Bath and North East Somerset Council
Special Educational Needs and Disability
Working Draft Personal Budget Policy
The following policy relates to the duties of Bath and North East Somerset
Council in relation to the Children and Families Act, 2014, the Statutory
Guidance and Code of Practice for special educational needs and disability 025 years, 2014 and the ‘The Special Educational Needs (Personal Budgets)
Regulations 2014.
It has been developed in consultation with: parents, health providers,
commissioners, social care and education.
The policy applies to any child or young person with Special Educational
Needs (SEN) or Disability , who has had an Education, Health and Care Plan
(EHCP) Statutory Assessment and where a personal budget has been
requested and agreed.
The EHCP will offer a personal budget for aspects of the provision outlined in
it, if parents or young people wish it. The request can be made either at during
a statutory assessment (at the draft Plan stage), or when an EHCP is being
reviewed/ re-assessed. In some cases those awarded a non-statutory Support
Plan may also be offered a Personal Budget.
1. Relevant legislation:
Section 49 of the Children and Families Act 2014,
The Special Educational Needs (Personal Budgets) Regulations 2014,
The Community Care, services for Carers and Children’s Services (Direct
Payments) Regulations 2009 (the 2009 regulations will be replaced by those
made under the Care Act 2014),
National Health Service (Direct Payments) Regulations 2013
2. Definitions
EHCP: Education, Health and Care Plan
SEND Panel: Multi-agency panel sitting fortnightly to see all cases and
allocate personal budgets.
B&NES: Bath and North East Somerset Council
CCG: Bath and North East Somerset Clinical Commissioning Group
3. What is a Personal Budget?
3.1 Personal budgets are an allocation of funding made for children and
young people with SEND and their families, after an assessment of their
needs and will be outlined in an EHCP. Parents or young people can request
a Personal Budget as part of a EHCP Needs assessment. It will cover aspects
of the Plan that can be offered as a personal budget. It will not cover the cost
of a named educational placement
3.2 Families will be able to request a personal budget as part of the planning
process, i.e. when a local authority is drawing up an EHCP or at the annual
review.
3.3 Families can decide how they want it to be managed:
 As a direct payment. (set out in appendix 1) The funding is paid direct
to the family who will manage it to deliver support as set out in the
EHCP.

As a ‘commissioned budget’ where the local authority manages the
budget for the family.

By a provider (for example a school or voluntary service).

Or as a combination of the three options above.
3.4 A personal budget can include funding from education, health and social
care. In education, a personal budget will be available where support provided
by the school/college (including any special educational provision as set out in
the local offer) cannot meet the student’s support needs. The funding for this
element of the personal budget will come from the local authorities ‘high
needs block’.
3.5 Some children and young people may also have a personal budget that
includes funding from social care and/or for health services; in these cases it
will be possible to bring the funding together to use as a single budget
focused on holistic and child/family centred support to meet needs and
outcomes.
3.6 Schools or colleges are able to contribute some of their own budget if
required, to a child or young person’s personal budget. Personal budgets are
designed to pay for the elements of provision that the local and health
authorities have agreed can be offered as a direct payment. A direct payment
will be the mechanism of receiving the personal budget.
3.7 The statutory regulations state:
“Direct payments may only be made ….. If the person
(a) Appears to the local authority to be capable of managing direct payments
without assistance or with such assistance as may be available to them;
(b) Where the recipient is an individual, is over compulsory school age;
(c) Does not lack capacity within the meaning of the 2005 Act to consent to
the making of direct payments to them.
3.8 Parents have control of a personal budget up to the end of year 11 (post
compulsory school age). It is then the young person who has this
responsibility, as long as they have the mental capacity as defined by the
Mental Capacity Act, unless they elect for their parent/carer to manage their
funding
Define Direct Payment? Or heading Direct Payments and how this is not
personal budget? Direct payment is one of the choices for administering a
PB?
3.8 The aim of Direct Payments is to increase an individual’s independence
and choice by giving them control over the way services they receive are
delivered. Direct payments are cash payments made instead of, either fully or
partly, of specified services from local authority or health services. The
payment must be sufficient to enable users to purchase services to meet their
needs, and must be spent on services that meet the outcomes and services
as laid out in the EHCP.
