Contract Management Service Provider Monitoring Record (CM1)

Transcription

1 Contract Management Service Provider Monitoring Record (CM1) This Service Provider Monitoring Record incorporates guidance notes and has been devised to aid SWS Commissioning staff in carrying out and reporting on their service provider monitoring activity. The guidance notes within the report template are to encourage consistency in completion, which will enable staff to collate, analyse and report on the information collated. Whilst the format for provider monitoring sessions is fairly prescriptive, SWS would welcome a flexible approach to monitoring sessions, as an objective of the sessions should be for SWS staff to gain an understanding and flavour of the work the service provider is providing. This understanding can be best achieved through a balance of observation and formal processes. It is not mandatory to cover all sections at every monitoring session. The guidance is there to offer examples of the types of subjects that each section is designed to explore. Where the section has not been discussed, due to it not being relevant to the specific care group or for any other reason, simply remove all text and note that in the space provided. The provider monitoring form is laid out on a quarterly basis. However, under the Contract Management Framework the basic requirement is that an annual service provider monitoring session takes place. This session should preferably take place on site, as there is a requirement for at least one monitoring session to take place on site, to ensure observational evidence is considered. Based on risk assessment (e.g. due to performance or other issues) commissioning staff may wish to carry out further quarterly monitoring sessions. Additional sessions can take place either on or off site so long as the minimum requirement of one on site is met. Note: At the annual service provider monitoring session ALL sections must be discussed. This would not be the case for additional sessions. Regardless of whether a provider monitoring sessions takes place, the PQR will continue to be completed to ensure an element of monitoring activity takes place every quarter. This will allow SWS staff to identify any imminent issues and to make a judgement on whether a CM visit is required. Note: The CM1 monitoring record MUST be updated for each individual service provider every quarter. Where no meeting has taken place this should be highlighted in the relevant quarterly header and any observations from the PQR noted as deemed necessary. All other text can be removed. Following on from the session the SWS representative should forward actions recorded in the Action Plan section to the service representative and any other relevant stakeholders within 4 weeks. The report should then be acknowledged as being received, agreed as an accurate record and identified actions followed up. Note: Under Social Work Services response to the Bribery Act 2010 all commissioning staff have a duty to exercise integrity and transparency at all times during contract management activity in order to prevent bribery. Any concerns in relation to potential instances of bribery must be reported immediately to your line manager. For further information on the Bribery Act SW_Contract Management. CM1 1

2 Service Provider Monitoring Session Report and Action Plan (CM1) FINANCIAL YEAR 2015/2016 Parent Organisation Service/Project Name Service/Project Address QUARTER 1 (April June) Monitoring session CM1 CMF Activity Completed (Tick all that apply) Date of session(s) (if applicable) Session type PQR analysis Risk assessment tool Service Review CM2 Other Annual Quarterly Was session held on-site? Service provider Representative(s) GCC Representative(s) Other Representative (if any) Apologies Yes No Risk Rating RED AMBER GREEN See RAG guidance: Risk Rating Guidance Risk Rating Comments CM1 2

3 1.1 General Introduction and Matters Arising This is a general discussion where the Service Manager is given the opportunity to provide an update on provision, ensuring the following is covered: A review of the action plan and actions from the previous visit, discussing any points in detail that will not be covered elsewhere in the session Any changes (planned/unplanned) in service provision that may have taken place since the last visit Any plans for changes in service provision This section of the report should include a summary of the discussion highlighting any issues and actions for follow up. 1.2 PQR - Service Provider Update (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that there were no issues identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Service Users numbers, referrals, vacancies etc The monitoring report should highlight whether or not the service is operating to full capacity and where the majority of referrals come from. Any other areas for concern in relation to turnover of service users should be highlighted. Example of documents that may be requested: Service user registration form 1.3 PQR - Staffing (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that there were no issues identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Staffing training, sickness, vacancies and issues The monitoring report should summarise any pertinent findings from the most recent PQR. Where there are issues that have been highlighted these should be discussed in detail to ascertain if there will be an impact in other areas (i.e. finance, service provision). This is also an opportunity to discuss staff training/personal Development and any CM1 3

