Contract Management Framework:

Transcription

1 Glasgow City Council Social Work Services Contract Management Framework: Overview Document April 2015 For copies or more information contact: Social Work Service Modernisation City Chambers East, 40 John Street, Glasgow, G1 1JL. Page 1 of 19

2 CONTENTS 1. BACKGROUND 3 2. GUIDING PRINCIPLES OF THE CMF 3 3. SERVICE PROVIDER MONITORING Provider s Quarterly Return (PQR) Monitoring service providers 6 4. REVIEW ACTIVITY Planned reviews Unplanned reviews Scope & content of reviews CARE MANAGER INVOLVEMENT Care manager concerns process CONTRACTS LOG THE BRIBERY ACT HOSPITALITY AND ACCEPTANCE OF GIFTS FURTHER INFORMATION 15 APPENDICES 16 Appendix 1 17 Appendix 2 CMF Monitoring & Review Process 18 Appendix 2 - Contract Management Framework Summary 19 Appendix 3 19 Page 2 of 19

3 1. Background Glasgow City Council s Social Work Contract Management Framework (CMF) was launched in The CMF details the approach taken to effectively manage purchased care and support services (including ALEOs) across all client groups. The CMF outlines the responsibilities of commissioning and contract management staff, care managers and providers in carrying out continuous evaluation of purchased service performance and quality. A review of the CMF was undertaken in Autumn 2014, taking into account changes within Social Work Services as a department, changes within the wider social care environment, and recommendations from Glasgow City Council s Internal Audit team. The review was completed using a collaborative approach involving staff from Service Modernisation, Commissioning, Finance, Direct Services. Upon completion of the review project, proposals for a revised Contract Management Framework were presented to Social Work Leadership Team in December The proposals were accepted in full, and the revised Contract Management Framework was introduced across Social Work Services from January This document provides a high level overview of the key aspects of the Contract Management Framework. A more detailed practitioner guide is available in the document Monitoring and Review Guidance. 2. Guiding Principles of the CMF The revised CMF has been designed to: Focus resources where they are required most Allow for early identification and addressing of issues, concerns and risks Collect and record more structured and consistent information across care groups Allow autonomy for contract managers in how they conduct contract management activity Page 3 of 19

4 Promote more robust monitoring of financial and governance arrangements within service providers Allow service provider monitoring to be conducted in a standardised format, with frequency determined by level of risk. This approach is in line with Social Work Services 10-Year Commissioning Strategy. For more information on the Commissioning Strategy, visit Although the focus of the CMF is on services purchased from external providers, it is intended that this framework could also be applied to the monitoring of Social Work Services own directly-provided services. 3. Service Provider Monitoring Service Provider Monitoring is the term used to describe the gathering and analysis of a core set of information on individual, locality based services. Within the Contract Management Framework, this consists of the Provider s Quarterly Return (PQR) and routine monitoring sessions, the frequency and extent of which is determined by previous monitoring activity and analysis of risk. Service provider monitoring activity is recorded in a standard monitoring record (CM1). 3.1 Provider s Quarterly Return (PQR) All providers of purchased services are required to provide contract monitoring data. This is submitted via the quarterly return (PQR), which represents the minimum level of monitoring every quarter. Providers are issued an reminder to complete their quarterly return by the Service Modernisation Team at the end of each reporting period. The window for providers to complete their return is open for one month, as outlined in the table below: Page 4 of 19