3.9 Direct Payments allow people to take more control of their lives and
decide which services they should purchase themselves, rather than having
them provided. Therefore there is increased choice about the services to meet
individual need. They are only applicable for certain aspects of the EHCP and
will entail increased responsibility, for instance the employment aspects of any
people directly employed as part of this process.
4. Information about the personal budget process:
-
Funding from different agencies will be allocated to a personal budget
through the SEND panel.
The ‘High Needs Block’ (HNB) is seen as the primary source for
potential personal SEN budgets;
However the HNB is also the source of funding for targeted support
such as specialist teacher
Services, sensory impairment support and of funding for out-of-area
placements, i.e. it is a commissioning budget and hence the same
approach should be adopted to exploring how it is currently used and
how this will develop.
What’s in/not in scope for a personal budget?
5.
-
Funding from universal services will not be included in a personal
budget.
Funding from specialist commissioned targeted services and support
will not be included in a personal budget
Funds within block contracts where disaggregating the funds would
have a negative impact on the wider population will not be included in a
personal budget
6. How the amount of a personal budget will be decided and by
whom?
6.1 B&NES will ensure that the amount of money agreed in a personal budget
will be sufficient to secure the agreed provision in order to meet the outcomes
set out in the EHCP . This will be agreed at the SEND panel.
6.2 B&NES may increase or decrease the amount provided that it is satisfied
the amount is sufficient to secure the agreed provision.
7. Reducing the amount
7.1 Where B&NES decides to reduce the amount it will provide reasonable
notice to the recipient and set out in the notice the reasons for its decision.
7.2 B&NES will reconsider its decision when requested to do so by the
recipient.
7.3 B&NES will not consider more than one reconsideration.
8. Repayment and recovery
8.1 B&NES may require a recipient to repay part or all of the monies where:
a) The circumstances of the child or young person have changed in a
manner that has an impact on the appropriateness of the agreed
payments.
b) All or parts of the payments have not been used to secure the agreed
provision.
c) Theft, fraud or another offence has occurred in relation to the
payments.
d) The child or young person has died.
8.2 Where B&NES decides to seek a repayment of any portion of the
payments, B&NES will give notice in writing setting out:
a) The reasons for the decision
b) The amount to be repaid.
c) A reasonable timescale within which the money must be repaid.
9. Monitoring and review
9.1 B&NES will monitor the use of personal budgets to the recipient at least
once in the first three months and when conducting a review or reassessment
of an EHCP under section 44 of the 2014 Act.
10. Managing and using a personal budget:
10.1 See appendix 1.
11. Information about changes and crisis
11.1 Any changes in a child’s situation will need to be reviewed at SEND
panel.
12. Transitions
12.1 Adult services will meet assessed needs.
13. Summary
13.1 The EHCP will set out how a personal budget is going to be used to
deliver support and outcomes.
13.2 A school or college can release funding from its own budget and
contribute to a personal budget if it chooses to.
13.3 Personal budgets are allocated individually to children and young people
where their needs cannot be met by the support the school normally provided
by the school (as set out in the local offer and including any specialist support
it provides).
13.4 The education element of a personal budget will be allocated from the
local authorities ‘high needs block’ of funding.
13.5 The use of personal budgets should be informed by a person centred
approach to planning hence ensuring that any personal budget is used in the
most appropriate and efficient way.
Appendix 1
Personal Budget Direct Payment Agreement
This agreement tells you about your Personal Budget Direct Payment.
It also sets out the things that you need to do when you receive your payment.
Please read it carefully as it is legally binding.
1. Basis of agreement
Bath & North East Somerset Council’s Disabled Children’s Team, has carried
out an assessment of your child’s eligible needs and has agreed to the
support described in your child’s current Support Plan to be provided via a
Personal Budget Direct Payment. The Personal Budget Direct Payment will be
paid directly into your Personal Payment Bank Account to enable you to buy
the support your child has been assessed as needing.
You should only use your Personal Budget Direct Payment to arrange and
receive the support detailed in your child’s Support Plan. You will be
responsible for paying for the support you receive, including all agency
invoices and employee wages/salaries.
2. Your Personal Budget Direct Payment Account
Details of your Personal Budget Direct Payment, your financial contribution
and the payments you will receive are on your child’s Support Plan.
