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49 Sections 47 and 48: supplementary

(1) An authority becomes subject to the duty under section 47(2) or 48(3) as soon
as it becomes aware of the business failure.

(2) Section 8 (how to meet needs) applies to meeting needs under section 47(2) or
548(3) as it applies to meeting needs under section 18.

(3) In deciding how to meet an adult’s needs for care and support under section
47(2) or 48(3), an authority must involve—

(a) the adult,

(b) any carer that the adult has, and

(c) 10any person whom the adult asks the authority to involve or, where the
adult lacks capacity to ask the authority to do that, any person who
appears to the authority to be interested in the adult’s welfare.

(4) In deciding how to meet a carer’s needs for support under section 47(2), an
authority must involve—

(a) 15the carer, and

(b) any person whom the carer asks the authority to involve.

(5) In carrying out the duty under subsection (3)(a) or (4)(a), an authority must
take all reasonable steps to reach agreement with the adult or carer about how
it should meet the needs in question.

(6) 20Sections 21 to 23 (exceptions to duty to meet needs) apply to meeting needs
under sections 47(2) and 48(3) as they apply to meeting needs under section 18.

(7) Where an adult whose case comes within section 47 is being provided with
NHS continuing healthcare under arrangements made by a clinical
commissioning group no part of whose area is in the local authority’s area, the
25group is to be treated as a relevant partner of the authority for the purposes of
sections 6 and 7.

(8) NHS continuing healthcare” is to be construed in accordance with standing
rules under section 6E of the National Health Service Act 2006.

(9) Where a local authority considers it necessary to do so for the purpose of
30carrying out its duty under section 47(2) or 48(3), it may request the registered
care provider, or such other person involved in the provider’s business as it
considers appropriate, to provide it with specified information.

(10) Regulations must make provision as to the interpretation for the purposes of
sections 47 and 48 and this section of references to business failure or to being
35unable to do something because of business failure; and the regulations may,
in particular, specify circumstances in which a person is to be treated as unable
to do something because of business failure.

Market oversight

50 Specifying criteria for application of market oversight regime

(1) 40Regulations must specify criteria for determining whether (subject to
regulations under subsection (4)) section 52 (financial sustainability
assessment) applies to a registered care provider who is registered in respect
of the carrying on of a regulated activity relating to the provision of social care
for adults.

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(2) In specifying the criteria, the Secretary of State must have regard to the
following in particular—

(a) the amount of social care provided by a registered care provider,

(b) the geographical concentration of a registered care provider’s business,

(c) 5the extent to which a registered care provider specialises in the
provision of particular types of care.

(3) The Secretary of State must—

(a) at such times as the Secretary of State considers appropriate, review the
criteria for the time being specified in the regulations, and

(b) 10publish information about how the matters mentioned in subsection
(2), and any other matters to which the Secretary of State has regard in
specifying the criteria, are to be measured.

(4) Regulations may provide that section 52 does not apply, or applies only to the
extent specified, to a specified registered care provider or to a registered care
15provider of a specified description, regardless of whether that provider or a
provider of that description would satisfy the criteria.

(5) Regulations may provide that section 52 applies, or applies to the extent
specified, to a specified registered care provider or to a registered care provider
of a specified description, regardless of whether that provider or a provider of
20that description would satisfy the criteria.

(6) The circumstances in which regulations may be made under subsection (4)
include those in which the Secretary of State is satisfied that certain registered
care providers are already subject to a regulatory regime comparable to that
provided for by sections 52 and 53; and regulations made in such
25circumstances may, for example, make provision requiring specified persons
to co-operate or to share information of a specified description.

(7) “Social care” has the same meaning as in Part 1 of the Health and Social Care
Act 2008.

51 Determining whether criteria apply to care provider

(1) 30The Care Quality Commission must determine, in the case of each registered
care provider, whether the provider satisfies one or more of the criteria
specified in regulations under section 50.

(2) If the Commission determines that the provider satisfies one or more of the
criteria, section 52 applies to that provider unless, or except in so far as,
35regulations under section 50(4) provide that it does not apply.

(3) Where section 52 applies to a registered care provider (whether as a result of
subsection (2) or as a result of regulations under section 50(5)), the Commission
must inform the provider accordingly.

52 Assessment of financial sustainability of care provider

(1) 40Where this section applies to a registered care provider, the Care Quality
Commission must assess the financial sustainability of the provider’s business
of carrying on the regulated activity in respect of which it is registered.

