Joint Commissioning Unit Contract Management Framework Pilot Performance Procedure September 2012 to February 2013 FOR JCU AWARDED CONTRACTS ONLY

Transcription

1 Joint Commissioning Unit Contract Management Framework Pilot Performance Procedure September 2012 to February 2013 FOR JCU AWARDED CONTRACTS ONLY 1

2 If you would like this information in large print, audio tape or in any other format or language please contact the public information officer on

3 CONTENTS Page No. 1. Procedure Aims 4 2. Performance Indicators 4 3. Targets for Performance 5 4. Non Receipt of Monitoring Information 5 5. Warning System and Non Receipt of Monitoring Information 6 6. Data Checks and Information Quality 6 7. Audit Trails 6 8. Under Performance of Services 6 9. What Happens Next? Outcomes and Follow up Actions Appeals 7 Appendix 1 - Flowchart of Process Performance Monitoring Procedure 8 Appendix 2 Example of Letter to Provider for Non Return 9 Appendix 3 Positive Performance Validation Visit Templates 10 Appendix 4 Under Performance / Exception Report 12 Appendix 5 Sample Template for Lead Commissioner Review of Services 13 Appendix 6 Quarterly Dates 14 Appendix 7 Appeals Form 15 Review History Action Date By Who Development of November 2007 SP Service Performance process Review 2008 SP Service Approved May 2008 Core Strategy Group Review July 2012 CMF Working Group 3

4 1. Procedure Aims This procedure describes the process to be followed when carrying out performance monitoring of services provided under the Contract Management Framework (CMF) for the Joint Commissioning Unit (JCU) Pilot. Walsall is committed to continually improve its services to ensure they deliver good quality, are cost effective and enable service users to live as independently as possible. This procedure aims to: Set initial targets for service performance by service providers Describe the performance monitoring process Explain the outcomes of performance monitoring 2. Performance Indicators Performance information is required by Walsall Council under the CMF and will provide the JCU with detailed up to date information on funded services in Walsall. Performance monitoring allows the commissioning team to work with providers to achieve positive outcomes and Service Evaluation from services. This performance monitoring procedure will be applied to all services. Performance indicators (PI s) will be applied to all contracts, performance monitoring is part of the overall contract review process; this information is one of the factors used in assessing the quality, outcomes achieved and Service Evaluation of a service. The PI s are used to assess a service on a regular basis (quarterly) and for service reviews, they measure the effectiveness of service areas and identify how well a service is performing overall as defined in the service specifications within the contracts. Where concerns are identified, e.g. high void levels, no turnover in a short term service or there are significant numbers of unplanned moves, the JCU will agree the appropriate course of action and set the timescales in which the improvements are to be achieved. The details provided within the PI returns; availability, utilisation and throughput will be taken into account within the Service Evaluation (SE) assessments. The Contract defines the service to be delivered and establishes the price for the contract. Services have detailed descriptions within the terms and schedules of the JCU Steady State Contracts. 4

5 3. Targets for Performance The JCU monitors performance against criteria originally set by Communities and Local Government (CLG). These criteria and the initial targets for performance within the Steady State Contracts (where applicable) are listed below: ** To add Disability Indicators agreed with Disability Providers ** INDICATOR LOCAL TARGET* MINIMUM TARGET* NI 142 Service users who are supported to establish independent living 98% 90% NI 141 Service users who have moved in a planned way from temporary living arrangements 70% 60% * 95% Compliance with Walsall BME population, this being 13.6% (BME Strategy ) SPI 1 Service availability 95 86% 85% SPI 2a Utilisation levels (accommodation based) 90 86% 85% SPI 2b Utilisation levels (support services) 90 86% 85% SPI 3 Staffing levels 96 84% 67 83% SPI 4a Throughput (short term services) 120% 100% SPI 4b Throughput (long term services) 100% 120% * The local target percentages have been set and originally agreed with CLG, the Commissioning Body and in consultation with providers and service users; these are the percentages that need to be reached to ensure a quality service is being delivered. The minimum target percentages are the targets agreed in consultation with providers and service users to highlight services that are under performing and not delivering a quality service. Targets setting will be reviewed in April The criteria listed above represent the targets against which the JCU will assess performance returns. The targets set have initially been taken from CLG guidance where available. Different performance targets may be introduced at a later date for different client groups and/or service types, to reflect the broad range of all contracted services. 4. Non receipt of Monitoring Information and/or Under Performance of Service Each provider will be required to collect PI s on a quarterly basis. A separate performance workbook will be completed for each service. Providers will be required to collect returns using the performance workbook specified. The eforms link will be sent out to each provider prior to quarter end. Providers will be expected to submit their performance data via eforms within 10 working days at the end of each quarter (Quarterly dates - see appendix 6) see also Appendix 1 (Performance Monitoring Flow Chart). 5

