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Confidentiality
7.32 At the centre of our proposals on assessment and transfer of information is the issue of confidentiality. We have looked at ways to encourage greater participation and ownership by the young person and, in particular, we believe that openness must be at the heart of any assessment process. However, there is no doubt that confidentiality will remain an issue of great concern to young people and the agencies who come into contact with them. Some agencies feel that it is not appropriate to share information with another agency. Social Work professionals, for example, are sometimes dealing with extremely sensitive issues which young people will almost certainly not want to be discussed. We have found, however, that there is a greater willingness to pass on verbal information than to produce written reports. While this is understandable, it is an ad hoc and unreliable way of transmitting information. The extent to which information may be made available about a young person should not be subject to such an uncertain procedure.
7.33 Although we respect the concerns of professionals in the field, we believe that confidentiality has to be considered in the wider context of the young person's long term future. We are also aware of the view among a range of individuals and agencies that confidentiality can be used as a barrier to effective communication between agencies and as a justification for not transferring information. We firmly believe that there should be strict protocols governing confidentiality which serve the best interests of the young person and not the practices of individual agencies.
7.34 The important point is that agencies which gather information on young people should treat it in a confidential manner. The young person should be able to confide in someone and know that sensitive information will not be passed onto another agency without his/her knowledge and under strict safeguards. Permission should always be sought before passing on information to another agency. It should be acknowledged, however, that there are likely to be limits to confidentiality in certain circumstances e.g. to establish entitlement to benefits. There may be other occasions where information on a young person's learning and support needs should be passed on to another agency to ensure that they are not offered inappropriate further education, or training, or do not receive support that they require to help them make the most of the opportunity. There are other cases where there could be significant health and safety implications e.g. if a young person has epilepsy and a training provider is not aware of it.
7.35 The Committee is in no doubt that the issue of confidentiality is in all respects challenging and difficult to resolve. We believe that improved assessment practice, and in particular an open process which closely involves young people, will do much to build the confidence of the young people in the overall process. If this is allied to a system for transferring information which assures young people that only relevant information will be passed to another agency, so that they can receive the support they require, they are more likely to take a positive view. The support of a key worker or mentor would also help young people to develop confidence in the process.
7.36 We believe that, linked to the arrangements for improving participation and ownership of the assessment process, the key agencies should agree protocols and standards for confidentiality. We recommend, therefore, that the Area Strategy Groups should work with the key agencies to develop agreed protocols for the transfer of information which set out specific arrangements for confidentiality.
Staff Development and Training
7.37 In this Chapter we have discussed the importance of an effective assessment process in developing an Inclusive approach across all agencies. We have made a number of proposals and recommendations on key aspects of assessment. One of the most vital aspects is the commitment and expertise of the staff who are engaged in assessment. They require the skills to carry out interviews and tests and the ability to understand the difficulties and problems which may make the young people reluctant to participate and respond. There is also an important issue about achieving a consistent standard of assessment. The studies carried out in the past 3 years demonstrated variations in practice even within agencies. We believe that both of these aspects must be addressed in developing an improved assessment process. We, therefore, recommend that the agencies - careers service, the enterprise networks, training providers, colleges and other agencies - who are involved in assessment should ensure that staff receive training in assessment practice. We also recommend that the Area Strategy Groups work with the key agencies to promote joint staff training to develop consistent standards and practices in assessment across agencies.
From Assessment to Provision
7.38 The assessment process is not an end in itself. Its purpose is to identify the learning and support needs of the individual and provide the basis for education and training providers to offer appropriate, matching learning opportunities and, where necessary, for colleges, training providers or other agencies to make available additional support. An Inclusiveness approach requires that this should not mean simply allocating the young person to the "best fit" which is available. In some cases suitable provision may already be in place. In many other cases, it will mean drawing together strands of provision and other support into a "package" of provision. This is the challenge of Inclusiveness.
7.39 For those young people who have multiple problems, matching provision to their assessed needs may be a complex exercise. It may also have to be recognised that progress may be in small stages because of the range of their support needs. One example is where young people have a disordered and chaotic lifestyle and find it difficult to sustain a programme of study or training. Progress in personal, social or even emotional development may not be recognised within existing systems, and in particular, may not attract funding. The most obvious example is the funding for training which is targeted primarily towards the attainment of qualifications. In further education there is provision for special programmes and extended learning support to assist young people who need tailored learning or additional support. While the funding arrangements in FE are different, there is evidence from the FE Survey that there is scope for change. The specific funding issues and our proposals are discussed in Chapter 10. We highlight them here as part of the context for our proposals to provide a systematic follow-up to assessment.
Individual Profile and Action Plans
7.40 We have developed proposals for an individual profile and action plan to take forward the outcome of the assessment process in a systematic way designed to recognise the needs, abilities and aspirations of the young person. The aim is to encourage and assist the individual in making progress at a pace and towards agreed goals which are suitable for him/her; and to encourage and assist the provider agencies to design and deliver the appropriate "package" for learning and support. The personal profile would also support the development of a funding regime which recognised the time needed to build up basic skills and improve personal skills; and reward progression in the "soft" areas.
