26 March 1993

Dear Sir/Madam

COMMUNITY CARE PLANS: DIRECTIONS ON CONSULTATION

Summary

1. This circular advises local social work authorities of requirements, additional to those in the NHS and Community Care Act 1990, governing consultation on their community care plans. In terms of the Secretary of State’s Directions - copy attached - they are required to:

a. state in their plans the arrangements for consulting those parties with a statutory right to be consulted on plans; (see paragraphs 6 to 11); and

b. consult organisations which have declared themselves as representing independent sector [ Throughout this circular the term "independent sector" encompasses providers in the private, voluntary and "not-for-profit" sectors] providers (see paragraphs 12 to 20).

The Directions came into effect on 1 April 1993.

2. This circular has been revised. The revised version makes no policy changes to the original: it updates terms and references and refers, where necessary, to particular aspects associated with the impending reform of local government.

Previous Guidance

3. Guidance on community care planning generally, including the requirements to consult, is set out in Circular SWSG1/91 - also issued as SHHD/DEM(1991)1, "Community Care Planning", dated 7 January 1991. That guidance is supplemented by the terms of this circular which addresses only the new requirements set out in paragraph 1 above.

Action

4. Social Work authorities are required to comply with the terms of the Direction and have regard to the circular of guidance when, after 1 April 1993, preparing new or revised community care plans under Section 5A of the 1968 Act.

Introduction

5. Section 5A of the Social Work (Scotland) Act 1968 (as inserted by section 52 of the NHS and Community Care Act 1990) requires Regional and Islands Councils to prepare and review as appropriate community care plans. Plans are to be published at 3 yearly intervals (commencing in 1992) and reviewed annually. In preparing their plans, local social work authorities are required to consult health boards, housing authorities, education authorities, voluntary organisations representing users of community care services and carers, voluntary housing agencies and other bodies providing housing or community care services. The guidance on these wider matters remains as in Circular SWSG1/91.

Statement of Consultation Process in Community Care Plans

6. Paragraph 2 of the Direction requires authorities to state in their new plans or revisions of their existing plans the arrangements for ensuring effective consultation with all the parties they are required to consult under the Act and the Directions.

7. The statement should set out the authority’s intentions and procedures. It is good practice to make clear to consultees the timetable and method of consultation, and there is also considerable advantage in discussing this with them in advance. Many Regional and Islands authorities already have effective consultation processes which new Councils can adopt but others, including Councils in "disaggregating" areas, may need to review the present arrangements to reflect the new circumstances and boundaries. The Direction seeks to ensure that existing good practice becomes standard policy and that in every case the consultation process is as open and effective as possible.

8. As suggested above, authorities should, wherever possible, discuss their proposals in advance before the stage of formal consultation is reached. A statement of how the authority intends to undertake such activity should also be included in plans.

9. Some Regional and Islands authorities already include in their plans a summary of and commentary on responses to the draft plan: this practice is commended to new Councils.

10. Within the 3 year planning cycle local authorities are required to review their plans annually. This may mean, for some, drawing up new or amending existing sections; for others, this may result in a new plan. Whatever the approach, authorities should include a statement on the consultation process and their intentions, if different, for future rounds. This should cover the processes to be used, relevant contacts and the timetable. The statement will therefore become an integral part of the plan and be subject to consultation in the normal way.

Form of Consultation

11. The nature and style of consultation will be a matter for each authority to decide. The basic principles, however, are clear and widely recognised, as follows:

11.1 Views must be invited on proposals, not the final document.

11.2 The independent sector, including providers and their representatives, will not only need to be made aware of the proposals but be able to comment on proposed changes in service patterns.

11.3 Reasonable time must be allowed for those consulted to prepare and give their view.

11.4 Views must be taken into consideration and be seen to be so, subject always to the right of authorities to reach final decisions.

11.5 It may be sufficient to hold meetings or, where appropriate, place community care plan proposals on the agenda of a regular forum; but care needs to be taken to ensure that those who need to be consulted are properly informed.

Consultation with Representatives of Independent Sector Providers

12. A strong independent sector has much to contribute to the mixed economy of care, ensuring diversity of provision and thus individual choice. Services will, however, be properly developed in the interests of users and carers only if there are sound partnerships between them and authorities and between authorities and providers. These partnerships need to be built on understanding and trust, and consultation on community care plans is an important way of building such relationships. This should not be confined to formal opportunities to comment on plans. Consultation should be a continuing process through, for example, consultative fora, joint working groups or regular meetings with providers and representative organisations.

13. Regional and Islands Councils had long experience through joint liaison committees or other arrangements of involving the voluntary sector in their planning and in consulting them on their proposals. That experience and sense of partnership now needs to be applied to independent sector providers more generally. The Directions ensure similar treatment of providers, whether in the private or voluntary sectors.

14. Paragraph 3 of the Direction requires that:

14.1. Social Work authorities must consult representatives of independent sector providers of community care services in the authority’s area in preparing their community care plans.

