Social Care Procurement – Contracts Monitoring Contracts Monitoring Framework Development Training and Support Session December 2007

Training and Support Session Agenda  Introduction  The Purpose of the Workshop  The New Contracts Monitoring Framework Context Components (Form A, Form B, Form C and Guidance Doc  Actions Based on Performance Level  Next steps

Introduction Introductions House keeping Fire exits & fire alarms Toilets Tea and Coffee Breaks Please complete the signing in sheet including Catalin Bogos – Contracts Monitoring Officer Bally Kaur - Contract Monitoring Officer Irena Hergottova - Equality and Diversity Officer

The Purpose of the Session Participants’ Expectations Please work in groups of three and list your expectations from this session Please report to all participants (only issues not listed)

The Purpose of the Session As part of the implementation of the new monitoring framework to provide an opportunity for service providers to be informed and receive guidance and support with regards to new monitoring procedures, requirements and new monitoring tools/forms. The Objectives of the Session Each participant to understand why the new monitoring framework was developed Each participant to understand how this new monitoring framework will be used Participants to receive support, guidance and advice

Let’s DRIVE

The New Contracts Monitoring Framework Context Walsall Council has a duty to monitor the services it purchases in order to meet the needs of vulnerable people. Between June 2006 and February 2007 we worked in partnership with a range of representatives to review how the contract monitoring function is performed and to develop a new contracts monitoring framework. The consultation process involved all service providers, feedback received from 71 service providers through forms and 25 participants to the consultation workshops The new Contract Monitoring Framework will compliment a range of existing monitoring functions Service users were also consulted about their input in the monitoring framework (34 responses out of 60 surveys distributed)

The New Contracts Monitoring Framework Context Activity Jun…NovDecJanFebMarApr A. Development of draft documents (Pj Development group) B. Consultation activity - Service users consultation - Service providers consultation - Consultation workshops 26 - Other professionals consultation C. Processed the consultation feedback D. Start the Pilot of the new framework

The New Contracts Monitoring Framework Plans Monitoring development – Pilot Stage April MayJuneJulyAugust 0. Production of the monitoring forms (v2) 1. Pilot working group (planning the pilot) Distribution of the version 2 of the forms 3. Training session for service provides part of the pilot 4. Reporting period (providers deliver service and gather monitoring information) - (one month?) SP 5. Time allocated to providers to gather documentary evidence and to process the information SP 6. Support monitoring visit or support monitoring visits 7. Development of visit questionnaire 8. Decided final version of the form Started phased implementation: November 2007

The New Contracts Monitoring Framework Components The new Contract Monitoring Framework has three main components that will be used to monitor contract compliance from qualitative and quantitative perspectives:  Form A - Quality Self Assessment Monitoring Form - A (i) and A (ii)  Form B - Annual Contract Monitoring Form  Form C - Quarterly Contract Monitoring Form The Contract Monitoring Framework Guidance describes the information requested on each form.

The New Contracts Monitoring Framework Form A - Quality Self Assessment Monitoring Form - A (i) and A (ii) - Has two components: Form A (i) - the reporting form and Form A (ii) - the supporting document - Is a self assessment form - Is used for gathering qualitative information - Reporting frequency: ANNUALLY (or more frequently depending on performance level)

The New Contracts Monitoring Framework Form A - Quality Self Assessment Monitoring Form - A (i) and A (ii) - seven main quality areas: Needs and risk assessment Care planning Security, health and safety Protection from abuse Complaints Confidentiality Fair access, diversity and inclusion Each quality area is broken down into four different quality levels: Level D - the service does not currently meet the required standard, and an action plan needs to be agreed and implemented as soon as possible in order to reach level C. Level C - the service meets the required minimum standard but there is scope for improvement. A timetable for working towards level B should be agreed. Level B – shows good practice in providing the service. The service provider should work towards reaching Level A. Level A – excellent service that includes mechanism for continuous improvement.

N/A YES N/A YES N/A YES

N/A YES N/A YES N/A YES NO

The New Contracts Monitoring Framework Form B - Annual Contract Monitoring Form - Is used to gather general information regarding the contracted service, service delivered, capacity and staffing levels - Reporting frequency: ANNUALLY

The New Contracts Monitoring Framework Form C - Quarterly Contract Monitoring Form - Is used to gather specific information regarding the contracted service, service delivered, capacity and staffing levels. - Reporting frequency: QUARTERLY

Actions Based on Performance Level CSCI rating level Frequency of CSCI inspections Degree of targets achievement and risk assessment Contracts Monitoring action A 4-star ‘excellent’ service Once every three years OK Select randomly one service provider to visit each year Risk or shortfall identified Action plan (i.e. send the quality assessment form, agree remedial action) Monitoring of the action plan (desktop) A 3-star ‘good’ service Once every two years OK Quality assessment yearly (no visit) Risk or shortfall identified Action plan (assessment of compliance against action plan on a desktop basis. If compliance not evident a themed monitoring visit may follow) A 2-star ‘adequate’ service Once every year OK Quality assessment yearly (no visit). Risk or shortfall identified Assessment of shortfalls Themed Monitoring visit may be conducted Action plan Monitoring of the action plan (desktop) A 1-star ‘poor’ service Two inspections per year or more Risk or shortfall identified Quality assessment yearly. Comprehensive validation visit and Action plan. Monitoring of the action plan (desktop or themed validation visit) A. Services regulated by CSCI

Actions Based on Performance Level B. Services not regulated by CSCI Service provider self assessment quality level Degree of targets achievement and Risk assessment Contracts Monitoring action Level A - ‘excellent’ service OK Select randomly a service to visit each year Risk or shortfall identified Action plan (agree remedial action) Monitoring of the action plan (desktop) Level B - ‘good’ service OK Quality assessment yearly (no visit) Risk or shortfall identified Action plan (agree remedial action) Themed validation visit Action plan monitored on a desktop basis Level C - ‘adequate’ service OK Quality assessment yearly (no visit) Risk or shortfall identified Comprehensive validation visit Action plan Action plan monitoring (desktop or themed validation visit) Level D - ‘poor’ service Risk or shortfall identified Comprehensive validation visit Action plan Action plan monitoring (desktop and themed validation visit)

Actions Based on Performance Level Degree of targets achievement and Risk assessment CategoryDescription OK For the previous 12 months all of the following need to be positive in order to reach the OK status: – not substantiated or upheld concerns – not upheld or partially upheld Adult/Child protection matters – not upheld or partially upheld Complaints – no adverse performance data / activity reported – no current contract restrictions/suspensions – no known adverse operational or commissioning issues – no adverse information from regulator (e.g. CSCI) – regulated services’ self assessment quality level above minimum required Risk or shortfall identified If any of the above condition is negative the service provider will be seen as being at potential risk/shortfall

Next steps Activity 2007 NovDecJanFebMar AprMayJunJulAugSepOctDec A. Training and support sessions B. Service provision and data gathering C. Reporting Forms A, B and C D. Service provision and data gathering E. Reporting Form C (only) F. Service provision and data gathering E. Reporting Form C (only) Etc. Actions based on performance

Q. & A.