4 pending human resources issues. Example of documents that may be requested: Copy of job advert where unfilled vacancies exist Policies relating to staff 1.4 PQR - Complaints and Incidents (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that there were no issues identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. The report should as a minimum detail how many complaints and incidents have been received since the last visit according to the PQR and how many were upheld. For those that were upheld more information should be provided in relation to the detail of the complaint, the process taken to investigate and the outcome. Any serious concerns should be reviewed in detail and service deficiencies/service review procedures considered. Where trends have been identified these should be highlighted and an unplanned service review considered.. Example of documents that may be requested: Copy of complaints register 1.5 Finance In instances where issues have been identified a finance representative should be in attendance and lead on this section. When there are no known issues a general discussion should be had in relation the provider s financial position. Below is a list of potential topics for discussion in relation to finance: Date and outcome of the last annual finance review Analysis of spending levels on the service against measured outcomes and other indicators of quality (including scope for reclamation of surpluses or notice of efficiencies achieved by the provider through, for example, reduction of staff costs) Housing benefit revenue, outstanding FA1s (homelessness only) Issues related collection of personal contributions Possible financial pressures. CM1 4

5 Documents that may be requested for passing to finance: Monthly financial management reports 1.6 Governance When discussed this section should cover the management of the organisation/service at a national level. Once this section has been discussed and reported in detail at least once in the financial year then subsequent sessions should only focus and report on whether there have been any changes since the previous session. Questions that may be asked: Have there been any changes to the management structure? Has there been any change to the way the organisation is governed? Have there been any changes to relevant procedures since the previous session? Any actions should be noted. Minutes of management meetings List of Board/Management Committee members 1.7. Care Manager/Provider Feedback When covered the contract manager should discuss concerns/issues/ raised through the care manager concern process or from contact with care managers. Feedback from providers should also be considered. 1.8 Outcomes This section of the report should capture details of the strategic approach taken by service providers to meeting and recording service user outcomes. Contract managers should record which specific outcomes frameworks are used where applicable. Outcomes frameworks CM1 5

6 1.9 Service User Feedback Questions that may be asked: How does the parent organisation/service provider obtain feedback from service users? Has the service carried out any recent surveys? Has service user feedback helped to shape services? If so, how? Examples and evidence of regular or recent service user feedback 1.10 Specific Service User Issues There may be specific issues related to service users which are raised by service providers or contract managers. These issues are separate from the discussion about numbers and how service providers gather feedback and should therefore be discussed separately here. If action planning is influenced by specific service user issues the information should be clearly recorded here and within the action plan section Care Inspectorate Activity When discussed this section of the report should cover Care Inspectorate activity. Has there been a recent visit? Is there a visit planned in the near future? What is the current Care Inspectorate grading and was this actual service considered as apart of the grading? Recent reports/action plans 1.12 Other/External Reports This section should cover any recent reports from sections of the council or from other external agencies. The service should be asked if it has any monitoring obligations to external funders and if so what these are. Internal reports (e.g. from internal audit) External reports (e.g. other local authorities, Care Quality Commission) Other funders monitoring reports CM1 6

7 1.13 Personalisation Update If personalisation is not yet or ever going to be relevant remove all text below and record that here. This section should involve a general discussion around the preparation, introduction and progress of personalisation (acknowledging that some care groups/services are more involved than others). Areas which could be explored: Number of service users utilising personalisation? (trends) Breakdown of spending on personalisation (trends) Are adequate systems in place to ensure effective management of personalisation? Management of the financial processes around personalisation? How are support plans being reviewed Outcomes in relation to personalisation (trends) How is the service/project preparing for personalisation where it is not already in place 1.14 Future Level and Frequency of Monitoring The future level of monitoring should be agreed between the service and SWS representative. A risk assessment guide is available to assist with this discussion should it be required. This should include how frequent future monitoring should be and the level of scrutiny required Any Other Business This section of the report should only include information in relation to any issues that have not been covered elsewhere. This may include any additional contract management activity which has not been captured in other sections. Service representatives should be encouraged to raise any issues or concerns they might have with Contract Managers here Date of Next Session Date of next session should be based on the output from the session and risk assessment. *Please insert any actions from the meeting into the Action Plan CM1 7