To receive a regular Personal Budget Direct Payment (every 2 weeks)
you must open a separate Personal Budget Direct Payment bank
account, with a cheque book and no overdraft option.
If all your Personal Budget Direct Payment allocation is paid as a one-off
payment, a separate bank account is not required.
3. General rules about how to use the money
Spending Personal Budget Direct Payments money
With the Personal Budget Direct Payment bank account, the use of cheques
and electronic payment by debit card is authorised for payment of care
support or care related products as described in the support plan. Cash
withdrawal must be pre-authorised in the support plan.
Change in your child’s care arrangements
You should contact your child’s Case Manager if your child’s needs have
changed and you want to use your money for services not described in your
Support Plan.
Your responsibility as an Employer.
If you employ a Personal Assistant (PA) you must ensure that, as an
employer, you take full responsibility to cover payment of any employment
rights that the Personal Assistant may have. This should be covered in the
costing of your support package. You are expected to have money in your
account to cover for employee’s sick pay, holiday pay and other employer’s
expenses. Any bank charges/legal charges/HMRC costs will be your
responsibility.
If you are experiencing difficulties in managing your account or if there is not
enough money in the Personal Budget Direct Payment bank account to pay
for all employment costs you should contact the Team funding your support,
or Finance to alert them of your difficulty.
Unspent money
You will be allowed to keep up to 4 weeks unspent funds in your Personal
Budget Direct Payment bank account.
Example: DP weekly allowance = £ 100. You can keep up to £400 in your
Personal Budget Direct Payment Account, any amount above this, will be
clawed back by B&NES unless it has been saved for a specific purpose
which is described and agreed in your child’s Support Plan.
Monitoring the Personal Budget Direct Payment Account
The Local Authority will contact you if concerns are raised about the
management of your Personal Budget account or if there are reasons to
believe that any person or organisation you are paying is not able to provide
an adequate service or is overcharging for the service.
4. You must use the Personal Budget legally.
If you choose to employ your own staff, you must abide by employment law
and take out employer liability insurance. You will need to ensure that any
Personal Assistant you wish to employ completes a Disclosure & Barring
Service (DBS) check and that you seek advice on employing your own staff
from WECIL, a Personal Budget Direct Payments Employment Support
Service.or any other organisation?
Your Case Manager can provide information about WECIL.
You must not use the Personal Budget Direct Payment to employ a close
relative living in the same household (relative means parent, parent in law,
aunt, uncle, grandparent, son, daughter, son-in-law, daughter in law, step son
or daughter, brother, sister or the spouse or the partner of any of the
preceding).
If you chose to use a volunteer to provide some of your child’s care support, it
is extremely important you only reimburse out of pocket expenses (these
could include travel to and from the place of volunteering, travel, meals,
postage, phone calls, stationary and the cost of protecting clothing/specialist
equipment where applicable) and to keep copies of all receipts.
All expenses should be reimbursed by cheque.
There are limits on the amount of money that can be reimbursed as expenses.
If you think that you will need to exceed these limits or will need to reimburse
other expenses it must be agreed in advance in your Support Plan. Your
child’s Case Manager can provide information about Paying Expenses for
Volunteers.
5.
Keeping Records
For all Personal Budget Direct Payments (with or without upfront
payment or one-off payment) you must keep all records, e.g. bank
statements, receipts, invoices and payslips for 7 years to show what the
money is spent on. The Finance Department carries out randomised and
targeted spot checks and may ask to see these documents at any time.
If the item or service you buy with the one-off payment is less than the
payment made to you, you must send a cheque for the balance made
payable to Bath and North East Somerset Council.
If you have a regular payment (every 3 months) we will send you a
Quarterly Return Form for you to complete .You must provide us with:



A copy of your bank statement for your Personal Budget Direct
Payment bank account.
A financial summary sheet outlining any funds which have yet to clear
Information related to cash payment as agreed on your Support Plan
If we do not receive your quarterly statements or if concerns are raised about
how you are managing your account, your Personal Budget Direct Payment
will be reviewed. We may ask a third party to manage your Personal Budget
Direct Payment account on your behalf, or we may withdraw the payment and
offer a commissioned service in order to meet your needs.
6.
Review of the Personal Budget Direct Payment
We will complete an initial review of your Support Plan approximately 6 weeks
after the start of this agreement. After this we will review every year or more
often if needed.