7.41 The underpinning of a personal profile should be an assessment procedure which clearly identifies both hard/tangible areas of need eg literacy, numeracy, specific aids; and "soft/intangible" areas such as attitude, motivation, punctuality and willingness to learn. The challenge for the practitioners is to develop measurable indicators of progress in the "soft" areas (often referred to as attributes) which could then be used as the basis of funding. A key objective would be to help the young person reach a level of competence and confidence where they could benefit from more vocationally based training. We have identified the following key elements of drawing up a personal profile:
Assessment:
An effective assessment process which identifies the individual's learning and support needs, abilities and aspirations
Personal or Individual Profile:
The profile should include:
Action Plan:
The profile should be the basis of an individual(ised) action plan which is discussed and agreed with the young person. The action plan should specify:
7.42 The objective is to design a programme for each young person which meet his/her needs i.e. an individualised profile and action plan. Regular reviews and ongoing assessment will be crucial to the programme's effectiveness. It may be more accurate, therefore, to describe it as an action planning and review system. We attach the greatest importance to ensuring that there is a 'next step' following the assessment which is focused on the individual and designed to match the provision to his/her learning support needs. We, therefore, recommend that the assessment framework should include a profile and action planning system agreed by all the relevant agencies.
Role of Agencies
7.43 Where a young person has multiple needs, it is vital that all agencies who do have a contribution to make to assessment, whether funding, information, or other forms of support, are brought into the process. For such young people, a key worker may be assigned who can then act as the 'broker' and liaison point between the other agencies. As described in Chapter 5, we are proposing that the key worker should have the power to co-ordinate the activities of all the relevant agencies. We have also suggested that there could be local multi-agency practitioner teams to oversee the progress of the young people. This team may decide the appropriate key worker.
7.44 In the light of our recommendations that different approaches to multi-agency working and the organisation of a key worker should be tested out, we will not make specific proposals about how agencies should collaborate in the assessment process. However, there are a number of ways in which key worker support and a multi-agency team could operate to ensure that the individual profile and action planning system is working for the maximum benefit of the young person. How it works in practice will depend on how, and when, the young person comes into contact with the careers service company, the further education sector, the training provider or a LEC. We are proposing, however, that arrangements for referral to a key worker or appointing a multi-agency team should be the responsibility of the Area Strategy Groups.
Staff Development and Training
7.45 The introduction of an individual profile and action plan is another area which would require staff development and training for all the relevant agencies. There would also be a need for joint training to ensure that staff in the various agencies had a mutual understanding of the purpose of the action plan and were fully committed to monitoring and reviewing implementation.
Future Needs Assessment: Post-School Implementation
7.46 In Chapter 6, we noted the concerns raised by parents about the operation of the Future Needs Assessment process; for example, the lack of communication between agencies and the difficulty for young people and parents/carers in putting across their views. The Social Work Services Inspectorate also raised these and other concerns about the FNA process, including problems with the follow-up arrangements, in the 'Sensing Progress' report. The issue of post-school implementation is of particular concern to this Committee and in "Sensing Progress", the SWSI asked us to consider how it might be improved.
7.47 The main problem seems to be that, where the follow-up arrangements break down, no one professional or agency has responsibility for re-negotiating the package of learning and support. This has clear parallels with the experiences of other vulnerable young people. While only a small percentage of young people are involved in the FNA process, it is important that they have the same access to post-school arrangements for education and training as other young people who have additional support needs. We recommend that our proposals for co-ordination of services by Area Strategy Groups should encompass post-school provision for young people who have been involved in the FNA process. It could be part of the FNA process for a referral to be made to a key worker while the young person is still at school so that the key worker would be familiar with the learning and support needs of the young person if, at a later stage, the post school provision does not go according to plan. If no referral is thought to be necessary when the young person is still at school, it should be possible for the young person (or the parents/carers,) as well other agencies who are involved with the young person, to seek a referral after the young person has left school.
7.48 Some of the evidence that we have received also suggests that the education and training needs of some young people are not adequately addressed in the FNA process.
There may be an initial destination i.e. a college or training provider, but no long-term plan or arrangements to address the need for subsequent transitions. It is our view that young people who come into post-school provision through the FNA process should have access to the individual profile and action planning system which we are recommending for their peers.
The links to the profile and action planning system should be explicit while the young person is still at school. We, therefore, recommend that the Area Strategy Groups should work with the relevant agencies, and specifically with the local authority Education Department, to ensure that the FNA process has clear links to the key worker support arrangements; and that the needs of the young people are addressed in the profile and action planning system.