8 1.17 Other meetings/contact If there have been additional meetings or discussions with service providers outwith the monitoring session/analysis of PQR data these can be recorded here. If you would prefer to record these within the main body of the CM1, in the relevant sections, please do so. If documenting discussions from additional meetings please ensure you add the date for each. CM1 8

9 QUARTER 2 (July September) Monitoring session CM1 CMF Activity Completed (Tick all that apply) Date of session (if applicable) Session type PQR analysis Risk assessment tool Service Review CM2 Other Annual Quarterly Was session held on-site? Service provider Representative(s) GCC Representative(s) Other Representative (if any) Apologies Yes No Risk Rating RED AMBER GREEN See RAG guidance: Risk Rating Guidance Risk Rating Comments CM1 9

10 2.1 General Introduction and Matters Arising This is a general discussion where the Service Manager is given the opportunity to provide an update on provision, ensuring the following is covered: A review of the action plan and actions from the previous visit, discussing any points in detail that will not be covered elsewhere in the session Any changes (planned/unplanned) in service provision that may have taken place since the last visit Any plans for changes in service provision This section of the report should include a summary of the discussion highlighting any issues and actions for follow up. 2.2 PQR - Service Provider Update (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that there were no issues identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Service Users numbers, referrals, vacancies etc The monitoring report should, as a minimum highlight whether or not the service is operating to full capacity and where the majority of referrals come from. Any other areas for concern in relation to turnover of service users should be highlighted. Example of documents that may be requested: Service user registration form 2.3 PQR - Staffing (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that there were no issues identified. When meeting with the provider the focus of the discussion should centre around any pertinent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Staffing training, sickness, vacancies and issues The monitoring report should summarise the findings from the most recent PQR. Where there are issues that have been highlighted these should be discussed in detail to ascertain if there will be an impact in other areas (i.e. finance, service provision). CM1 10

11 This is also an opportunity to discuss staff training/personal Development and any pending human resources issues. Example of documents that may be requested: Copy of job advert where unfilled vacancies exist Policies relating to staff 2.4 PQR - Complaints and Incidents (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that there were no issues identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. The report should as a minimum detail how many complaints and incidents have been received since the last visit according to the PQR and how many were upheld. For those that were upheld more information should be provided in relation to the detail of the complaint, the process taken to investigate and the outcome. Any serious concerns should be reviewed in detail and service deficiencies/service review procedures considered. Where trends have been identified these should be highlighted and an unplanned service review considered.. Example of documents that may be requested: Copy of complaints register 2.5 Finance In instances where issues have been identified a finance representative should be in attendance and lead on this section. When there are no known issues a general discussion should be had in relation the provider s financial position. Below is a list of potential topics for discussion in relation to finance: Date and outcome of the last annual finance review Housing benefit revenue, outstanding FA1s (homelessness only) Analysis of spending levels on the service against measured outcomes and other indicators of quality (including scope for reclamation of surpluses or notice of efficiencies achieved by the provider through, for example, reduction of staff costs)? Issues related collection of personal contributions Possible financial pressures CM1 11

12 Documents that may be requested for passing to finance: Monthly financial management reports 2.6 Governance When discussed this section should cover the management of the organisation/service at a national level. Once this section has been discussed and reported in detail at least once in the financial year then subsequent sessions should only focus and report on whether there have been any changes since the previous session. Questions that may be asked: Have there been any changes to the management structure? Has there been any change to the way the organisation is governed? Have there been any changes to relevant procedures since the previous session? Any actions should be noted. Minutes of management meetings List of Board/Management Committee members 2.7. Care Manager/Provider Feedback When covered the contract manager should discuss concerns/issues/ raised through the care manager concern process or from contact with care managers. Feedback from providers should also be considered. 2.8 Outcomes This section of the report should capture details of the strategic approach taken by service providers to meeting and recording service user outcomes. Contract managers should record which specific outcomes frameworks are used where applicable. CM1 12