6 5. Warning System and Non Receipt of Monitoring Information If a provider has not submitted all quarterly returns within 10 working days of the quarter end, an will be sent to the provider that requests the information be returned within 5 working days. Failure to provide the information in 5 working days, will result in the service recording a nil score for each PI during that quarter. Quarterly returns submitted after the final deadline will not be accepted and/or processed and the service will be identified as Under Performance refer to section 9 in, What Happens Next? 6. Data Checks and Information Quality It is the responsibility of providers to submit accurate and up to date information, poor quality data may distort the assessment of performance for contract monitoring and reviews. All providers must consult the CMF and ensure that all the instructions have been followed in full when completing the performance workbook and quarterly returns. Incomplete and/or inaccurate quarterly returns will not be accepted or processed by the JCU. If the performance returns have been submitted outside of the timescales in section 4 then the process detailed within section 5, Warning System and Non Receipt of Monitoring Information, will be followed. The details completed on the front page of the workbook must reflect the service information within the Steady State Contract. The Contract Manager must formally approve any requested contract variations before the related amendments can be made. 7. Audit Trails The JCU will carry out regular audits to check on the quality of the data supplied by providers. It is the responsibility of providers to ensure appropriate records and evidence is available for audit visits. All under performance/non returns are investigated, to compliment this process a random 10% sample will be selected from positive performing services to ensure accurate data is being submitted see Appendix Under Performance of Services Providers are expected to meet target figures for performance indicators as detailed in schedule 3 of their contract. In any one quarter, if a service does not meet the specified targets for their performance indicators and no valid comments have been entered in the comments section of the eform, a template will be sent to providers via requesting further information. Providers will be required to complete the template showing what actions are to be taken by the service to rectify for the following quarter. Templates are expected to be returned within 7 working days from receipt. 6

7 9. What Happens Next? A list will be produced from the JCU IT system of all the services that are under performing along with services that have not returned the monitoring information, or have not submitted accurate information in full before the deadline. Within 30 days the Senior Commissioning Officer will produce a report for the Lead Commissioner along with written evidence from providers to consider the outcomes regarding underperformance / non submittance of information from Providers. 10. Outcomes and Follow up Actions The Lead Commissioner will liaise with the Commissioning Manager to decide the appropriate follow up action. Information considered will include: Information relating to any exceptions / default notices issued on the service. Finance information requested or submitted. The submission and quality of requested contract review documentation. Service user and / or stakeholder feedback. The JCU will present a briefing to the Vulnerable Adults Executive Board (VAEB) and report on the decisions reached and action taken. This briefing will include the report templates shown in Appendix 4 and Appendix 5. Recommendations from the JCUs decision may include: More frequent monitoring requirements. Validation visit. Issuing a warning letter or action plan to the provider regarding renegotiation of contract. Suspend payment under the contract (Clause 10.4) of Steady State Contract. Renegotiation of Contract. Use the Contractual Default procedure leading to possible Decommissioning. Based on the above recommendations the VAEB will be responsible for the final decision. Written details of the actions to be taken will be sent to the provider including set timescales to implement the decision made. 11. Appeals The provider has the right to appeal at any time during the process to challenge any decision made by the JCU. The appeal must be put in writing within 20 working days of being formally notified in writing of decisions made by VAEB. The providers will also need to complete the appeals form Appendix 7 along with any supporting information. The completed paperwork then must be submitted to: Lead Commissioner Joint Commissioning Unit 1 st Floor Goscote House Goscote lane Walsall WS3 1SJ 7

8 Appendix 1 Flow Chart of Process Performance Monitoring Procedure Under Performance Non Returns Joint Commissioning Unit (JCU) IT system identifies the services under performing 10 days after quarters end sent to Providers requesting information received within 5 working days 30 Working Days after Quarters End JCU IT system to identify services under performing will be sent to Provider with a report form detailing under performance / non return detailing options possible to be considered by the Commissioning Manager Between 30 and 50 working days after quarters end Commissioning Manager to consider all officer and provider information and decide on the appropriate action Exception report to be signed off by the Commissioning Manager, the Provider is advised in writing via of any actions to be taken Review and Monitor the Service 8

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10 Appendix 3 Positive Performance Validation Visit Service ID: Service Name: Floating Support Service PI S QUARTER EVIDENCE VALIDATED COMMENTS NI 142 Independent Living % Support Plans Yes/No Support plans will identify needs: benefits, support with housing, child support, debt management health, general living skills etc, these will form part of independent living. You are looking for signatures from workers and service users, as well as dates. This will verify if the workers have engaged with the service users. SPI1 SPI4 Utilisation % Throughput % Occupancy Records Sign Ups Exit Reports Support Plans Occupancy Records Sign ups Exit Reports Yes/No Yes/No Risk assessments these need to be completed to reflect any of the needs that have been identified in the support plan Occupancy records can come in the form of books, files or electronic, to look for list of vacancies, waiting lists, and current service user lists. This will identify which workers are working with service users etc. Sign ups this is providers document that the service user signs to say they agree to engage in the programme. Signing of support plans can be acceptable. Exit reports are documents/forms that providers ask service user to complete upon completion of the programme, it highlights any concerns raised, compliments of the service etc. Throughput is the objective of the floating support service. It highlights the value of service users remaining independent Support plans are important for the day to day ongoing support, there will be contact sheet or diary log of all work carried out on behalf of the service users, this will include any telephone calls made or received, letters typed out etc. You are looking for letters from benefits, to indicate that this has been achieved if this has been identified in the support plan. If there are no updated support plans / risk assessments this will need to be raised as a concern to senior commissioning officer. 10

