Contract Monitoring Policy and Procedure

April 2010 - March 2011

This page sets out Tameside MBC’s new approach, from April 2010, to managing the contractual arrangements for services funded under the Supporting People programme.

All providers must comply with the monitoring requirements contained within their Supporting People contract. In addition Tameside MBC’s Procurement Code of Practice states that all contracts should be monitored throughout the period of the contract and the performance of contractors should be reviewed regularly. Suitable procedures for the effective monitoring of contract performance must be established, documented and followed. Every contract is subject to the Council’s duty to secure continuous improvement under the life of the contract.

Performance data is required by Communities for Local Government (CLG), Tameside MBC’s Policy Unit, Tameside Strategic Partnership and Government Office North West. It also provides the Supporting People team with invaluable up to date information on all SP funded services in Tameside. Performance monitoring allows the SP team to work with providers to continually achieve value for money, improve performance and service delivery in addition to using the information as part of the commissioning cycle to review our needs and requirements.

This policy and procedure aims to:

1. Describe the different elements of the contract monitoring process
2. Describe the contract monitoring procedures
3. Set targets for service performance
4. Set dates for the submission of information required for the different elements of the contract monitoring process
5. Define the terms used in performance monitoring.

1. Contract Monitoring for 2010 - 2011

Contract monitoring is an ongoing process that takes place throughout the year and consists of several elements that complement and inform each other. The three key elements are:

• Contract Monitoring – desk top assessments
• Performance Indicator Validation Visits
• Contract Monitoring Meetings

1.1 Contract Monitoring – Desk Top Assessments

Desktop assessments take place throughout the year and enable an analysis of the services’ performance to take place and to assess the provision of service against the service specification and contractual requirements. The data collected on a quarterly and annual basis provides valuable information at both service and strategic level. This includes:

• Ensuring services are operating in line with individual SP contacts
• Ensuring services are meeting agreed performance targets
• Ensuring services are completing outcomes data for individual service users
• Ensuring services are achieving outcomes for service users
• Ensuring services are completing Client Record Forms for all new service users
• Ensuring sheltered services are completing CORE Record Forms for all new service users
• Identifying any common barriers to service users achieving outcomes
• Ensuring services are fully staffed
• Identifying gaps in service delivery for particular client groups
• Assessing whether signposting / referral routes are effective
• Assessing the demand for the service
• Ensuring providers are continually improving their service by improving QAF scores.
  

There are six main elements to the desk top contract monitoring process:

1. Annual Contract Compliance Checks
2. Performance Indicator Workbooks
3. Data Collection Workbooks
4. Client / Core Record Monitoring
5. National Outcome Monitoring
6. Annual Self Assessment against the revised QAF.

The Supporting People team reserve the right to request additional information, if required, during the life of the contract.

1.1.1 Contract Compliance Checks

You must submit the following evidence on an annual basis – Appendix 20:

1. Current insurance policy and schedule (employers liability, public liability and if relevant, professional liability insurance)
2. Review of the organisation’s Business Continuity Plan
3. Confirmation that Criminal Record Bureau checks have been renewed on a three yearly basis (where appropriate)
4. Review of DDA inspection report and latest action plan
5. Contract compliance checklist to confirm key policies have been reviewed in line with the QAF requirements (where appropriate)
6. A copy of your organisation’s company accounts are required every two years.
   

This annual desk top assessment replaces the need for providers to resubmit SP accreditation applications on a three yearly basis.

When

The Supporting People team will request the required information in March each year.

 1.1.2 Performance Indicator Workbook

Providers are required to submit quarterly Performance Indicator returns using the mandatory CLG workbook – Appendix 21. Workbooks should be returned by email to the Supporting People team. 

The Supporting People team will send an email reminder to all providers one week prior to the submission date and then again two days after the due date. If the provider fails to submit the return, within five working days of the submission date, then the matter will be referred to the Contracts and Monitoring Officer for a decision on the action to be taken. This may include issuing a default notice. Problems relating to submission of PI returns will be discussed at quarterly contract monitoring meetings.

Providers should supply a short written explanation, within the comments box of the workbook, if they have not met a performance target in any quarter. The Supporting People team will monitor replies and action will be taken if required. 