13 Outcomes frameworks 2.9 Service User Feedback Questions that may be asked: How does the parent organisation/service provider obtain feedback from service users? Has the service carried out any recent surveys? Has service user feedback helped to shape services? If so, how? Examples and evidence of regular or recent service user feedback 2.10 Specific Service User Issues There may be specific issues related to service users which are raised by service providers or contract managers. These issues are separate from the discussion about numbers and how service providers gather feedback and should therefore be discussed separately here. If action planning is influenced by specific service user issues the information should be clearly recorded here and within the action plan section Care Inspectorate Activity When discussed this section of the report should cover Care Inspectorate activity. Has there been a recent visit? Is there a visit planned in the near future? What is the current Care Inspectorate grading and was this actual service considered as apart of the grading? Recent reports/action plans 2.12 Other/External Reports This section should cover any recent reports from sections of the council or from other external agencies. The service should be asked if it has any monitoring obligations to external funders and if so what these are. Internal reports (e.g. from internal audit) External reports (e.g. other local authorities, Care Quality Commission) CM1 13

14 Other funders monitoring reports 2.13 Personalisation Update If personalisation is not yet or ever going to be relevant remove all text below and record that here. This section should involve a general discussion around the preparation, introduction and progress of personalisation (acknowledging that some care groups/services are more involved than others). Areas which could be explored: Number of service users utilising personalisation? (trends) Breakdown of spending on personalisation (trends) Are adequate systems in place to ensure effective management of personalisation? Management of the financial processes around personalisation? How are support plans being reviewed Outcomes in relation to personalisation (trends) How is the service/project preparing for personalisation where it is not already in place 2.14 Future Level and Frequency of Monitoring The future level of monitoring should be agreed between the service and SWS representative. A risk assessment guide is available to assist with this discussion should it be required. This should include how frequent future monitoring should be and the level of scrutiny required Any Other Business This section of the report should only include information in relation to any issues that have not been covered elsewhere. This may include any additional contract management activity which has not been captured in other sections. Service representatives should be encouraged to raise any issues or concerns they might have with Contract Managers here Date of Next Session Date of next session should be based on the output from the session and risk assessment. *Please insert any actions from the meeting into the Action Plan CM1 14

15 2.17 Other meetings/contact If there have been additional meetings or discussions with service providers outwith the monitoring session/analysis of PQR data these can be recorded here. If you would prefer to record these within the main body of the CM1, in the relevant sections, please do so. If documenting discussions from additional meetings please ensure you add the date for each. CM1 15

16 QUARTER 3 (October December) Monitoring session CM1 CMF Activity Completed (Tick all that apply) Date of session (if applicable) Session type PQR analysis Risk assessment tool Service Review CM2 Other Annual Quarterly Was session held on-site? Service provider Representative(s) GCC Representative(s) Other Representative (if any) Apologies Yes No Risk Rating RED AMBER GREEN See RAG guidance: Risk Rating Guidance Risk Rating Comments CM1 16

17 3.1 General Introduction and Matters Arising This is a general discussion where the Service Manager is given the opportunity to provide an update on provision, ensuring the following is covered: A review of the action plan and actions from the previous visit, discussing any points in detail that will not be covered elsewhere in the session Any changes (planned/unplanned) in service provision that may have taken place since the last visit Any plans for changes in service provision This section of the report should include a summary of the discussion highlighting any issues and actions for follow up. 3.2 PQR - Service Provider Update (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that no issues were identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Service Users numbers, referrals, vacancies etc The monitoring report should, as a minimum highlight whether or not the service is operating to full capacity and where the majority of referrals come from. Any other areas for concern in relation to turnover of service users should be highlighted. Example of documents that may be requested: Service user registration form 3.3 PQR - Staffing (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that no issues were identified. When meeting with the provider the focus of the discussion should centre around any pertinent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Staffing training, sickness, vacancies and issues The monitoring report should summarise the findings from the most recent PQR. CM1 17

