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					  LEICESTER CITY COUNCIL SUPPORTING PEOPLE TEAM

                 CONTRACT MANAGEMENT FRAMEWORK
                      DRAFT FOR CONSULTATION MARCH 2007


INTRODUCTION ................................................................................................... 1
PURPOSE OF THE CONTRACT MANAGEMENT FRAMEWORK........... 1
MEETINGS/VISITS/DOCUMENT SUBMISSIONS ........................................ 3
  Contract Meetings .............................................................................................. 3
  Document Submission / Action Plans / Default Framework /
  Termination .......................................................................................................... 3
LEVEL 1 – RISK ASSESSMENT ....................................................................... 4
  Accreditation ........................................................................................................ 5
  Performance Indicators ..................................................................................... 5
  Insurance Check................................................................................................. 6
  QAF Self-Assessment ....................................................................................... 6
  Annual Reports ................................................................................................... 7
  Other Agencies’ Inspection/Review Reports ............................................... 7
  Commendations / Complaints ......................................................................... 8
  Serious Incidents ................................................................................................ 8
LEVEL 2 – QUALITY ASSURANCE ................................................................. 9
  Service User/Staff/Other Stakeholder Feedback ........................................ 9
  QAF Validation .................................................................................................... 9
LEVEL 3 – CONTRACT / STRATEGIC REVIEW ........................................ 11
  Contract Review ............................................................................................... 11
  Strategic Review............................................................................................... 12
EXCEPTIONS FROM THE FULL FRAMEWORK........................................ 13
  Jointly Commissioned Services .................................................................... 13
  Small Providers ................................................................................................. 13
Appendix A ............................................................................................................ 14
  Current QAF Objectives.................................................................................. 14

Please visit our website www.leicester.gov.uk/supportingpeople to provide feedback
on this consultation document.

This is the full version of our proposals. A shorter version of our plans outlining what
we see as the basic principles is also available on the website and you may, if you
wish, feed back on the shorter document instead of, or as well as, the full version.

The consultation closes on 21st April 2007.
INTRODUCTION

Under the Supporting People Interim Contract, contract management was essentially
undertaken using a series of tools provided by the then Office of the Deputy Prime
Minister. Since moving to steady state however, contract management now needs to
take a more localised approach and the Supporting People Programme Grant
Conditions for 2006/07 require that “…. Arrangements are in place so that each
Supporting People service is routinely monitored for contract compliance and
acceptable performance and quality”.

More importantly than that however, is the need to make sure the best possible
services are provided to the people that need them, in the right place, at the right
time and for an affordable amount of money.

This document describes proposals for a Contract Management Framework in
Leicester.


PURPOSE OF THE CONTRACT MANAGEMENT FRAMEWORK
This framework describes the activities, and their purpose, that the Supporting
People Team may carry out in order to monitor the contracts held with its service
providers.

The overall purpose of Contract Management is:
    to ensure that services are being provided in accordance with the agreed
      specifications;
    to identify good practice and areas for improvement;
    to support proposals for change in service delivery;
    to ensure fair access to all Supporting People funded services;
    to inform the decision whether a contract should be extended/re-let at the end
      of its term; and
    to gather data to inform wider sector or strategic reviews.

This framework includes components that are specific to Supporting People
providers, as well as elements that are required either legally or by City Council
Corporate Standards. Naturally, procedures back up all the components and not all
components will necessarily be applied to every contract.

Wherever suitable, other agencies’ regulatory reports, inspections, and reviews will
be used to support this framework.

The framework comprises 3 levels of data collection and analysis that will generally
follow a cycle, with meetings, document submissions, action planning, default, and
termination sitting to one side but being available during any or all of the three levels.
The route into the cycle is through successful tender or moving from an interim to a
steady state contract. Once inside the cycle, risk assessments and quality
assessments will be carried out continually during day-to-day contract management
and these will in turn inform the contract review.