(2) Where the Commission, in light of an assessment under subsection (1),
considers that there is a significant risk to the financial sustainability of the
45provider’s business, it may—

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(a) require the provider to develop a plan for how to mitigate or eliminate
the risk;

(b) arrange for, or require the provider to arrange for, a person with
appropriate professional expertise to carry out an independent review
5of the business.

(3) Where the Commission imposes a requirement on a care provider under
subsection (2)(a), it may also require the provider—

(a) to co-operate with it in developing the plan, and

(b) to obtain its approval of the finalised plan.

(4) 10Where the Commission arranges for a review under subsection (2)(b), it may
recover from the provider such costs as the Commission incurs in connection
with the arrangements (other than its administrative costs in making the
arrangements).

(5) Regulations may make provision for enabling the Commission to obtain from
15such persons as it considers appropriate information which the Commission
believes will assist it to assess the financial sustainability of a registered care
provider to which this section applies.

(6) Regulations may make provision about the making of the assessment required
by subsection (1).

(7) 20The Commission may consult such persons as it considers appropriate on the
method for assessing the financial sustainability of a registered care provider’s
business; and, having done so, it must publish guidance on the method it
expects to apply in making the assessment.

53 Informing local authorities where failure of care provider likely

(1) 25This section applies where the Care Quality Commission is satisfied that a
registered care provider to which section 52 applies is likely to become unable
to carry on the regulated activity in respect of which it is registered because of
business failure as mentioned in section 47 or 48.

(2) The Commission must inform the local authorities which it thinks will be
30required to carry out the duty under section 47(2) or 48(3) if the provider
becomes unable to carry on the regulated activity in question.

(3) Where the Commission considers it necessary to do so for the purpose of
assisting a local authority to carry out the duty under section 47(2) or 48(3), it
may request the provider, or such other person involved in the provider’s
35business as the Commission considers appropriate, to provide it with specified
information.

(4) Where (as a result of subsection (3) or otherwise) the Commission has
information about the provider’s business that it considers may assist a local
authority in carrying out the duty under section 47(2) or 48(3), the Commission
40must give the information to the local authority.

(5) Regulations may make provision as to the circumstances in which the
Commission is entitled to be satisfied for the purposes of subsection (1) that a
registered care provider is likely to become unable to carry on a regulated
activity.

(6) 45The Commission may consult such persons as it considers appropriate on the
methods to apply in assessing likelihood for the purposes of subsection (1);

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and, having carried out that consultation, it must publish guidance on the
methods it expects to apply in making the assessment.

54 Sections 51 to 53: supplementary

(1) For the purposes of Part 1 of the Health and Social Care Act 2008, the duties
5imposed on the Care Quality Commission under sections 51(1) and 52(1) are to
be treated as regulatory functions of the Commission.

(2) For the purposes of that Part of that Act, the doing by the Commission of
anything for the purpose of assisting a local authority to carry out the duty
under section 47(2) or 48(3) is to be treated as one of the Commission’s
10regulatory functions.

(3) For the purposes of sections 17 and 18 of that Act (cancellation or suspension
of registration under Part 1 of that Act), a requirement imposed on a registered
care provider under or by virtue of any of sections 51 to 53 (or by virtue of
subsection (1) or (2)) is to be treated as a requirement imposed by or under
15Chapter 6 of Part 1 of that Act.

(4) The Commission must, in exercising any of its functions under sections 51 to
53, have regard to the need to minimise the burdens it imposes on others.

Transition for children to adult care and support, etc.

55 Assessment of a child’s needs for care and support

(1) 20Where a local authority receives a request from a child or a parent or carer of a
child to assess the child’s needs for care and support and it appears to the
authority that the child is likely to have such needs after becoming 18, the
authority may, if it is satisfied that it would be of significant benefit to the child
to do so and if the consent condition is met, assess—

(a) 25whether the child has needs for care and support and, if so, what those
needs are, and

(b) whether the child is likely to have needs for care and support after
becoming 18 and, if so, what those needs are likely to be.

(2) An assessment under subsection (1) is referred to in this Part as a “child’s needs
30assessment”.

(3) Where the child makes the request mentioned in subsection (1), the consent
condition is met if the child has capacity or is competent to consent to a child’s
needs assessment being carried out.

(4) Where the child’s parent or carer makes the request mentioned in subsection
35(1), the consent condition is met if—

(a) the child has capacity or is competent to consent to a child’s needs
assessment being carried out and the child does so consent, or

(b) the child lacks capacity or is not competent so to consent but the
authority is satisfied that carrying out a child’s needs assessment
40would be in the child’s best interests.