14.2. In order to be consulted, representatives must notify the social work authority in writing of their wish to be consulted.

These arrangements came into effect on 1 April 1993.

15. The Direction applies to representatives of providers of day or domiciliary services in the same way as to providers of residential or nursing home care, and to representatives or providers in the private sector in the same way as to providers in the voluntary or "not-for-profit" sectors.

16. Local authorities must consult any national, regional or local association or organisation which represents independent sector providers of community care services within the authority’s area and from whom a written request to be treated as a representative has been received. This applies whether or not the authority proposes to contract with the providers represented by the organisation concerned. It will be for the providers to nominate and choose their own "representatives". Authorities should take steps to ensure that potential representatives know the procedure for inclusion in the list of bodies to be consulted.

17. The Direction does not reduce a local authority’s duty to consult individual bodies in the voluntary sector which provide housing or community care services. Some providers may, however, prefer to make their views known through representative organisations.

18. As regards consulting representatives of providers from another local authority’s area, while there is no legal requirement to this effect, authorities will need to decide whether they should nevertheless do so. If the authority makes significant use of such providers there is clearly advantage in including them in the consultation process so that they are aware of an can comment on the authority’s plan.

Good Practice

19. Authorities are reminded that the report by KPMG entitled "Improving Independent Sector Involvement in Community Care Planning" (which was sent by the Social Work Services Inspectorate to Directors of Social Work in October 1992) contains examples of good practice and more detailed advice on how consultation with independent sector providers might be approached. Other sources of advice include:

- "Consultation and Community Care Plans" - a report of voluntary section opinion, SCVO 1992.

- "Consultation with Carers" in the North West of England" - Sharon Haffenden - published by West Lancs. Council for Voluntary Service 1991.

- "Focus on Carers" - Janice Robinson and Lydia Yee published by the King’s Fund Centre 1991.

- "Living Options in Practice" project papers - produced by the Prince of Wales’ Advisory Group on Disability and the King’s Fund Centre Community Care Living Development Team.

- Project Paper No 3 - "Achieving User Participation" - Barrie Fielder and Diana Twitchin 1992, and

- Project Paper No 2 - "Tracking Success" - Barrie Fielder, 1991.

20. The Scottish Office, in partnership with Scottish Homes, has commissioned the Nuffield Centre for Community Care Studies at Glasgow University to provide a database of good practice in all aspects of community care, including consultation processes. The Database holds a number of recent examples of methods and approaches to consultation on community care planning which we would commend to others. Request for searches can be made by contacting the Database direct on telephone 0141 330 4554.

Health Boards

21. Health Boards are expected as part of the strategic planning process to prepare community care plans jointly with local authorities. The particular health interests should therefore be included in the wider field of consultation. While the requirements of the Directions do not apply directly to health boards, they should, nevertheless, have regard to their terms and to the circular if they were to carry out their own consultation arrangements.

Contact Point

22. Enquiries on the content of this circular should be forwarded to Mrs L Malcolm, Social Work Services Group, Room 48c, James Craig Walk, Edinburgh EH1 3BA

(telephone 0131 244 5424).

Yours faithfully

GAVIN ANDERSON

LOCAL AUTHORITY COMMUNITY CARE PLANS (CONSULTATION) DIRECTIONS 1993

The Secretary of State, in exercise of the powers conferred on him by sections 5(1A) and 5A(3) of the Social Work (Scotland) Act 1968 ("the 1968 Act") [ a) 1968 c.49, section 5(1A) was inserted by section 51, and section 5A(3) by section 52, of the National Health Service and Community Care Act 1990 (c.19)] a), and of all other powers enabling him in that behalf, hereby gives the following Directions to local authorities:

1. These Directions may be cited as the Local Authority Community Care Plans (Consultation) Directions 1993 and shall come into force on 1st April 1993.

2. Each local authority shall include in any plan and any modification thereto which they prepare and publish for the provision of community care services in their area pursuant to section 5A of the 1968 Act, details of how they propose to consult those persons specified in:

(a) section 5A(3) of the 1968 Act, and

(b) paragraph 3 of these Directions.

3. Each local authority shall in carrying out any of their functions under section 5A of the 1968 Act (local authority plans for community care services) consult any person (including any incorporated or unincorporated body of persons) who represents providers in the authority’s area with whom the authority may arrange to provide community care services as defined in section 5A of the 1968 [ a) "Community care services" as defined in section 5A(4) means "services, other than services for children, which a local authority are under a duty or have a power to provide, or to secure the provision of, under Part II of this Act or section 7 (functions of local authorities), 8 (provision of after-care services) or 11 (training and occupation of the mentally handicapped) of the Mental Health (Scotland) Act 1984.] a) where that person notifies the local authority in writing of his wish to be consulted in respect of the authority’s community care plans.

Assistant Secretary

Scottish Office

1993