5 Quarter Reporting Period Providers to Complete PQR Survey In 1st Quarter 1st April to 30th June 2nd Quarter 1st July to 30th September July October 3rd Quarter 1st October to 31st December January 4th Quarter 1st January to 31st March April Data submitted by providers is downloaded by the Service Modernisation Team at the end of each reporting window, and is then distributed to care teams to analyse the data and use it as part of their ongoing monitoring of services. Providers receive an invitation to complete a PQR return each quarter on the basis of their presence in the purchased services Contract Log, which is maintained by individual commissioning staff for service providers they are responsible for contract managing. Along with a quarterly breakdown of information submitted by providers, commissioning teams are also provided with details of those providers who have failed to submit a return. Contract Managers are then responsible for raising the non-completion of returns with providers, identifying the reasons for non-completion and putting a plan in place to ensure future returns are submitted. Persistent non-completion of returns may result in further action being taken, up to and including a full service review with the potential for decommissioning the service. The PQR is designed to act as a trigger for areas of concern to be raised by contract managers with service providers. The type of information captured in the PQR includes the following: Demand for services and service provision Move on information for service users ending service provision Service users utilising agreed individual budgets Changes to staffing levels Incidents and concerns reported Service user outcomes Changes to management of organisations Risk to organisations Page 5 of 19

6 PQR returns will be routinely discussed with providers at monitoring meetings, however if the PQR returns suggests an area of immediate concern this will be discussed with the provider at the earliest opportunity. Depending on the severity of the concern(s) raised, it may be appropriate for the Contract Manager to discuss the issue with their line manager and / or consider conducting an Unplanned Service Review. For detail on the specific questions asked via the PQR, visit the Provider Quarterly Returns page at Monitoring service providers A key objective of service provider monitoring is for Social Work staff to gain insight into and understanding of the work service providers are doing on our behalf. This understanding can be best achieved through a balance of observation and formal processes. Social Work Services welcomes a flexible approach to monitoring service providers. Monitoring activity is typically structured to occur quarterly, although it is recognised that monitoring activity is a constantly evolving process of assessing risk and the level of monitoring required each quarter will vary per service provider. Each service provider must have a monitoring record (CM1) created for every 12 month period. This record is divided into four sections representing quarter periods of the year. This is to ensure monitoring recording operates on the same cycle as the PQR returns Monitoring sessions Monitoring sessions are sessions where the contract manager and service provider engage in discussion centred on a series of themes designed to assess the ability of the provider to deliver services. Some of the potential areas covered during a monitoring session include: Discussion of PQR data (staffing, complaints & incidents etc) Finance Governance Care manager/provider feedback Service user feedback Outcomes Care Inspectorate activity Monitoring levels Page 6 of 19

7 Topics for discussion at monitoring sessions are not mandatory but rather decisions as to the areas covered should be made by contract managers based on; professional judgement; previous action planning; and emerging issues. Monitoring sessions can be completed via face to face meetings, telephone contact, or electronic submission of information from service providers. The initial frequency of monitoring sessions should be determined by an assessment of risk and subsequent risk rating, as well as by decisions made during the course of any previous monitoring or review activity. Risk assessment can be informed by a number of factors; such as professional judgement (as recorded in the CM1) and use of a risk assessment matrix. The minimum number of monitoring sessions with a service provider to occur within the year is one (subject to risk rating). Once a year there MUST be an annual monitoring session for each service provider where all of the sections of the CM1 are discussed and recorded. If there are no other monitoring sessions during the course of the year the annual session can constitute the one mandatory session expected. One monitoring session each year must be held on-site if the service type allows for this. This is to ensure contract managers visit the service at least once to record observational information as well as information gathered through discussion with or submission of information from service providers. Where a monitoring session takes place, or where relevant meetings/discussions have occurred which are reflected in the CM1, the CM1 must be sent to the service provider within 4 weeks. If there are meetings with the service provider in addition to the monitoring session which occur after the CM1 has been sent, the contract manager must use their professional judgement to decide whether the updated CM1 requires to be sent to the service provider. Commissioning teams must decide if they will send the CM1 at the end of the period to ensure all information is captured and subject to workload management arrangements. Note: Contract management activity must be recorded within the section of the CM1 relevant to the quarter in which the activity takes place. For example if you are in quarter 3 and are analysing the data from the quarter 2 PQR, this must be recorded in the quarter 3 area of the CM1. Page 7 of 19

