service users with dementia or learning
disabilities

d. If possible, please could you break down the figures for 3b into how
many DP's were paid into user trusts, independent brokerage, or directly
to individuals to manage on their behalf

Please see attached spreadsheet named '805.304 Q3'.

4. Please could you provide me with yearly data on the number and
proportion of direct payments where the amount awarded exceeded the
indicative amount specified by a RAS (of those cases where a RAS was used
to calculate the amount).

The County Council does not record this specific information. However at
present we are seeing Personal Budgets that are in excess of their
estimated budget for a variety of reasons; e.g. where someone needs two
carers for certain tasks. As such a review is currently in place to
review the current systems, pending a move towards a more scientific IT
approach with FACE (Financial Analysis in a Care Environment).

5. Please could you provide me with yearly data on the number of any legal
challenges that the local authority may have been subject to on the basis
that indicative amounts were insufficient to meet eligible needs, or that
insufficient `reasons' were supplied for changes in support based on RAS
decisions. By `legal challenge' I mean both pre-action letters from
solicitors which may not have gone to court, and any cases which have
reached the courts.

There were 6 complaints for the period Sept 09 - March 2010 in comparison
to 30 for the same period Sept 10 - march 2011 in relation to reductions
or cuts in service.

6. Please could you give me copies of any financial or technical reports
into the Resource Allocation System used by the local authority adult
social care department. I would particularly like to see information
regarding what questions the RAS bases its calculations on, and what those
calculations are (i.e. what are the multipliers behind the possible
answers to each question). It may be that this information is not given in
a 'report' as such, but I would be happy to receive it in whatever means
the council holds it in.

Please see the attached work document entitled '805.304 Q6'.

In the event that you wish to complain about the manner in which your
enquiry has been handled, you should write in the first instance to The
Freedom of Information Officer, Lancashire County Council, PO Box 78,
County Hall, Preston PR1 8XJ, or email
[1][Lancashire County Council request email]

If, after this stage, you remain dissatisfied, you have the right to refer
the matter to the Information Commissioner, whose contact details are as
follows:

The Information Commissioner

Wycliffe House

Water Lane

Wilmslow

Cheshire

SK9 5AF

Tel: 0303 123 1113

Email: [2][email address]

Website: [3]www.ico.gov.uk

If you have any queries regarding our response, or you require any
additional information, please do not hesitate to contact me.

Yours sincerely,

Holly Gregson

Freedom of Information | Access to Information Team

Lancashire County Council, PO Box 78,

County Hall, Preston, PR1 8XJ

Tel: 01772 533997

[4]www.lancashire.gov.uk

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Lancashire, a place where everyone matters

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References

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1. mailto:[Lancashire County Council request email]
2. mailto:[email address]
3. http://www.ico.gov.uk/
4. http://www.lancashire.gov.uk/

Dear Ms Gregson,

Thanks very much for sending me this information, I do appreciate it must have taken some time to put together.

I'm sorry to trouble you further, but I wonder if you would mind providing a bit more detail in response to question 6. Whilst the document you share is very interesting in terms of how Lancashire has gone about developing and refining it's RAS, it doesn't offer much insight in terms of how you get from questions on a self-assessment to the actual amount in cash. Some Local Authorities have responded to identical requests by myself by providing a spreadsheet which shows the weightings on each question and how this converts into an indicative amount - I don't know if you have something along those lines you might be able to share?

Yours sincerely,

Lucy Series

Freedom of Information, Lancashire County Council

Dear Ms. Series

I am writing to acknowledge receipt of your email dated 20 April 2011
requesting further information in relation to your previous request
805.304.

I have begun a search for the specific information you have requested and
will be in touch when I am in a position to respond further. In the
meantime, if you have any further queries please contact me directly,
noting your new reference number 805.453.

Yours sincerely,

Laura Southwell

Freedom of Information | Access to Information Team

Lancashire County Council, PO Box 78,

County Hall, Preston, PR1 8XJ

Tel: 01772 531116

[1]www.lancashire.gov.uk

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Lancashire, a place where everyone matters

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References

Visible links
1. http://www.lancashire.gov.uk/

Freedom of Information, Lancashire County Council

Dear Ms Series

Request for information under the Freedom of Information Act 2000

I refer to your email dated 20^th April 2011 in which you request the
disclosure of information under the provisions of the above Act. After
having made enquiries with the relevant department I am now in a position
to provide you with a response.

I can confirm that further information cannot be provided as Lancashire
County Council no longer holds the information you are requesting. The
work relating to your enquiry was completed 7 years ago, and the
Department no longer have any of the 'workings' from that time.

I am sorry I have been unable to assist you on this occasion. Lancashire
County Council provides a procedure for dealing with complaints about the
handling of requests for information. If you are dissatisfied with the
handling of your request, then please write to the Freedom of Information
Officer, Lancashire County Council, PO Box 78, County Hall, Preston,
Lancashire, PR1 8XJ. Or email [1][Lancashire County Council request email].

If, after this stage, you remain dissatisfied you have the right under
Section 50 of the Freedom of Information Act to complain to the
Information Commissioner.