A new customised workbook will be provided at the beginning of each financial year. Providers must use the same workbook throughout the year. The use of the SPLS tab worksheet provides cumulative data which will give providers useful management information. Providers must not change any data previously submitted without seeking advice from the Supporting People team.

We will monitor the information supplied within your workbooks to identify trends, good performance or potential problems in performance. The cumulative data taken from the workbooks will be presented to the Tameside Housing Partnership in the form of a performance management report on a regular basis. This information will help the Tameside Housing Partnership make informed strategic decisions about the Programme. A summary of this report will also be presented at the Tameside Housing Forum. A full copy of the management information report is available on the website.

In addition the Supporting People team will produce service level performance management reports which will be discussed at contract monitoring meetings. Providers will also receive a year end performance letter which may include suggestions or specific requirements to improve performance.

The Supporting People team will monitor performance against targets set by the CLG, as listed below. In a limited number of services these targets differ. Providers will be formally notified of any changes to these targets.

It is the responsibility of the Contract Manager to ensure that appropriate procedures and quality assurance systems are in place to accurately complete the PI workbooks within agreed timescales.  Detailed guidance is available on how to complete the workbook.

The definition of terms can be found at Appendix 1 and the definition of NI141 and NI142 at Appendix 2.

When

Returns should be submitted in line with the published quarterly timetable at Appendix 3B.  The Supporting People payment schedule can be found at Appendix 3A.

1.1.3 Data Collection Workbooks

All providers should submit quarterly returns using the Data Collection Workbook provided by the Supporting People team at the start of each financial year. Workbooks should be returned by email to the Supporting People team.

The same process will be followed as with the Performance Indicator Workbooks in respect of late returns, reviewing, monitoring and reporting the data. Guidance on how to complete this workbook can be found on the first page of the workbook.

The Supporting People team will customise each workbook prior to sending to the provider at the beginning of each financial year. Each workbook will be customised to clearly reflect the data which will need to be collected and reported. Examples of the information which the provider may be asked to collect on a quarterly basis includes:

• Summary of Supporting People staffing
• Summary of how vacant posts have been covered – for example agency staff, existing staff team
• Summary of how many vacant post hours have been covered
• Summary of all complaints and compliments received
• Referral / demand information (required for short term services only)
• Summary of service users staying at a service for over 6 months (short term accommodation based and floating support services only)
• Information on care leavers (short term services only)
• Summary of service users moving into care / nursing homes (sheltered services only)
• Any notifications resulting from child protection or POVA.

When

Data collection workbooks should be submitted in line with the published quarterly timetable at Appendix 3.

1.1.4 Client / Core Record Forms

Client Record Forms

Providers are required to submit an electronic copy of a Client Record Form to St Andrews University for every service user who starts to receive a Supporting People funded service.

The following services are excluded from the Client Record system:

• Very sheltered housing
• Sheltered housing with warden support
• Almshouse
• Peripatetic warden services
• Leasehold scheme
• Home Improvement Agencies (HIA)
• Community alarm services
  

Providers should ensure that all staff are made aware of the contractual requirements linked to the timely submission of the Client Record Forms. Detailed guidance, including training slides, can be found at https://www.spclientrecord.org.uk/login.cfm 

The Supporting People team receive quarterly data from the Client Record Office and this provides a snapshot of service users who have started to use Supporting People services and by what route they came into the service. The Supporting People team analyse this data at both a service and strategic level and a summary is included within the quarterly Performance Management report which is presented to the Tameside Housing Partnership. The Supporting People team will carry out regular checks to ensure that there is a correlation between the number of Client Record Forms submitted and the number of service users identified within the quarterly returns. Providers may from time to time be asked to provide additional information if discrepancies are found. It is therefore essential that appropriate records are retained.

Core Record Forms

Sheltered housing providers are required to submit an electronic copy of a Core Record Form for each new tenant entering sheltered housing and extra care housing. 

The Supporting People team extract data about admissions to sheltered schemes from the Core database. This data is included within the quarterly Performance Management Report and reported to the multi-agency Whole Systems Data Group. This group is responsible for the strategic review of a spectrum of services for older people within the borough.

1.1.5 National Outcome Framework

Short Term Services

Providers are required to complete a Short Term Outcome form for every client that leaves a short term support service subject to the 28 day ruling. The Supporting People team give providers the discretion to decide whether to complete an outcome monitoring form for service users who depart the service prior to the 28 day period.