You can request a review at any time if your child’s circumstances change or
you are not happy with your child’s Support Plan.
The review will determine whether the aims and assessed outcomes of your
child’s Support Plan are being met and whether there are changes to your
child’s eligible needs.
If your child’s assessed eligible needs change or there are changes in Council
policy, your Personal Budget Direct Payment may increase or decrease.
Changes may then have to be made to your child’s Support Plan. We will
give you four week’s notice if the payments we make to you decrease.
7.
Changes in circumstances
You should notify the Finance Team of any change in your child’s
circumstances that might affect Personal Budget Direct Payment e.g. change
of address, admission to hospital, or emergency placement.
If the emergency stay lasts more than 2 weeks we will temporarily suspend
your child’s Personal Budget Direct Payments. Employees’ rights will be
considered where appropriate. If your child stays in hospital for more than 4
weeks the Personal Budget Direct Payment will be ended. Please notify your
case manager and contact the Finance team dealing with Personal Budget
Direct Payments on 01225 396487 if hospitalisation exceeds 2 weeks.
On discharge from hospital your child’s care and Personal Budget allocation
may be reviewed and a new Personal Budget Direct Payment may be offered.
8.
If arrangements break down
If your child’s support arrangements break down it is your responsibility to
contact your child’s Case Manager as soon as possible.
If you no longer wish to continue with the Personal Budget Direct Payments
arrangement you should tell Finance as soon as possible. We will then end
the arrangement in accordance with the steps set out below.
9.
Ending the Agreement
We may terminate this agreement, following notice to you, and may require
you to repay the Personal Budget Direct Payment or any part of it, if:
 One or more of the terms and conditions of this Agreement are not
being met
 You or your Agent are using the money illegally
 You are not spending the budget not in accordance with your child’s
Support Plan
 Your child’s health or safety is at risk
 Some of your child’s eligible needs are not being met
 You are unable to provide us with adequate records on the money you
have spent on services
 You have told us that you no longer wish to continue the arrangement
 You are no longer capable of managing your child’s Personal Budget
Direct Payment even with support available to you
On termination of this Personal Budget Direct Payment agreement all surplus
funds held in the DP account will be returned to Bath and North East
Somerset Council, with the final bank statement, and any information
required. Your Personal Budget Direct Payment account should then be
closed.
10.
Comments, complaints, compliments
You have the right to comment or complain under the Council’s Complaints
Procedure about the operation of this agreement.
11. Information about you and Social Services
This agreement is between Bath and North East Somerset Council (referred
to in this Agreement as ‘we’ or ‘us’)
And
Name and address of the person receiving the Personal Budget Direct
Payment (referred to in this agreement as “you”)
P number:
And/Or
Name and address of
The person awarded the Personal Budget Direct Payment (i.e Child/young
person)
The person managing the Personal Budget Direct Payment on behalf of the
child/young person named above
.
My Personal Budget Direct Payment bank account details are as follows:
Name and P Number of PB User
Name and address of bank
Name of account holder
Sort Code
Bank account number
Signatures
I confirm that I understand and agree and will comply with the conditions
contained in this Agreement.
Signature of person receiving Personal Budget Direct Payments
Signed:
Date:
As the Agent managing the Personal Budget Direct Payment on behalf of the
person receiving the Personal Budget Direct Payment, I confirm that I
understand and agree and will comply with the conditions contained in this
Agreement.
Signature of Agent (the person/organisation) managing the
Personal Budget Direct Payment
Signed:
Date:
Name
Position:
Signature on behalf of Bath and North East Somerset Council
Signed:
Date:
Name
Position:
Please sign both copies of this Agreement and send them to:
Client Finance Team
Bath & North east Somerset Council
3rd Floor North
Riverside
Temple Street
Keynsham
BS31 1LA
CHECKLIST - for Council use
Support Plan
Agreement signed by Service User and DCT/Team Manager
Copy of signed Agreement sent to Service User
Copy of signed Agreement sent to Finance
This information about can be made available in a range of community languages,
large print, Braille, on tape, electronic and accessible formats from the Information
Officer (information_officer@bathnes.gov.uk) - Tel (01225 477983) Minicom
(01225 477043)
To notify any changes of circumstances, hospital admission, or any
break in continuity of services please call the Finance on: 01225 396487
or 01225 477262