18 Where there are issues that have been highlighted these should be discussed in detail to ascertain if there will be an impact in other areas (i.e. finance, service provision). This is also an opportunity to discuss staff training/personal Development and any pending human resources issues. Example of documents that may be requested: Copy of job advert where unfilled vacancies exist Policies relating to staff 3.4 PQR - Complaints and Incidents (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that no issues were identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. The report should as a minimum detail how many complaints and incidents have been received since the last visit according to the PQR and how many were upheld. For those that were upheld more information should be provided in relation to the detail of the complaint, the process taken to investigate and the outcome. Any serious concerns should be reviewed in detail and service deficiencies/service review procedures considered. Where trends have been identified these should be highlighted and an unplanned service review considered.. Example of documents that may be requested: Copy of complaints register 3.5 Finance In instances where issues have been identified a finance representative should be in attendance and lead on this section. When there are no known issues a general discussion should be had in relation the provider s financial position. Below is a list of potential topics for discussion in relation to finance: Date and outcome of the last annual finance review Analysis of spending levels on the service against measured outcomes and other indicators of quality (including scope for reclamation of surpluses or notice of efficiencies achieved by the provider through, for example, reduction of staff costs)? Housing benefit revenue, outstanding FA1s (homelessness only) CM1 18

19 Issues related collection of personal contributions Possible financial pressures Documents that may be requested for passing to finance: Monthly financial management reports 3.6 Governance When discussed this section should cover the management of the organisation/service at a national level. Once this section has been discussed and reported in detail at least once in the financial year then subsequent sessions should only focus and report on whether there have been any changes since the previous session. Questions that may be asked: Have there been any changes to the management structure? Has there been any change to the way the organisation is governed? Have there been any changes to relevant procedures since the previous session? Any actions should be noted. Minutes of management meetings List of Board/Management Committee members 3.7 Care Manager/Provider Feedback When covered the contract manager should discuss concerns/issues/ raised through the care manager concern process or from contact with care managers. Feedback from providers should also be considered. 3.8 Outcomes This section of the report should capture details of the strategic approach taken by service providers to meeting and recording service user outcomes. Contract managers should record which specific outcomes frameworks are used where applicable. CM1 19

20 Outcomes frameworks 3.9 Service User Feedback Questions that may be asked: How does the parent organisation/service provider obtain feedback from service users? Has the service carried out any recent surveys? Has service user feedback helped to shape services? If so, how? Examples and evidence of regular or recent service user feedback 3.10 Specific Service User Issues There may be specific issues related to service users which are raised by service providers or contract managers. These issues are separate from the discussion about numbers and how service providers gather feedback and should therefore be discussed separately here. If action planning is influenced by specific service user issues the information should be clearly recorded here and within the action plan section Care Inspectorate Activity When discussed this section of the report should cover Care Inspectorate activity. Has there been a recent visit? Is there a visit planned in the near future? What is the current Care Inspectorate grading and was this actual service considered as apart of the grading? Recent reports/action plans 3.12 Other/External Reports This section should cover any recent reports from sections of the council or from other external agencies. The service should be asked if it has any monitoring obligations to external funders and if so what these are. CM1 20