Contract Management Framework Consultation March 07                                      1
THE CONTRACT MANAGEMENT CYCLE

                         Initial Contract Award




                CONTRACT MANAGEMENT FRAMEWORK




                       LEVEL 1
                       Risk Assessment




                                                        Meetings; Visits;
                       LEVEL 2                          Document
                       Quality Assurance                Submissions;
                                                        Action Plans /
                                                        Default Framework




                       LEVEL 3
                       Contract /
                       Strategic Review




           Re-tender                              Decommission




Contract Management Framework Consultation March 07                         2
MEETINGS/VISITS/DOCUMENT SUBMISSIONS

For every level of the Contract Management Framework, we will collect data through
meetings, and/or visits, and/or document submission.

Visits and meetings afford the opportunity to discuss issues face-to-face and to
obtain a first-hand view of the operation of the service. A key proposed development
is to have an ongoing series of meetings with either the contract or service manager
to help facilitate this.

Contract Meetings
Purpose
This will give our contract officers a chance to understand the basis behind the other
information collected. It will also allow us to respond to unexpected events or
suggestions for improvements or changes to the service. As with all other
information, it will allow us to revise our risk assessment of the service. This will also
give an opportunity to agree a standardised set of information to be fed back to
service users and prospective service users. This will cover the findings from the first
two stages of this framework, including a summary of any agreed action plan.

What we did under the interim contract
We talked to the service manager in a planned manner at the point of a service
review. We also discussed issues or emergencies on an ad hoc basis when / if they
arose. We asked providers to share key information from a review with service
users, but did not agree a standard method to do this.

What we want to do
We propose meeting with every contract contact and/or service manager at a
frequency depending upon the assessment of the service risk, and to respond to
unexpected events or suggestions for improvements or changes to the service. The
meeting will follow a defined format, essentially building on the data collected
throughout the duration of the contract up to the date of the meeting. We propose
that these planned meetings will be no more frequent than 6 months apart for the
highest risk services, to no less frequent than once every 3 years. We will still
continue to discuss issues or emergencies as they arise.

We will also want to agree a standard summary of information discussed at this
meeting for sharing with people who use or may want to use the service in the future.
This will cover all the main headings within this framework and a summary, in plain
English, of any major agreed actions from the meeting.

Document Submission / Action Plans / Default Framework /
Termination
Purpose
This area looks at ways to confirm, action plan and monitor solutions to any
significant risks suggested elsewhere in this framework. It allows us to intervene
should there be a very serious and immediate risk to staff or service users.


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What we did under the interim contract
In the first instance we talked with the service concerned and tried to resolve any
problems, using agreed action plans as necessary. If this was unsuccessful, then
contract defaults were considered. As part of our existing risk management (at point
of service review), we had the option to increase the frequency of document
submissions, such as performance monitoring information.

The contract outlines some extreme circumstances where the contract could be
terminated without a service review.

What we want to do
We propose no change to the current approach.


LEVEL 1 – RISK ASSESSMENT

Level 1 is the collection and analysis of baseline information that either demonstrates
compliance with basic requirements, shows organisational self-awareness, or
comprises performance data as required under the terms of the contract. The
purpose of collecting this information is to determine the overall risk of the service,
which in turn should determine how often the service is visited for quality assurance
purposes by the SP Team.

The components of Level 1 are:
    Accreditation
    Performance Data (inc Client Record Forms)
    Insurance Check
    QAF Self-assessment
    Annual Reports
    Other Agencies’ Inspection Reports
    Complaints/Commendations
    Serious Incidents

The SP Team will also consider information received primarily for other purposes,
such as service user subsidy request forms, along with the contract value and
capacity of the service.




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Accreditation
Purpose
Accreditation is the process that ensures provider organisations are fit to hold a
contract with the Supporting People Team. It includes a measure of financial
viability, organisational structure and governance, and feedback from a number of
stakeholders.

What we did under the interim contract
We chose to defer accreditation until after the interim contract stage.

What we want to do
Once accredited, the intention is for organisations to be deemed to be fit for the
duration of the length of the contract or the longest of all contracts it holds with the
Supporting People programme, up to a maximum period of 3 or 5 years, depending
upon whether a service provides short-term or long term support.

We intend for organisations to continue to be passported through a number of the
accreditation requirements, including where accreditation has been granted in
another regional Local Authority.