8 The CM1 must be sent to the service provider, in its entirety, each quarter, irrespective of the amount of activity which has taken place or the amount of information added to the CM1 that quarter. CM1s must be sent to providers using the council s secure solution or staff must ensure all documents containing personal or sensitive information are password protected, including documents being received from providers Mandatory activity The CM1 monitoring record MUST be updated every quarter to allow the contract manager to record contract management activity that has taken place during the quarter. In any quarter, whether a monitoring session is required or not, a desktop review of PQR data MUST be completed to ensure quarterly oversight of each service and to address incidences of non-return by service providers. There is no mandatory requirement to record PQR analysis in the CM1 monitoring record each quarter if there are no issues of significance to report. However the CM1 must be updated each quarter to reflect whether or not the PQR data has been analysed. If there are issues of relevance or which may impact on the risk rating, action planning, or other decisions about the service provider these must be recorded in the CM1 to ensure decisions and future activity is clearly evidenced. Consideration of and, if necessary, amendment of the risk rating must be completed each quarter and recorded in the CM1. Note: It is not mandatory that Finance staff are involved in activity to consider and review the risk rating. However consideration of financial issues and the possible need to involve Finance MUST always be taken into account by commissioning staff. As above, at least one monitoring session with a service provider must be completed each year. Where risk assessment allows this may be the annual session. As above, one visit to each service provider must be completed each year where this is feasible, depending on the nature of the service provided. Page 8 of 19

9 A planned service review must be completed for each service provider at least once during the life of the contract. Normally this would be completed in the final year of the contract. Updates to the Contracts Log to reflect monitoring activity and to inform performance management reports must be completed as per the CMF Performance Framework. The update CM1 must be securely sent to the service provider every quarter Optional activity Within any given quarter throughout the life of a contract a range of additional activity MAY take place in relation to service providers, which MUST be recorded in the CM1. This includes, but is not limited to: Monitoring sessions with the service provider Unplanned service review activity Care manager concerns activity Updates to the Contracts Log 4. Review activity Reviews of service providers and parent providers will occur both on a planned and unplanned basis. The process for reviewing providers is essentially the same regardless of whether the review has been planned following mandatory timescales or whether a review has been requested in response to a specific issue arising or as a result of strategic priorities. The Service Review form (CM2) contains examples of why service reviews may be necessary. 4.1 Planned reviews Where parent providers deliver services which are contract managed by more than one commissioning team there is a requirement to plan a review of the parent provider once every two years. A review lead officer (Commissioning Manager) will be identified by the relevant commissioning teams with the decision based on factors such as; volume of service provision; spend per team; team capacity etc. The lead officer is responsible for determining the involvement of the review group, overseeing the review process, and ensuring Page 9 of 19

10 appropriate representation at any meetings (e.g. relevant provider rep s, Finance rep s, care managers etc). Ultimately, it is the responsibility of commissioning teams to determine the most appropriate process for determining nature and level of involvement in review activity. Where the parent provider does not provide services to more than one commissioning team the planned parent provider review should occur at least once per contract term, preferably in the final year of the contract. Social Work procedures require that a decision is made prior to the end of a contract or framework term (typically three to four years) on continued engagement with individual service providers. A Service provider review should therefore be completed for each service provider at least once per contract term, preferably in the final year of the contract. Where feasible it may be possible to review more than once service provider (operating under a single parent provider or contract) at the same time, to reduce the review burden on commissioning teams. However, clear actions and recommendations must be recorded within the CM2 report for each of the relevant service providers and the CM1 for each relevant service provider must be updated to reflect the service provider review activity and outcomes. 4.2 Unplanned reviews There may be occasions where it is necessary to conduct a service or parent provider review which has not been planned in advance, due to specific significant issues which have arisen or in order to reflect strategic priorities within the council. In such circumstances the process is exactly the same as in 4.1 and the Service Review form (CM2) is the report template which should be used. Examples of some of the reasons an unplanned review may be required include, but are not limited to: Receipt of complaint(s) or patterns/trends which suggest dissatisfaction with a service Where significant concerns are raised about a service by service users or their representatives, care managers, the media, the public etc Services where there are significant performance concerns, such as staff turnover, staff absence, the level of serious incidents Page 10 of 19