(5) A local authority which decides not to comply with the request must give the
person who made the request—

(a) written reasons for its decision, and

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(b) information and advice about what can be done to prevent or delay the
development by the child of needs for care and support in the future.

(6) “Parent”, in relation to a child, includes—

(a) a parent of the child who does not have parental responsibility for the
5child, and

(b) a person who is not a parent of the child but who has parental
responsibility for the child.

(7) “Carer”, in relation to a child, means a person, other than a parent, who is
providing care for the child, whether or not under or by virtue of a contract or
10as voluntary work.

(8) The reference to providing care includes a reference to providing practical or
emotional support.

56 Child’s needs assessment: requirements etc.

(1) A child’s needs assessment must include an assessment of—

(a) 15the outcomes that the child wishes to achieve in day-to-day life,

(b) whether, and if so to what extent, the provision of care and support
could contribute to the achievement of those outcomes, and

(c) whether, and if so to what extent, other matters (including, in
particular, the child’s own capabilities and any support likely to be
20available to the child from friends, family or others after the child
becomes 18) could contribute to the achievement of those outcomes.

(2) A local authority, in carrying out a child’s needs assessment, must involve—

(a) the child,

(b) the child’s parents and any carer that the child has, and

(c) 25any person whom the child or a parent or carer of the child requests the
local authority to involve.

(3) Having carried out a child’s needs assessment, a local authority must give the
person who made the request mentioned in section 55(1)—

(a) an indication as to whether any of the needs for care and support which
30it thinks the child is likely to have after becoming 18 are likely to meet
the eligibility criteria (and, if so, which ones are likely to do so), and

(b) advice and information about—

(i) what can be done to meet or reduce the needs which it thinks
the child is likely to have after becoming 18;

(ii) 35what can be done to prevent or delay the development by the
child of needs for care and support in the future.

(4) Where a person to whom a child’s needs assessment relates becomes 18, the
local authority must decide whether to treat the assessment as a needs
assessment; and if the authority decides to do so, this Part applies to the child’s
40needs assessment as if it were a needs assessment that had been carried out
after the person had become 18.

(5) In considering what to decide under subsection (4), a local authority must have
regard to—

(a) when the child’s needs assessment was carried out, and

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(b) whether it appears to the authority that the circumstances of the person
to whom the child’s needs assessment relates have changed in a way
that might affect the assessment.

(6) “Parent” and “carer” each have the same meaning as in section 55.

57 5Assessment of a child’s carer’s needs for support

(1) Where a local authority receives a request from a carer of a child receiving
services to assess the carer’s needs for support and it appears to the authority
that the carer is likely to have such needs after the child becomes 18, the
authority must, if it is satisfied that it would be of significant benefit to the carer
10to do so, assess—

(a) whether the carer has needs for support and, if so, what those needs
are, and

(b) whether the carer is likely to have needs for support after the child
becomes 18 and, if so, what those needs are likely to be.

(2) 15Where a local authority receives a request from a carer of a child who is not a
child receiving services to assess the carer’s needs for support and it appears
to the authority that the carer is likely to have such needs after the child
becomes 18, the authority may, if it is satisfied that it would be of significant
benefit to the carer to do so, assess—

(a) 20whether the carer has needs for support and, if so, what those needs
are, and

(b) whether the carer is likely to have needs for support after the child
becomes 18 and, if so, what those needs are likely to be.

(3) An assessment under subsection (1) or (2) is referred to in this Part as a “child’s
25carer’s assessment”.

(4) A local authority which decides not to comply with the request mentioned in
subsection (1) or (2) must give the carer who made the request—

(a) written reasons for its decision, and

(b) information and advice about what can be done to prevent or delay the
30development by the carer of needs for support in the future.

(5) “Child receiving services” means a child—

(a) for whom, or for whose family or for a member of whose family,
services are being provided under section 17 of the Children Act 1989,

(b) for whom services are being provided under arrangements made
35under section 2 of the Chronically Sick and Disabled Persons Act 1970
(welfare services),

(c) for whom services are being provided under section 117 of the Mental
Health Act 1983 (after-care services),

(d) for whom care is being provided under arrangements made under
40paragraph 1 of Schedule 20 to the National Health Service Act 2006
(care of mothers), or

(e) for whom, or for whose family or for a member of whose family,
services are being provided under such enactment as may be specified
in regulations.