Performance Indicators
Purpose
An appropriate range of performance data can illustrate how well a service is meeting
its contractual obligations as well as contributing to the programme’s strategic
objectives, and highlight strengths and weaknesses. Over time, data trends can be
used to assess performance over entire sectors.

What we did under the interim contract
We collected information on the following items, via a nationally developed
performance indicator workbook (PIW):
   KPI1 Service users who are supported to establish and maintain independent
          living
   KPI2 Service users who have moved on in a planned way from temporary living
          arrangements
   SPI1 Service Availability
   SPI2 Utilisation Levels
   SPI3 Staffing Levels
   SPI4 Throughput

We received a summary of demographic information from people starting to use
services, collated from client record forms (CRF). Amongst other demographic
information, this allows calculation of another key performance indicator:
    KPI3 Fair access to people who are eligible for Supporting People services (as
           measured by non host and BME access – Client Record Forms)

The PIW’s have been submitted electronically for some time now and from April 2007
the CRF returns to Joint Centre for Scottish Housing Research (JCSHR) will also be
made electronically.


Contract Management Framework Consultation March 07                                        5
What we want to do
We do not propose at this time making any changes to the method of submission of
the PIW. Providers should continue to submit Client Record Forms in accordance
with the instructions from JCSHR.

A pilot is currently being run to consider ways of measuring the following outcomes:
    Achieve economic wellbeing,
    Enjoy and achieve,
    Be healthy,
    Stay safe,
    Make a positive contribution.

We propose to follow closely the development of the SP national outcomes
monitoring framework and introduce appropriate requirements in due course.

We propose to define further local performance indicators while taking account of the
costs involved in collecting and analysing the data.


Insurance Check

Purpose
To ensure that providers hold insurance cover to the levels stipulated by the contract.

What we did under the interim contract
We carried out insurance checks periodically.

What we want to do
We propose to continue to carry out these checks and we will assess the most
common month in which cover is renewed and approach all providers annually, in the
following month, for proof of their insurance cover.


QAF Self-Assessment
Purpose
To encourage providers to take a critical look at their policies, procedures and
practices to support improvement, whether completing the QAF or QAF Lite.

What we did under the interim contract
We asked providers to complete a QAF self-assessment at the commencement of a
service review. The assessment covered the core objectives of the QAF only. The
list of objectives covered are replicated in Appendix A.

We offered additional support to help small providers complete the QAF self-
assessment, using the QAF-lite.




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What we want to do
We propose to require submission of an annual QAF self-assessment including an
action plan describing how providers plan to reach higher levels: all services should
have achieved level B across all core objectives by December 2008.

We propose to request a 6 monthly update on progress towards achieving the action
plans.

We propose to continue to offer additional support for small providers and continue to
use QAF-lite for them.

We propose to require services to concentrate on particular themes, incorporating all
of the core objectives and one or more of the supplementary objectives.

Some providers are able to satisfy some elements of the QAF through other routes
(such as the CSHS Code of Practice). We intend to continue to acknowledge up-to-
date certificates etc as satisfaction of the relevant areas and levels of the QAF. We
would still expect a completed self-assessment from these providers, as they may
wish to assess themselves at levels higher than the passport allows.


Annual Reports
Purpose
Annual reports help to show how an organisation has fared over the previous year
and what developments are planned for the future.

What we did under the interim contract
We did not request these routinely, however when they were received, they were
reviewed by the contract officer and kept with other relevant information about each
contract.

What we want to do
We propose to request copies of annual reports, where these are produced.


Other Agencies’ Inspection/Review Reports
Purpose
While annual plans may include elements of inspections carried out by other
agencies, the actual inspection report can provide a more in-depth analysis of
strengths and weakness from an independent point of view.

What we did under the interim contract
We did not request these routinely, however when they were received, they were
reviewed by the contract officer and kept with other relevant information about each
contract.




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What we want to do
We propose to request that providers inform us of timescales for upcoming reviews.
The Supporting People Team will collate copies of reports from the Housing
Corporation and Commission for Social Care Inspection from their websites. We will
ask providers to supply copies of other review/inspection reports once finalised.