21 Internal reports (e.g. from internal audit) External reports (e.g. other local authorities, Care Quality Commission) Other funders monitoring reports 3.13 Personalisation Update If personalisation is not yet or ever going to be relevant remove all text below and record that here. This section should involve a general discussion around the preparation, introduction and progress of personalisation (acknowledging that some care groups/services are more involved than others). Areas which could be explored: Number of service users utilising personalisation? (trends) Breakdown of spending on personalisation (trends) Are adequate systems in place to ensure effective management of personalisation? Management of the financial processes around personalisation? How are support plans being reviewed Outcomes in relation to personalisation (trends) How is the service/project preparing for personalisation where it is not already in place 3.14 Future Level and Frequency of Monitoring The future level of monitoring should be agreed between the service and SWS representative. A risk assessment guide is available to assist with this discussion should it be required. This should include how frequent future monitoring should be and the level of scrutiny required Any Other Business This section of the report should only include information in relation to any issues that have not been covered elsewhere. This may include any additional contract management activity which has not been captured in other sections. Service representatives should be encouraged to raise any issues or concerns they might have with Contract Managers here Date of Next Session Date of next session should be based on the output from the session and risk assessment. *Please insert any actions from the meeting into the Action Plan CM1 21

22 3.17 Other meetings/contact If there have been additional meetings or discussions with service providers outwith the monitoring session/analysis of PQR data these can be recorded here. If you would prefer to record these within the main body of the CM1, in the relevant sections, please do so. If documenting discussions from additional meetings please ensure you add the date for each. CM1 22

23 QUARTER 4 (January March) Monitoring session CM1 CMF Activity Completed (Tick all that apply) Date of session (if applicable) Session type PQR analysis Risk assessment tool Service Review CM2 Other Annual Quarterly Was session held on-site? Service provider Representative(s) GCC Representative(s) Other Representative (if any) Apologies Yes No Risk Rating RED AMBER GREEN See RAG guidance: Risk Rating Guidance Risk Rating Comments CM1 23

24 4.1 General Introduction and Matters Arising This is a general discussion where the Service Manager is given the opportunity to provide an update on provision, ensuring the following is covered: A review of the action plan and actions from the previous visit, discussing any points in detail that will not be covered elsewhere in the session Any changes (planned/unplanned) in service provision that may have taken place since the last visit Any plans for changes in service provision This section of the report should include a summary of the discussion highlighting any issues and actions for follow up. 4.2 PQR - Service Provider Update (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that no issues were identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Service Users numbers, referrals, vacancies etc The monitoring report should, as a minimum highlight whether or not the service is operating to full capacity and where the majority of referrals come from. Any other areas for concern in relation to turnover of service users should be highlighted. Example of documents that may be requested: Service user registration form 4.3 PQR - Staffing (Always record when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that no issues were identified. When meeting with the provider the focus of the discussion should centre around any pertinent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. Staffing training, sickness, vacancies and issues The monitoring report should summarise the findings from the most recent PQR. Where there are issues that have been highlighted these should be discussed in detail to ascertain if there will be an impact in other areas (i.e. finance, service provision). CM1 24

25 This is also an opportunity to discuss staff training/personal Development and any pending human resources issues. Example of documents that may be requested: Copy of job advert where unfilled vacancies exist Policies relating to staff 4.4 PQR - Complaints and Incidents (Always noted when an issue is identified) If not meeting with the provider this quarter and no issues were identified when analysing the PQR data simply remove all text below and record that no issues were identified. When meeting with the provider the focus of the discussion should centre around the most recent PQR findings, with prior submissions also being reviewed prior to the session in order to identify any trends. The report should as a minimum detail how many complaints and incidents have been received since the last visit according to the PQR and how many were upheld. For those that were upheld more information should be provided in relation to the detail of the complaint, the process taken to investigate and the outcome. Any serious concerns should be reviewed in detail and service deficiencies/service review procedures considered. Where trends have been identified these should be highlighted and an unplanned service review considered.. Example of documents that may be requested: Copy of complaints register 4.5 Finance In instances where issues have been identified a finance representative should be in attendance and lead on this section. When there are no known issues a general discussion should be had in relation the provider s financial position. Below is a list of potential topics for discussion in relation to finance: Date and outcome of the last annual finance review Housing benefit revenue, outstanding FA1s (homelessness only) Analysis of spending levels on the service against measured outcomes and other indicators of quality (including scope for reclamation of surpluses or notice of efficiencies achieved by the provider through, for example, reduction of staff costs)? Issues related collection of personal contributions Possible financial pressures CM1 25