11 Where Glasgow City Council is notified of serious concerns held by another interested party, such as the Care Inspectorate or other local authorities Breakdown of the service, which would potentially have significant budgetary impact or requirement for reconfiguration Where the model of service no longer complies with Glasgow City Council s strategic or service objectives. Where changes to legislation affect existing arrangements or the providers ability to provide a service Services where there are a large number of voids over a sustained period, which may suggest that the type of service no longer meets the needs of service users. Services that have not been reviewed by Glasgow City Council for five years or more Services where the Provider is in breach of the terms and conditions of the contract. Where changes in the service affects its overall cost, leading to concerns about the viability or cost of the service. 4.3 Scope and content of reviews All reviews (service and parent provider) must be completed using the Service Review form (CM2), which offers examples of the types of issues which may be reviewed and the types of information which may be considered as part of a review. Sections five (Review scope/reason) and six (Information assessed) must be completed to define why the review is happening, what is being covered, and what information is being used to determine the outcome of the review. There are no mandatory elements within these sections as the CM2 is designed to allow commissioning teams flexibility to define the scope of the review and the information which informs it. Possible areas for consideration during reviews include but are not limited to: Area Considerations Demand Delivery of Service Comparative Cost / Quality Is there a demand for the service? Will the service be able to meet future demand? How well is the service delivering their agreed outcomes? Analysis of spending levels on the service against measured outcomes and other indicators of quality Page 11 of 19

12 Financial Viability Provision of Services Contract Compliance Accreditation, Registration and Training Service User Feedback Care Inspectorate Activity External Reports Strategic Relevance (including scope for reclamation of surpluses or notice of efficiencies achieved by the provider through, for example, reduction of staff costs)? Is the service vulnerable to any financial risks that may affect future service delivery? Is the model of service provision still appropriate and required? Does the service continue to meet the requirements of the contract and service specification? Do changes need to be made to the contract or service specification to reflect the current practice model or service delivery? Do staff and management hold the appropriate qualifications and standards? Has the service provider met all the criteria expected of Glasgow City Council (e.g. accreditation to the Restricted Standing List; registration with Care Inspectorate)? Analysis of service user feedback demonstrated by providers. Analysis of reports from the Care Inspectorate and issues arising from these. Analysis of reports from any relevant external bodies Does the service provided contribute to delivery of Social Work Services strategic aims and objectives? Is action needed to bring service delivery more in line with strategic priorities? The purpose reviews are to review the performance of service and parent providers and their contribution towards the agreed outcomes of relevant contracts, and to enable teams to reach a decision regarding the nature of any ongoing involvement with the parent or service provider and to identify areas of action or improvement required. This will be reflected in a review recommendation from the following: a) Continue contract (with action plan) b) Vary contract c) Redesign/reconfigure service Page 12 of 19

13 d) Service moratorium e) Terminate contract/decommission f) Tender for alternatives g) Alert to other statutory bodies Any actions recommended, with persons responsible and agreed timescales, must be recorded in the Action Plan and the report must be signed off by the appropriate stakeholders as defined in the report. The review report must be shared with all relevant stakeholders, including the provider representatives, within four weeks of completion. Completion of a review is defined as the point at which all levels of sign-off have been complete. Decisions regarding whether draft review findings should be shared with providers as a means to progress the review are made at the discretion of the Commissioning Manager responsible for the review. 5. Care Manager Involvement Care Managers and Contract Managers have distinct but equally crucial roles in ensuring that service users receive high quality services. Contract Management ensures that services purchased from the independent and voluntary sectors meet the objectives of Social Work Services, while Care Management ensures that services remain relevant and responsive to the needs of individual service users. Neither the contract management role nor the care management role can be undertaken in isolation, and so effective communication is essential. Care managers should be able to access details of contractual arrangements and service specifications for purchased services as required, and should be able to access advice from care teams around particular services when necessary. Care Managers may be asked to provide feedback about particular providers to assist with monitoring or reviewing of service and/or parent providers. Page 13 of 19