Commendations / Complaints
Purpose
Analysis will be used to establish a service’s attitude to complaints and monitor the
number, type and outcomes of complaints about the service. Commendations will be
used to provide an indicator of areas where service user satisfaction and/or
performance is high.

What we did under the interim contract
Service users making complaints direct to the SP Team, were firstly advised to
complain using their provider’s formal complaint procedure. Very serious issues
would have been investigated directly by the team. The provider’s procedure was
assessed via the QAF procedures carried out at service review.

What we want to do
We propose to require services to submit an annual summary of complaints and
commendations.

For complaints, we propose requiring data describing the number of complaints,
whether they were concluded within the timescales described by the complaint’s
procedure, the type of complaint and the outcome.

For commendations, we propose requiring a brief description of the commendation.


Serious Incidents
Purpose
To ensure that the Supporting People Team is informed of any incident indicating a
serious risk to the service or any service user. This will allow the team to be in a
better position to respond appropriately, including responding to media attention.
Serious incidents would include serious threats to the health, safety and well-being of
service users, staff or any other person arising out of any practice or condition in the
service, or any legal action being taken against or impacting upon the service.

What we did under the interim contract
We expected services to notify us as soon as reasonably practicable of any such
incidents, without prejudicing the need for the service to respond to the incident in
accordance with procedures.

What we want to do
We would expect this process to continue.



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LEVEL 2 – QUALITY ASSURANCE

The purpose of this level is to check that people are happy with the service that is
being provided and that the service meets minimum quality standards. This will be
primarily carried out via consultation with staff, service managers, service users and
other people, plus a visit to the service. It will also be an opportunity for the quality
self-assessment that each service carries out to be discussed. This level includes
the outcome of all of the analysis of the risk assessment level, plus:

      Service user feedback
      Staff feedback
      Stakeholder feedback
      QAF validation

Although the frequency of this is likely to be fixed, the degree of investigation will be
determined by the Level 1 risk assessment. So for example we may only validate
one aspect of a QAF self-assessment for a low risk service, while we may look at all
core objectives for a higher risk service.


Service User/Staff/Other Stakeholder Feedback
Purpose
Allows for routine collection of views about a service. Can be used to collect
examples of good practice or to identify areas of concern with performance or quality.

What we did under the interim contract
We collected this information at the point of a service review.

What we want to do
We propose to request copies of services’ own service user, staff and other
stakeholder survey results as and when these are available.

We propose to seek views of service users, staff and other stakeholders periodically,
as determined by the assessed risk from level 1.


QAF Validation
Purpose
To provide an objective view on the fitness for purpose of a service’s policies,
procedures, and practices.

What we did under the interim contract
We asked providers to send in their policies and procedures, which we checked
against the requirements of all the core objectives of the QAF. We also talked to
staff and service users to confirm these documents were being used in practice.
(The QAF objectives are contained in Appendix A).



Contract Management Framework Consultation March 07                                         9
What we want to do
We propose no change to the current approach of requiring evidence to validate the
QAF, using our discretion where services are passported via other frameworks (e.g.
CSHS Code of Practice).

We propose to focus on particular themes, incorporating one or more core objectives
and one or more supplementary objectives, subject to discussion with individual
services.

We propose to include a site visit to validate some elements of the QAF. Where the
provider operates similar schemes we propose to select one or more services and
deem this/these to be representative of all similar services operated by that provider.
This will apply at our discretion where services are passported through areas and
levels of the QAF via other frameworks (e.g. CSHS Code of Practice).

Whilst the majority of these visits will be pre-arranged, we may make unannounced
visits.




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LEVEL 3 – CONTRACT / STRATEGIC REVIEW

The purpose of level 3 is to gather further information to inform whether a contract
should be renewed. There are two ways this could be determined: either on a case-
by-case basis as a contract nears its expiry date (contract review) or as part of a
strategic investigation into the needs of a whole sector (strategic review).