The contact details for the Information Commissioner are as follows:

The Information Commissioner

Wycliffe House

Water Lane

Wilmslow

Cheshire

SK9 5AF

Tel: 0303 123 1113

Email: [2][email address]

Website: [3]www.ico.gov.uk

Yours sincerely,

Miss P. Burman

Access to Information Officer

Lancashire County Council

PO Box 78

County Hall

Preston

PR1 8XJ

Tel: (01772) 530282

Fax: (01772) 530949

Email: [4][Lancashire County Council request email]

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Lancashire, a place where everyone matters

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References

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1. mailto:[Lancashire County Council request email]
2. mailto:[email address]
3. http://www.ico.gov.uk/
4. mailto:[Lancashire County Council request email]
mailto:[Lancashire County Council request email]

Dear Miss Burnam,

Thank you for your response. I think we may have got our wires crossed - the information I'm looking for is what Lancashire County Council bases it's RAS calculations on now, not seven years ago. There must be some system of calculation which takes the council from the assessment to an indicative amount? I am looking for details of that system; some councils have provided that as an excel spreadsheet, which shows, for instance, how many points are awarded for each care task, and then how points translate to a provisional cash award. Would it be possible to have a look for details of this? Sorry to put you to more trouble.

Yours sincerely,

Lucy Series

Dear Lancashire County Council,

I have just been checking through my FOI responses to see how many councils disclosed data on the formulae underpinning the Resource Allocation Systems in adult social care. I saw that I asked Lancashire County Council for more detailed information on this, and it looks as if my email received no further response from your FOI teams. The correspondence can be viewed here:

http://www.whatdotheyknow.com/request/in...

The deadline for referrals to the Information Commissioner's Office is fast approaching, so please could Lancashire County Council let me know whether they will be providing a more detailed response to this?

I am very grateful for the very detailed response I have received so far, but part of the exercise was to see how many councils are clear and transparent about how 'indicative amounts' are calculated: what the basis for the points scores are, and how these are converted into cash values using a mathematical formula.

Yours faithfully,

Lucy Series

Freedom of Information, Lancashire County Council

Dear Ms Series

Please accept our apologies for failing to respond to this request sooner, it doesn’t look like we got your email. However please note that we shall send out a response as soon as possible.

Again I apologise for this oversight.

Thanks

Holly

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Dear Holly,

Sorry you didn't get it and thank you very much for looking into it for me. Sorry I didn't pick up on this earlier and it's a bit rushed now.

Yours sincerely,

Lucy Series

Freedom of Information, Lancashire County Council

Dear Ms Series

Request for information under the Freedom of Information Act

I refer to your request for information made under the provisions of the
above Act. After having made further enquiries with the relevant
Departments I am now in a position to provide you with a response.

How many councils are clear and transparent about how 'indicative amounts'
are calculated: what the basis for the points scores are, and how these
are converted into cash values using a mathematical formula.

After having done an extensive search, I can confirm that Lancashire
County Council do not hold any further information relating to your
enquiry.

I'm sorry I cant be of any more help. In the event that you wish to
complain about the manner in which your enquiry has been handled, you
should write in the first instance to The Freedom of Information Officer,
Lancashire County Council, PO Box 78, County Hall, Preston PR1 8XJ, or
email [1][Lancashire County Council request email]

If, after this stage, you remain dissatisfied, you have the right to refer
the matter to the Information Commissioner, whose contact details are as
follows:

The Information Commissioner's Office,

Wycliffe House,

Water Lane,

Wilmslow,

Cheshire,

SK9 5AF.

Telephone: 0303 123 1113

Website: [2]http://www.ico.gov.uk/

Your request will now be closed as of this date.

Yours sincerely

Miss P. Burman

Access to Information Officer

Lancashire County Council

PO Box 78

County Hall

Preston

PR1 8XJ

Tel: (01772) 530282

Fax: (01772) 530949

Email: [3][Lancashire County Council request email]

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Lancashire, a place where everyone matters

********************

References

Visible links
1. mailto:[Lancashire County Council request email]
2. http://www.ico.gov.uk/
3. mailto:[Lancashire County Council request email]
mailto:[Lancashire County Council request email]

Dear Ms Burman,

Further to our previous request, I wonder if you would just mind asking the relevant team to confirm something for me as I'm quite confused.

1) Does Lancashire operate a Resource Allocation System to determine the cash value of direct payments? My understanding from the 'reablement flow chart' they sent is that they operate semething called 'RAS 2' to calculate indicative amounts.

2) If they do operate such a system, are they saying they do not have access to any information about how it calculates this amount? ie. the mathematical formula underpinning the cash value.

3) If they do have access to this information, are they applying a disclosure exemption under the Freedom of Information Act?

I am very unclear upon which basis Lancashire County Council say they are unable to give me any further information about the RAS they are using.

Yours sincerely,

Lucy Series

Freedom of Information, Lancashire County Council

Dear Ms Series,

Request for information under the Freedom of Information Act 2000

I am writing to acknowledge receipt of your email dated 8 September 2011,
in which you request the disclosure of information under the provisions of
the above Act.