14 5.1 Care Manager Concerns Process Care Managers must be aware that any concerns they have about services received by individuals under their care may have implications for other service users, and there is therefore a need to share information about concerns, complaints and issues whenever they arise. Concerns can arise at any point in the lifetime of a contract. These concerns must be shared by care managers with contract managers via the care Manager Concerns Process which details who has responsibility for investigating concerns and the level of involvement required from different individuals or groups. All concerns should be recorded by care managers on the Care managers concerns form and passed to the Service Modernisation team, where it will be recorded within the Concerns log and forwarded to the relevant contract manager within two working days of receipt. From this point the contract manager has the responsibility for ensuring the appropriate action, investigation, and recording of outcomes of the concerns are logged in the Concerns log. A diagram detailing the process to be followed where a concern is raised by care managers can be found within the appendix to this guidance document. 6. Contracts Log A key component of the CMF is the maintenance of the Contracts Log, the database of all purchased services. The contract log contains key information about service providers purchased by the council and contract managed by the commissioning teams. This includes contact information, service type, care group, legal information, and completion of the PQR. The contracts log is also where information must be recorded which enables commissioning teams to monitor their own compliance with the CMF as part of the Performance Framework. There are also services on the contracts log which do not require to be formally contract managed, for example because they are services which reside within other local authorities and which are therefore subject to contract management arrangements elsewhere. Contract Managers are responsible for maintaining information on service providers and updating performance information. Page 14 of 19

15 7. The Bribery Act 2010 Under the Bribery Act 2010 it is important that Glasgow City Council employees are aware that it is a serious criminal offence to: Offer, promise or give someone a reward to make them perform their functions or activities improperly. Accept, agree to accept or request a reward in return for performing a relevant function or activity improperly. Bribe a foreign public official in order to win business, keep business or gain business advantage for the organisation. The Council will not employ individuals who do not abide by the terms of the Act. Any suspected contravention will be investigated internally and where the Council consider that a breach of the Act has occurred this will be referred to the relevant regulatory authority for further action as appropriate. Furthermore disciplinary action may be taken against the employee including dismissal. Staff have a duty to exercise integrity and transparency at all times during contract management and commissioning activity. Any offers or suggestion of reward (whether financial or non-financial) must be reported immediately to your line manager. 8. Hospitality and Acceptance of Gifts Any gifts or hospitality offered by providers or potential providers must be treated in line with Glasgow City Council s Code of Conduct for Employees, Appendix 2 - Hospitality/Acceptance of Gifts. All contract management and commissioning staff should familiarise themselves with this policy. 9. Further Information For further information on any subject covered within this document, contact the Service Modernisation Team by to SW_ContractManagement@sw.glasgow.gov.uk. Page 15 of 19

16 Appendices Appendix 1 - Contract Monitoring and Review Process Appendix 2 - Contract Management Framework Summary Appendix 3 Care Manager Concerns Process Page 16 of 19

17 Appendix 1 CONTRACT MANAGEMENT FRAMEWORK: MONITORING & REVIEW PROCESS Provider Quarterly Return (PQR) Issues or observations? YES Planned Parent Provider Review (Every 2 years) CM2 YES YES Update CM1 record Annual Service Provider Monitoring Update CM1 record Is Parent Provider cross-care group? Service provider monitoring Taken place Planned Parent Provider Review (Contract term) CM2 PQR CM1 CM1 (face to face, all sections) CM1 Planned Service Review CM2 Unplanned Review (Parent Providers or Service Providers) CM2 Care Manager Concerns Care Managers Concerns Log Maintain Contract Log Contract Log Quarterly activity Annual activity 2 yearly activity Per contract renewal activity Ongoing activity Page 17 of 19