Contract Review
Purpose
The main purposes of the contract review is to enable us to:
    determine whether services are meeting the strategic objectives for the
     Supporting People programme at a local level;
    assess whether there is a continued demand for the service;
    evaluate the quality and performance of services;
    assess the extent to which continuous improvement is taking place;
    risk assess services to inform the future level of monitoring and frequency of
     validation visits; and
    highlight whether significant changes should be considered (e.g. service
     remodelling or decommissioning).

The service review process provides the opportunity, prior to the expiry of the
contract, to draw together a wide range of information about the strategic fit of the
service and how it is performing. There are five key criteria against which services
should be assessed. The service must demonstrate that it:
    Is strategically relevant
    Meets identified current and future demand for the service;
    Provides a quality service which effectively meets the needs/preferences of
       service users and potential users;
    Performs efficiently and effectively; and
    Is cost effective.

What we did under the interim contract
We gathered and analysed all the data described earlier in this framework (but in one
big exercise) and combined this with an assessment of strategic relevance and value
for money. This lead to decisions on whether to issue a steady state contract, and
whether any changes were needed to such aspects as price or client group. Value
for money was assessed via a questionnaire asking providers to detail their costs,
split between categories of staff and major non-staff costs. This enabled analysis
and comparison about unit costs, cost per hour and relative spend on overheads.
Strategic relevance and demand was assessed via a relatively concise
questionnaire.

What we want to do
We propose to use the data analysis we have carried out routinely during levels 1 & 2
of this framework. The review itself will therefore be less onerous on both the
provider and ourselves. The only additional data we would propose to collect at this
stage is on Value for Money and Strategic Relevance & Demand. These would stay


Contract Management Framework Consultation March 07                                     11
the same as the questionnaires and discussions used as part of the service reviews
under interim contracts.

This information will considered along side procurement guidance and best practice
to determine whether a contract should be extended, terminated or tendered.

Strategic Review
Purpose
The other way a contract may be changed is as part of a strategic review. This
would look at a sector as a whole, rather than each service individually.

The primary aims of a strategic review are to:
    Determine the relative need for services and aim to fill current gaps in
      provision, including specific consideration of BME communities
    Assess access and referral routes to ensure service users can access
      services
    Determine the correct mix of services preventing crisis, managing crisis and
      move-on / maximising long-term independence
    Assess the overall efficiency and effectiveness of the current setup and range
      of services and service providers (including the mix between generic and
      specialised services)

As a strategic review covers a number of services, it may not be possible to time this
so that it fits with the expiry date of all services contained within. It is therefore seen
as a separate process to the general contract management framework.

What we want to do
We propose to learn from the initial strategic review and create separate procedures
for future strategic reviews.




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EXCEPTIONS FROM THE FULL FRAMEWORK

Jointly Commissioned Services
A jointly commissioned service, in this context, is one where Supporting People
funding is one of a number of funding sources for a service and these funding
sources are combined into one contract.

Jointly commissioned services may be subject to slightly different contract
management arrangements and the terms will be agreed between the joint
commissioners and the provider, with responsibility for the contract management
resting with the most appropriate commissioner. We will share relevant information
gathered under this framework with other funding bodies, where it is appropriate to
do so, and expect them to share similar information with us.

The overall aim of such an agreement is to ensure that contract management
remains cost effective and minimises duplication and administrative burdens, whilst
still collecting any required information for all of the funders.

If there are multiple sources funding one service and no joint contract is in place, we
will still seek to share information and to minimise any duplication of data collection
and any other administrative requirements.

Small Providers
As indicated by this framework, small providers will be subject to a lighter touch than
others: there is for example a QAF Lite, and we have taken the local view that
performance returns, in some instances, are not required.




Contract Management Framework Consultation March 07                                   13
Appendix A

Current QAF Objectives

Core                                   Supplementary
Needs and risk assessment              Informing service users
Support planning                       Consulting and informing service
Security, health and safety            users
Protection from abuse                  Empowerment and supporting
Fair access, diversity and inclusion   independence
Complaints                             Participation in the wider community
                                       Privacy and confidentiality
                                       Rights and responsibilities
                                       Service description
                                       Choice, sensitivity and
                                       responsiveness
                                       The living environment
                                       Continuous improvement
                                       Staff recruitment, management and
                                       development




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