I have begun a search for the information you require and shall contact
you again when we are in a position to respond further. Should I envisage
any delays, or require more details from you, I will contact you
immediately.

In the meantime, if you have any queries about the above, do not hesitate
to contact me, quoting reference number 805.1044.

Yours sincerely,

Holly Gregson

Freedom of Information | Access to Information Team

Lancashire County Council, PO Box 78,

County Hall, Preston, PR1 8XJ

Tel: 01772 533997

[1]www.lancashire.gov.uk

show quoted sections

Lancashire, a place where everyone matters

********************

References

Visible links
1. http://www.lancashire.gov.uk/

Freedom of Information, Lancashire County Council

1 Attachment

 

Dear Ms Series,

 

Request for information under the Freedom of Information Act 2000

 

Further to your email dated 8 September, in which you request the
disclosure of information under the provisions of the above Act, we are
now in a position to respond.

 

Further to our previous request, I wonder if you would just mind asking
the relevant team to confirm something for me as I'm quite confused.

    

     1) Does Lancashire operate a Resource Allocation System to

     determine the cash value of direct payments? My understanding from

     the 'reablement flow chart' they sent is that they operate

     semething called 'RAS 2' to calculate indicative amounts.

    

     2) If they do operate such a system, are they saying they do not

     have access to any information about how it calculates this amount?

     ie. the mathematical formula underpinning the cash value.

    

     3) If they do have access to this information, are they applying a

     disclosure exemption under the Freedom of Information Act?

    

     I am very unclear upon which basis Lancashire County Council say

     they are unable to give me any further information about the RAS

     they are using.

 

 

There is a resource allocation system, the information we are currently
using can be found in the attached document.

 

The reference to RAS 2 on the reablement flow chart was in draft and has
now been removed.

 

We do not have a mathematical formula as to how the allocations were
developed as they were based on patterns of commissioning and the
appropriate resources to meet identified needs.

 

 

We trust that our response is to your satisfaction, but in the event that
you wish to complain about the manner in which your enquiry has been
handled, you should write in the first instance to The Freedom of
Information Officer, Lancashire County Council, PO Box 78, County Hall,
Preston PR1 8XJ, or email [1][Lancashire County Council request email]

 

If, after this stage, you remain dissatisfied, you have the right to refer
the matter to the Information Commissioner, whose contact details are as
follows:

 

The Information Commissioner

Wycliffe House

Water Lane

Wilmslow

Cheshire

SK9 5AF

 

Tel:                   01625 545700

Email:               [2][email address]

Website:           [3]http://www.ico.gov.uk

 

Your request will now be closed as of this date.

 

Yours sincerely

 

 

A Martin

Access to Information Officer

Freedom of Information

Lancashire County Council

PO Box 78

County Hall

Preston

PR1 8XJ

 

Tel:         (01772) 531116

Fax:        (01772) 530949

Email:     [4][Lancashire County Council request email]

 

show quoted sections

Lancashire, a place where everyone matters

********************

References

Visible links
1. mailto:[Lancashire County Council request email]
mailto:[Lancashire County Council request email]
2. mailto:[email address]
mailto:[email address]
3. http://www.ico.gov.uk/
http://www.ico.gov.uk/
4. mailto:[Lancashire County Council request email]
mailto:[Lancashire County Council request email]

Dear Lancashire County Council,

Thank you very much for sending me the RAS self-assessment form. I am pleased to be able to see how responses add up to 'points', but I am afraid I am still at a loss to understand how LCC use these points to calculate a cash entitlement.

You write:

'We do not have a mathematical formula as to how the allocations were developed as they were based on patterns of commissioning and the appropriate resources to meet identified needs'

But the SRQ document you have sent says 'The points will lead to an indicative budget for the number of points you have scored.' This suggests to me there is some kind of relationship between points and the indicative budget. If this relationship is not 'mathematical', then I am unsure on what other basis the amount is calculated? Is there a stratified system, where a certain number of points equates to a certain amount of money? I am looking for information that would help me to see, in a clear and transparent way, how different responses would lead to different cash entitlements.

Yours sincerely,

Lucy Series

Freedom of Information, Lancashire County Council

1 Attachment

Dear Ms Series,

 

Request for information under the Freedom of Information Act 2000

 

Further to your email dated 22 September, in which you requested
clarification to a response.

 

The attached document contains information for Indicative Resource
Allocation Funding Levels.

 

I apologise for the oversight in not providing this document sooner.

  

Your request will now be closed as of this date.

 

Yours sincerely

 

 

A Martin

Access to Information Officer

Freedom of Information

Lancashire County Council

PO Box 78

County Hall

Preston

PR1 8XJ

 

Tel:         (01772) 531116

Fax:        (01772) 530949

Email:     [1][Lancashire County Council request email]

 

 

 

show quoted sections

Lancashire, a place where everyone matters

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References

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1. mailto:[Lancashire County Council request email]
mailto:[Lancashire County Council request email]

Dear Lancashire County Council,

Thank you very much indeed for sending on this information. LCC have now provided all the information I was looking for to understand how their RAS works, and I am very grateful.

Yours sincerely,

Lucy Series

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