(6) 45“Carer”, in relation to a child, means an adult (including one who is a parent of
the child, with “parent” having the meaning given in section 55) who provides
or intends to provide care for the child (but see subsection (7)).

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(7) An adult is not a carer for the purposes of this section if the adult provides or
intends to provide care—

(a) under or by virtue of a contract, or

(b) as voluntary work.

(8) 5But in a case where the local authority considers that the relationship between
the child and the adult providing or intending to provide care is such that it
would be appropriate for the adult to be regarded as a carer, the adult is to be
regarded as such (and subsection (7) is therefore to be ignored in that case).

(9) The references to providing care include a reference to providing practical or
10emotional support.

58 Child’s carer’s assessment: requirements etc.

(1) A child’s carer’s assessment must include an assessment of—

(a) whether the carer is able to provide care for the child and is likely to
continue to be able to do so after the child becomes 18,

(b) 15whether the carer is willing to do so and is likely to continue to be
willing to do so after the child becomes 18,

(c) the impact on the matters specified in section 1(2) of what the carer’s
needs for support are likely to be after the child becomes 18,

(d) the outcomes that the carer wishes to achieve in day-to-day life,

(e) 20whether, and if so to what extent, the provision of support could
contribute to the achievement of those outcomes, and

(f) whether, and if so to what extent, other matters (including, in
particular, the carer’s own capabilities and any support likely to be
available to the carer from friends, family or others after the child
25becomes 18) could contribute to the achievement of those outcomes.

(2) A local authority, in carrying out a child’s carer’s assessment, must have
regard to—

(a) whether the carer works or wishes to do so, and

(b) whether the carer is participating in or wishes to participate in
30education, training or recreation.

(3) A local authority, in carrying out a child’s carer’s assessment, must involve—

(a) the carer, and

(b) any person whom the carer asks the local authority to involve.

(4) Having carried out a child’s carer’s assessment, a local authority must give the
35person who made the request mentioned in section 57(1) or (2)—

(a) an indication as to whether any of the needs for support which it thinks
the carer is likely to have after the child becomes 18 are likely to meet
the eligibility criteria (and, if so, which ones are likely to do so), and

(b) advice and information about—

(i) 40what can be done to meet or reduce the needs which it thinks
the carer is likely to have after the child becomes 18;

(ii) what can be done to prevent or delay the development by the
carer of needs for support in the future.

(5) “Carer” has the same meaning as in section 57.

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59 Power to meet child’s carer’s needs for support

(1) Where a local authority, having carried out a child’s carer’s assessment, is
satisfied that the carer has needs for support, it may meet such of those needs
as it considers appropriate.

(2) 5Regulations may make provision in connection with the exercise of the power
under subsection (1); the regulations may, in particular, provide for provisions
of this Part to apply with such modifications as may be specified.

(3) In deciding whether or how to exercise the power under subsection (1), a local
authority must have regard to any services being provided to the carer under
10section 17 of the Children Act 1989.

60 Assessment of a young carer’s needs for support

(1) Where a local authority receives a request from a young carer or a young
carer’s parent to assess the young carer’s needs for support and it appears to
the authority that the young carer is likely to have such needs after becoming
1518, the authority may, if it is satisfied that it would be of significant benefit to
do so and if the consent condition is met, assess—

(a) whether the young carer has needs for support and, if so, what those
needs are, and

(b) whether the young carer is likely to have needs for support after
20becoming 18 and, if so, what those needs are likely to be.

(2) An assessment under subsection (1) is referred to in this Part as a “young
carer’s assessment”.

(3) Where the young carer makes the request mentioned in subsection (1), the
consent condition is met if the young carer has capacity or is competent to
25consent to a young carer’s assessment being carried out.

(4) Where the young carer’s parent makes the request mentioned in subsection (1),
the consent condition is met if—

(a) the young carer has capacity or is competent to consent to a young
carer’s assessment being carried out and the young carer does so
30consent, or

(b) the young carer lacks capacity or is not competent so to consent but the
authority is satisfied that carrying out a young carer’s assessment
would be in the young carer’s best interests.

(5) If a local authority decides not to comply with the request, it must give the
35person who made the request—

(a) written reasons for its decision, and

(b) advice and information about what can be done to prevent or delay the
development by the young carer of needs for support in the future.

(6) “Young carer” means a person under 18 who provides or intends to provide
40care for an adult (but see subsection (8)).

(7) “Parent” has the same meaning as in section 55.

(8) A person is not a young carer for the purposes of this section if the person
provides or intends to provide care—

(a) under or by virtue of a contract, or

(b) 45as voluntary work.