11 Service ID: Service Name: Accommodation Based Service PI S QUARTER EVIDENCE VALIDATED COMMENTS NI 141 Planned Move % Support Plans Yes/No Support plans will be identifying the needs for those requiring accommodation whether it be semi support / full time or temporary. Those living in short term accommodation will have to be moved within 2 years, we are looking for what is being done by worker for finding alternative accommodation. SPI1 Availability % Occupancy Records Sign Ups Exit Reports Support Plans Yes/No Occupancy records can come in the form of books, files or electronic, to look for list of vacancies, waiting lists, and current service user lists. This will identify which workers are working with service users etc. Sign ups service user will be expected to sign tenancy agreement or license agreement to stay in registered accommodation. SPI2 SPI4 Utilisation % Throughput % Occupancy Records Sign Ups Exit Reports Occupancy Records Sign ups Exit Reports Yes/No Yes/No Utilisation this will verify if providers are fully using the vacancies, notifying commissioners of any voids in property etc. Exit reports are documents/forms that providers ask service user to complete upon completion of the programme, it highlights any concerns raised, compliments of the service etc. However, in the event of frail elderly/older people, exit reports may not always be available due to natural wastage. Therefore, information recorded on diary of events is acceptable. Occupancy records as per above, you are also looking for information on support plans regarding service users moving into independent living, for those who may be homeless, ex offenders etc. 11

12 Appendix 4 Example Template of Under Performance / Exception Report Under Performance / Exception Report For Quarter Insert quarter number Date Action to be completed by: Insert Date Here Service ID Name of Service Penalty if Action not achieved Default / Exception Details of Performance Issues Provider Comments Service User Outcome: Provider Outcome For office use only: JCU Comments: 12

13 Appendix 5 Under Performance of Services for review presented to Lead Commissioning Officer Prevention Services - Exception Report Quarter: 2-4th July - 2nd Oct Service ID Service Name PI Below Target % Qtr 3 Target % Exception / Default Information from Previous quarter Comments Signed 000 Contracted Provider Service SPI 1 SPI 2a 74.36% 82.27% 86% 86% Discretion /Exception 13

14 Appendix 6 Quarterly Dates For Pilot Quarter start date Quarter end date Performance Return due date Quarter 312/13 3 September November December 2012 Quarter 412/13 1 December February March 2013 Go Live Dates Quarter start date Quarter end date Performance Return due date Quarter 113/14 1April June July 2013 Quarter 213/14 1 July September October 2013 Quarter 313/14 1 October December January 2014 Quarter 413/14 1 January March April 2014 Page 14

15 Appendix 7 Appeals Form 2012/13 Client Group: Organisation: Address: Postcode: Telephone: Organisation: This appeal request relates to a decision from: (Please tick appropriate box) Service Review Joint Commissioning Unit Governance Structure Other: (Please specify) We wish to appeal against the decision making process on the grounds that: (Please complete relevant section) The JCU has failed to adhere to published policies and/or procedures The JCU has not taken account of wider strategic considerations for the service The JCU has failed to consider all the relevant facts while carrying out various activities, e.g. during a service review or commissioning exercise Please provide a brief description of the decision to be appealed against. Please include dates and times if relevant. Page 15

16 Appeals will not be considered if the decision in question is: To amend a service in line with regional benchmark figures; or To remodel or reconfigure a service against changing strategic priorities or to meet the strategic aims of broader partnership commissioning plans; or To allow the Council to discharge its requirement to continually improve services having a regard to a combination of economy, efficiency and effectiveness as required under the Local Government Act 1999 section 3; or To withdraw grant funding where incidents of fraud or gross misconduct are revealed, where contractual defaults have occurred or where child/adult safeguarding investigations have been instigated. Please Note: The JCU Appeals Procedure cannot be used to review Officers conduct. Any comments or concerns you may have regarding conduct should be directed to the: Lead Commissioner for Disabilities at: The Joint Commissioning Unit 1 st Floor, Goscote House Goscote Lane Walsall WS3 1SJ If you are dissatisfied with Officers conduct, Walsall Council has a Corporate Complaints Policy that can be applied, if appropriate Please print your name and sign below. The person completing this form must be authorised to do so by the organisation / individual requesting the appeal. Name: Position: Signature: Date: Page 16

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