Department of Health THIRD SECTOR PARTNERSHIP TEAM THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Why is this work being undertaken? Many small organisations are not subject to any standards and do not fall within the remit currently covered by health and social care regulators.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Why is this work being undertaken? An organisation may have very good outcomes but there may be hidden problems around organisational structures and governance The majority of small businesses fail because they do not manage their business as well as they deliver their services.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT What is Governance? Governance is concerned with the way in which your organisation’s governing body carries out its responsibilities. Governance encompasses the values, processes, controls and rules of accountability at the heart of your organisation - the means through which your organisation makes decisions and exercises power to achieve its objectives

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Why is this work being undertaken? There is no accepted measure that enables commissioners to assess the safety of TSOs.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Aim of TSBES To develop a set of baseline standards that commissioners will recognise as evidence of competency and ‘fitness for purpose'

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT TSBES Objectives are to: Develop a set of ‘field tested’ standards that will present an opportunity for the Third Sector to demonstrate existing skills and professionalism and an evidence base to platform the Third Sector’s particular strengths.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT How is the work being undertaken? Field testing the standards with Third Sector organisations, service users and commissioners.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT How TSBES Relates to Sustainability Provides a baseline measure of competency that will: Support local commissioners in assessing organisations that fall outside the scope of CQC (and other regulators) and who are new entrants into the commissioning process

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT How TSBES Relates to Sustainability Provides a baseline measure of competency that will: Facilitate ongoing assurance with regard to contract (and grant) management of Third and independent sector service provision.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Standards Categories (Phase 2 Pilot) 1.Management of Risk 2.Governance 3.Equality, Diversity and Anti-Stigma 4.Partnership Working 5.Service User Focus

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT STAGE 3 TSBES EVALUATOR TO  TSBE STANDARDS (including best practice reference sources and web based toolkit links)  QUESTIONNAIRE TO RATE TSBES COMPLIANCE  ORGANISATIONAL PROFILE Taking a profile of each organisation enables us to identify commonalities from like to like organisations when we evaluate and compare results. It will not be possible to identify organisations from information provided in the final report. STAGE 5 COMPLETE PILOT SESSION WITH PARTICIPATING ORGANISATION Compliance rating and evaluation session with the evaluator on site (approx 3 hours) Local infrastructure organisation to be present (where possible) to support the development and requirements of an action plan STAGE 6 POST PILOT EVALUATION of TSBES process Two weeks following pilot STAGE 1 PARTICIPATION IN TSBES AGREED BY ORGANISATION THROUGH SELF SELECTION PROCESS STAGE 2 ENGAGE LOCAL INFRASTRUCTURE SUPPORT ORGANISATION (WHERE AVAILABLE) IN THE PILOT PROCESS. This will be of particular help where an action plan is to be developed. STAGE 4  ORGANISATIONAL PROFILE RETURNED  SET DATES FOR PILOT EVALUATION (on site session)

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT 1.Management of Risk Working practices and procedures are in place to prevent or reduce the risk of harm to service users, staff and others. StandardsEvidences MET PART MET UN MET PIPIPI STANDARD C3 Organisations should demonstrate: a)That staff (employees and volunteers, temporary and permanent) have a knowledge of and adhere to Vulnerable Adults and Child Protection policy and Procedures E12 Staff members have received training to ensure practice complies with Vulnerable Adults and Child Protection policies and this is recorded E13 Systems are in place to: a)identify incidents and circumstances where the welfare of children and vulnerable adults may be at risk and this is recorded a)Ensure that the procedures to protect children and vulnerable adults are carried out in a timely and co-ordinated manner and are in line with Local Authority guidance. a)A knowledge and understanding of information sharing arrangements around child protection and vulnerable adults E14 Information sharing policies and procedures are in line with Local Authority child protection and vulnerable adults policies

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Evaluating the Standards 1) The Standard and the evidences are clear and easy to understand: Yes Not at all I I I 1 a) If Q1 is rated please say why:

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Evaluating the Standards 3) The organisation will be able to meet the standard in the future: 3 a) Please say why: Easily Reasonably easily With difficulty With great difficulty Not at all

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Evaluating the Standards 2) The information required to provide evidence for the standard will be: 2 a) Please say why: Easy to collect Reasonably easy to collect Quite difficult to collect Very difficult to collect Not possible to collect

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT

Opportunities and Challenges Trustee involvement Support to develop compliance Strengthening the sector – evidence of achievement Commissioner confidence Extending the assurance and accreditation framework Securing the provision of local services Standardisation of commissioning and reporting processes

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT The Revised Standards 1.Working Safely and Protecting Others 2.Effective Management and Accountability 3.Valuing Workers and People Within The Service 4.Partnership Working 5.Focussing on People That Use The Service

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Standard 2.1 Governance structures are open, accountable and directed to achieving the aims of the organisation in the best possible way PROCESS POINT Process DescriptionExamples of Evidences (Evidences highlighted in bold are mandatory) METUNME T E2.1.3There are clear lines of accountability to the Board and Chief Executive Officer / senior manager or other accountable person  Organisational chart AND  Job descriptions for chair, secretary, treasurer and trustees, officers and paid staff E2.1.4There is a clear management structure for all workers outlining roles and responsibilities. This is communicated to all workers at induction and changes are circulated as they arise.  Organisational chart AND  Induction records AND  Workers (paid and unpaid) updates E2.1.5A mission or vision statement has been developed with people that use the service, trustees, workers (paid and unpaid) and other key stakeholders  A mission / vision statement is included on all publicity and documents AND  Records of consultation meetings E2.1.6The organisation’s aims, objectives, policies and procedure of are consistent with the mission / vision statement. In responding to the day-to-day management of an organisation, it is easy to make revisions to policy and procedure that can conflict with the stated mission or vision. Service information and publicity AND  Service development plans AND  Records of planning meetings AND  Records that aims, objectives, policy and procedure has been mapped against the mission / vision statement.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Standard 5.1 People that use the organisation are informed and consulted about the service. Their views are listened to and acted upon. PROCESS POINT Process DescriptionExamples of Evidences (Evidences highlighted in bold are mandatory) METUNME T E5.1.1People using services receive information about the organisation in a form they can easily understand, to include: 1.The aims and ethos of the service 2.What they can expect to receive from the service 3.How and where this will be delivered  Advertising material – posters, leaflets etc is suitable for all potential service users. AND  Literature provided to people using services with: - clear description of services offered and - what people using the service can expect at all stages of care / support AND  List of places and resources where such information is available. E5.1.2People using services are consulted and fully involved in decisions about all aspects of their care and the services they receive and this is noted in all documents that record the planning; delivery and co-ordination of care.  Literature provided to people using services AND  Service user case files AND  Care plans / action plans E5.1.3People using services, relatives and carers and significant others (in the view of the service user) are encouraged to express their preferences, and supported to make choices and shared decisions about their own care/ support.  Literature provided to people using services AND  Service user case files AND  Care plans / action plans

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Rating compliance with the TSBE Standards provides a health check for your organisation. Low compliance does not signify a lack of commitment amongst workers, nor does it mean that outcomes for people using your organisation are less than high.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Rating compliance with the TSBE Standards provides a health check for your organisation. However, it may show areas where your organisation’s structures and systems are unsafe. And in the face of a challenging situation or circumstance, you may not have the policies and procedures in place to provide a timely and appropriate response.

Department of Health THIRD SECTOR BASELINE ENTRY STANDARDS (TSBES) PHASE 2 PILOT Developing an Action Plan. The results of your standards health check will give you a ‘to do’ list which can be prioritised to give you an action plan. The actions you need to take to reach compliance are often relatively straightforward to put in place. There is no area covered by the standards where ‘the wheel has not already been invented’.