26 Documents that may be requested for passing to finance: Monthly financial management reports 4.6 Governance When discussed this section should cover the management of the organisation/service at a national level. Once this section has been discussed and reported in detail at least once in the financial year then subsequent sessions should only focus and report on whether there have been any changes since the previous session. Questions that may be asked: Have there been any changes to the management structure? Has there been any change to the way the organisation is governed? Have there been any changes to relevant procedures since the previous session? Any actions should be noted. Minutes of management meetings List of Board/Management Committee members 4.7 Care Manager/Provider Feedback When covered the contract manager should discuss concerns/issues/ raised through the care manager concern process or from contact with care managers. Feedback from providers should also be considered. 4.8 Outcomes This section of the report should capture details of the strategic approach taken by service providers to meeting and recording service user outcomes. Contract managers should record which specific outcomes frameworks are used where applicable. Outcomes frameworks CM1 26

27 4.9 Service User Feedback Questions that may be asked: How does the parent organisation/service provider obtain feedback from service users? Has the service carried out any recent surveys? Has service user feedback helped to shape services? If so, how? Examples and evidence of regular or recent service user feedback 4.10 Specific Service User Issues There may be specific issues related to service users which are raised by service providers or contract managers. These issues are separate from the discussion about numbers and how service providers gather feedback and should therefore be discussed separately here. If action planning is influenced by specific service user issues the information should be clearly recorded here and within the action plan section Care Inspectorate Activity When discussed this section of the report should cover Care Inspectorate activity. Has there been a recent visit? Is there a visit planned in the near future? What is the current Care Inspectorate grading and was this actual service considered as apart of the grading? Recent reports/action plans 4.12 Other/External Reports This section should cover any recent reports from sections of the council or from other external agencies. The service should be asked if it has any monitoring obligations to external funders and if so what these are. Internal reports (e.g. from internal audit) External reports (e.g. other local authorities, Care Quality Commission) Other funders monitoring reports CM1 27

28 4.13 Personalisation Update If personalisation is not yet or ever going to be relevant remove all text below and record that here. This section should involve a general discussion around the preparation, introduction and progress of personalisation (acknowledging that some care groups/services are more involved than others). Areas which could be explored: Number of service users utilising personalisation? (trends) Breakdown of spending on personalisation (trends) Are adequate systems in place to ensure effective management of personalisation? Management of the financial processes around personalisation? How are support plans being reviewed Outcomes in relation to personalisation (trends) How is the service/project preparing for personalisation where it is not already in place 4.14 Future Level and Frequency of Monitoring The future level of monitoring should be agreed between the service and SWS representative. A risk assessment guide is available to assist with this discussion should it be required. This should include how frequent future monitoring should be and the level of scrutiny required Any Other Business This section of the report should only include information in relation to any issues that have not been covered elsewhere. This may include any additional contract management activity which has not been captured in other sections. Service representatives should be encouraged to raise any issues or concerns they might have with Contract Managers here Date of Next Session Date of next session should be based on the output from the session and risk assessment. *Please insert any actions from the meeting into the Action Plan CM1 28

29 4.17 Other meetings/contact If there have been additional meetings or discussions with service providers outwith the monitoring session/analysis of PQR data these can be recorded here. If you would prefer to record these within the main body of the CM1, in the relevant sections, please do so. If documenting discussions from additional meetings please ensure you add the date for each. CM1 29

30 SERVICE PROVIDER MONITORING SESSIONS: ACTION PLAN All actions from the report to be listed against those responsible with an agreed timescale included. All actions will be followed up, at the very least at the next session if not before dependant on timescales. Service Provider Qtr Issue Action CM Section By Whom Agreed by provider (Y/N) Timescale CM1 30