Summary of Recommendations
The Committee recommends that:
The Area Strategy Groups should work with the lead agencies to develop an assessment framework setting out the key principles, roles and responsibilities and pathways into and between assessment. (Paragraph 7.6)
There should be a review of assessment tools at national level to be undertaken by the lead agencies in assessment, with particular emphasis on the skills and attributes which contribute to employability. The lead agencies would include the careers service companies, LECs, training providers, FE colleges and the voluntary sector. (Paragraph 7.9)
The Area Strategy Groups should work with the relevant agencies - careers service companies, LECs and training providers, colleges and the local authority to develop a wider range of enhanced guidance and assessment programmes supported by appropriate funding mechanisms. (Paragraph 7.11)
The Area Strategy Groups work with the relevant agencies to agree arrangements for encouraging the participation and ownership of the young person which take full account of the individual's rights and wishes as far as possible. There should also be agreed arrangements about the process of referral to a key worker and the ongoing role of the key worker in the assessment process. (Paragraph 7.21)
There should be a Transition Form for all young people which contains up-to-date and accurate information (as far as possible) about achievements, goals and learning and support needs. (Paragraph 7.25)
The Scottish Executive Education Department, working together with COSLA and the teaching bodies, should develop our proposal for a Transition Form with appropriate reference to the development of the Progress File in conjunction with the work now going on in the Education Department and local authorities on Personal Learning Plans. (Paragraph 7.29)
The Area Strategy Groups should promote and encourage the development and use of a standard Transition Form within their own area. (Paragraph 7.31)
The Area Strategy Group should work with the relevant agencies to develop agreed protocols for the transfer of information which set out specific arrangements for confidentiality. (Paragraph 7.36)
The agencies - careers service companies, the enterprise networks, training providers, colleges and other agencies who are involved in assessment - should ensure that staff receive training in assessment practice. (Paragraph 7.37)
The Area Strategy Groups should work with the relevant agencies to promote joint staff training to develop consistent standards and practices in assessment across agencies. We also recommend that the Area Strategy Groups work with the key agencies to promote joint staff training to develop consistent standards and practices in assessment across agencies. (Paragraph 7.37)
The assessment framework should include a profile and action planning system agreed by all the relevant agencies. (Paragraph 7.42).
The arrangements for referral to a key worker or appointing a multi-agency team should be the responsibility of the Area Strategy Group. (Paragraph 7.44).
The co-ordination of services by Area Strategy Groups should encompass post-school provision for young people who have been involved in the FNA process. (Paragraph 7.47)
The Area Strategy Groups should work with the relevant agencies, and specifically with the local authority education department, to ensure that the FNA process has clear links to the key worker support arrangements; and that the needs of the young people are addressed in the profile and action planning system. (Paragraph 7.48)
Appendix 1
Outline Framework
The Committee has drawn up an outline assessment framework. It includes the key principles agreed by the Committee and suggests pathways in, through and out of the various stages of assessment.
Pathways
We know that many young people will come in and out of post-school education and training. We also believe that each of the agencies that come into contact with young people e.g. community education workers, should be able to make referrals in to the assessment process. The structure and the framework should be flexible enough to support multiple entries but in such a way that young people are not always going back to the starting point. The same process as above would come into play where young people experience a number of transitions.
Principles of Assessment
It must be open
It must be fair and accurate
It must be focused on the young person and not designed to accommodate the organisational structures or administrative practices of an institution or agency
It must respect confidentiality
It must encourage full participation and ownership by the young person
It must aid progression.
It should also:
The Purpose of Assessment
To identify the type and level of learning and support needs, the abilities and the aspirations of the young person;
To communicate assessment to the appropriate provider(s); and
To draw up an action plan and set goals.
Roles and Responsibilities
School:
Identification of problem areas/learning and support needs which might prevent participation in post school education, training, and employment.
Recording and reporting: transfer of information (Transition Form) to post school providers (careers service companies, colleges and training provider).
Referral (if appropriate) to key worker.
Career Service Companies:
Guidance on career choice, entry routes and employment, education and training programmes in school and post-school.
Initial assessment of learning and support needs.
Contribute to FNA process.
Contribute to multi-agency working.
Referral to key worker.
Referral to training provider for enhanced assessment or pre-vocational or skills based training funded by LEC.
Referral to employers for job vacancies after school, FE or training.
Training providers:
Assessment (probably not initial assessment)
Enhanced Assessment
Ongoing Assessment and review
Contribute to multi agency team
Referral to key worker (if appropriate).
Community Education
Contact and support for hard to reach young people
Referrals
Contribute to assessment
Contribute to multi-agency team
FE Colleges:
Initial assessment
Follow-up with more in-depth assessment
Referral to key worker (if appropriate)
Ongoing assessment and review
Participate in multi-agency team
Social Work:
Referral to careers service companies, LEC, college
Referral to key worker service (if appropriate)
Contribute to assessments
Participate in multi-agency teams
Employment Service:
Initial contact and assessment (for 18-24 year olds under the New Deal)
Referral to key worker (if appropriate)
When (should it be done)?
What it Should Cover?
What it Should Measure?
Outcome
An individual profile and action plan with agreed goals.
Protocols on
Ownership
Confidentiality
Transfer of Information
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