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(9) But in a case where the local authority considers that the relationship between
the adult and the person under 18 providing or intending to provide care is
such that it would be appropriate for the person under 18 to be regarded as a
young carer, that person is to be regarded as such (and subsection (8) is
5therefore to be ignored in that case).

(10) The references to providing care include a reference to providing practical or
emotional support.

61 Young carer’s assessment: requirements etc.

(1) A young carer’s assessment must include an assessment of—

(a) 10whether the young carer is able to provide care for the person in
question and is likely to continue to be able to do so after becoming 18,

(b) whether the young carer is willing to do so and is likely to continue to
be willing to do so after becoming 18,

(c) the impact on the matters specified in section 1(2) of what the young
15carer’s needs for support are likely to be after the young carer becomes
18,

(d) the outcomes that the young carer wishes to achieve in day-to-day life,

(e) whether, and if so to what extent, the provision of support could
contribute to the achievement of those outcomes, and

(f) 20whether, and if so to what extent, other matters (including, in
particular, the young carer’s own capabilities and any support likely to
be available to the young carer from friends, family or others after the
young carer becomes 18) could contribute to the achievement of those
outcomes.

(2) 25A local authority, in carrying out a young carer’s assessment, must have regard
to—

(a) whether the young carer works or wishes to work (or is likely to wish
to do so after becoming 18),

(b) whether the young carer is participating in or wishes to participate in
30education, training or recreation (or is likely to wish to do so after
becoming 18).

(3) A local authority, in carrying out a young carer’s assessment, must involve—

(a) the young carer,

(b) the young carer’s parents, and

(c) 35any person whom the young carer or a parent of the young carer
requests the authority to involve.

(4) Having carried out a young carer’s assessment, a local authority must give the
person who made the request mentioned in section 60(1)—

(a) an indication as to whether any of the needs for support which it thinks
40the young carer is likely to have after becoming 18 are likely to meet the
eligibility criteria (and, if so, which ones are likely to do so), and

(b) advice and information about—

(i) what can be done to meet or reduce the needs for support which
it thinks the young carer is likely to have after becoming 18;

(ii) 45what can be done to prevent or delay the development by the
young carer of needs for support in the future.

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(5) Where a person to whom a young carer’s assessment relates becomes 18, the
local authority must decide whether to treat the assessment as a carer’s
assessment; and if the authority decides to do so, this Part applies to the young
carer’s assessment as if it were a carer’s assessment that had been carried out
5after the person had become 18.

(6) In considering what to decide under subsection (5), a local authority must have
regard to—

(a) when the young carer’s assessment was carried out, and

(b) whether it appears to the authority that the circumstances of the person
10to whom the young carer’s assessment relates have changed in a way
that might affect the assessment.

(7) “Young carer” and “parent” each have the same meaning as in section 60.

62 Assessments under sections 55 to 61: further provision

(1) Regulations under section 12—

(a) 15may make such provision about carrying out a child’s needs
assessment as they may make about carrying out a needs assessment;

(b) may make such provision about carrying out a child’s carer’s
assessment or a young carer’s assessment as they may make about
carrying out a carer’s assessment.

(2) 20A local authority may combine a child’s needs assessment with a child’s
carer’s assessment only if—

(a) the child has capacity or is competent to agree to a combined
assessment and the child and the carer do so agree, or

(b) the child lacks capacity or is not competent so to agree but—

(i) 25the local authority is satisfied that a combined assessment
would be in the child’s best interests, and

(ii) the carer agrees to a combined assessment.

(3) A local authority may combine a young carer’s assessment with a needs
assessment in respect of an adult only if—

(a) 30the young carer has capacity or is competent to agree to a combined
assessment and the young carer and the adult do so agree, or

(b) the young carer lacks capacity or is not competent so to agree but—

(i) the authority is satisfied that a combined assessment would be
in the young carer’s best interests, and

(ii) 35the adult agrees to a combined assessment.

(4) Where a local authority is carrying out a child’s needs assessment, a child’s
carer’s assessment or a young carer’s assessment, and there is some other
assessment being or about to be carried out in the case of the person to whom
the assessment relates or (where applicable) of any carer the person has, the
40local authority may carry out that other assessment—

(a) on behalf of or jointly with the body responsible for carrying it out, or

(b) if that body has arranged to carry out the other assessment jointly with
another person, jointly with that body and the other person.

(5) A reference to an assessment includes a reference to part of an assessment.

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