18 Appendix 2 - Contract Management Framework Summary Monitoring Stage What is it for? When is it done? Who is involved? What is considered/reviewed? How is it reported? How is it recorded? Quarterly and Annual Service Provider Monitoring To capture routine monitoring of Service Providers based on predetermined, consistent areas of interest and to record ad hoc monitoring activity taking place in each quarter. To enable action planning with Service Providers to address areas of concern. To capture the annual overview of activity with Service Providers. Minimum of one face to face/onsite Service Provider monitoring session per year if risk assessment deems appropriate. If only one session per year this MUST be the annual session where all areas within the CM1 are explored. CM1 MUST be updated quarterly to reflect activity. Contract managers with support from finance staff, and service provider representatives PQR data, finance, governance, care manager and provider feedback, outcomes, service user feedback, Care Inspectorate activity, external reports, personalisation update, future scrutiny levels, previous monitoring reports, risk rating Service provider monitoring record and action plan must be updated every quarter. Monitoring form (CM1) Planned Parent Provider/Contract Review To review the performance of the contract(s) held by Parent Providers in acknowledgement that concerns may be raised at parent organisation level which are not picked up through service provider monitoring. The review enables SWS staff to record a recommendation on continued involvement with the Parent Provider. Once every 2 years where the Parent Provider delivers services across more than one Commissioning Team. Once per contract term for all others. Commissioning managers or delegates, Finance staff, Service Provider and Parent Provider representatives Contract management data on services working under each contract to review strategic relevance, risk, governance, outcomes, service user views, external reports, financial viability Service review report and action plan Review form (CM2) Planned Service Review To review the performance of Service Providers and reach decisions regarding ongoing involvement. At least once per contract cycle, during the final year of the contract. Commissioning managers and/or delegates, Finance staff, Service provider and Parent Provider representatives Data from routine monitoring, provider self-assessment, additional information gathered as required and relevant Service review report and action plan Review form (CM2) Unplanned Review To conduct Unplanned reviews of Service Providers or Parent Providers to address issues/concerns that arise outwith routine contract monitoring timescales or that require more indepth review. As required when issues are reported or identified via routine contract monitoring or as a result of strategic priorities. Commissioning managers and/or delegates, Finance staff, Service Provider and Parent Provider representatives Data from routine monitoring, provider self-assessment, additional information gathered as required and relevant Service review report and action plan Review form (CM2) Page 18 of 19

19 Appendix 3 Care Manager Concerns Process Care Manager/TL/ SM Service Modernisation Commissioning Commissioning & Care Mgt Existing ASP or CP procedures YES ASP or CP required Conduct appropriate risk assessment YES Contact relevant third party agencies as per normal processes Possible service concern Care manager discusses with TL and/or SM ASP or CP dimension? Complete concerns form Concerns Form Sent to Central Mailbox (SW_ContractManagement) Log concern (2 wkg days) Concern sent to relevant Commissioning SO and copied to sender (2 wkg days) Commissioning SO reviews concern Action required? Update log/feedback to sender Care Managers Concerns form Care Managers Concerns Log Care Managers Concerns Log YES Commissioning & Care Mgt agree roles & responsibilities Care Managers Concerns Log Concern significant? YES Commissioning SO reviews with PO Immediate moratorium required? YES Instigate moratorium Further action required? Take appropriate YES action (e.g. Concern resolved? YES Service Review) Update log/ feedback to sender Update log/ feedback to sender Monitor through CMF Inform relevant third parties (Care Inspectorate, ADSW, statutory agencies etc) where appropriate Manage through CMF process YES Agree required monitoring and tracking Concern resolved? Page 19 of 19