The data should be submitted electronically to the Client Record Office on at least a monthly basis. For example Client Record Forms for service users who left the service in June should be submitted by the first two weeks in July.

Providers should ensure that all relevant staff are familiar with the guidance which can be found at https://www.spclientrecord.org.uk/login.cfm .  Both the Supporting People team and providers must have confidence in the outcomes that are reported to ensure that the outcomes data collected by this framework is robust and reliable. Providers do therefore need to be able to evidence the basis for the outcomes they report as it is likely that the Supporting People team will introduce some form of validation of this data in the future.

The Supporting People team receive quarterly outcome reports from the Client Record Office. This data is analysed at both a service and strategic level and a summary report is included within the quarterly Performance Management report which is presented to the Tameside Housing Partnership. The Supporting People team carry out regular checks to ensure that there is a correlation between the number of outcome forms submitted and the number of departures identified within the quarterly returns. Providers may from time to time be asked to provide additional information if discrepancies are found, therefore it is essential that appropriate records are maintained.

Long Term Services

The Supporting People team no longer require providers of long term services to complete and submit outcome monitoring forms. It is expected that some providers of long term services may wish to continue to submit and monitor outcomes for their own purposes.

1.1.6 Annual Self Assessment of the QAF 2009  Stage One – Getting to Level C

The Supporting People team have a planned approach to the introduction of the new QAF and are keen to work with and support providers to achieve Level C in the first instance.

Once all providers are at the minimum contractual level for quality, in terms of documentation, the validation of levels C (in terms of service user and staff consultation) will become the focus of the scheduled enhanced contract monitoring meetings during the period, April 2010 to March 2011. Desk top assessments of documentation will have already been completed during July 2009 – April 2010.

The timetable for Contract Monitoring meetings will commence no earlier than April 2010 for your services contract monitoring timetable – see Appendix 4.

1.1.7 Annual Self Assessment of the QAF 2009  Stage Two – Continual Improvement

The Supporting People team will require providers to submit an annual self assessment against the Tameside version of the revised QAF 2009 – Appendix 28 259.86 KB   (guidance can be found at Appendix 29). This will help the Supporting People team monitor continuous improvement. We will publish more information on the timetable and process for this in due course. We will consult with service users about the validation process.

2.  Performance Indicator Validation Visits

Providers are required to ensure that robust systems are in place to accurately complete the quarterly returns. These systems should provide a clear audit trail to satisfy a future validation visit as well as document the quality assurance processes followed. The Supporting People team will carry out regular validation visits. Tameside MBC’s audit team or the Audit Commission may also schedule a visit at anytime.

The Supporting People team have developed a published programme of performance indicator validation visits at Appendix 4. The purpose of these visits will be to check and verify all data contained within a specified quarter. It will focus on the accuracy and reliability of the data recording systems used to complete the quarterly workbooks. It will not focus on what the data tells us; these issues will be covered in contract monitoring visits.

To ensure the visit runs smoothly and to minimise disruption it is essential that all source documentation is available on the day. Ideally the member of staff who completes the workbooks will be available and the use of a meeting / private room should help ensure the visit runs smoothly. If evidence is complete and presented in a logical format we would not envisage the visit lasting more than 2 hours. 

We expect that each organisation will have their own procedures and systems to enable them to complete the workbooks accurately but examples of the type of information we would expect to see might include:

SPI 1 (Service Performance Indicator)

• Records to show if a property has been void and the period it was void
• Void reports
• Repairs file
• Record of how SPI has been calculated.

SPI 2 (Service Performance Indicator)

• Tenancy start / end forms
• Record of occupied rooms
• Record of how SPI has been calculated.

KPI 1 / NI 142 - Key Performance Indicator 1, now known as National Indicator 142

• Core / client record forms
• Service user reviews / support plans
• Internal IT systems / rents
• Record of how KPI has been calculated

KPI 2 / NI 141 - Key Performance Indicator 1, now known as National Indicator 141

• Core / client record forms
• Service user reviews / support plans
• Outcomes forms
• Internal IT systems / rents
• Record / justification of planned and unplanned moves
• Record of how KPI has been calculated

The Supporting People team will agree a date for the validation visit, giving providers at least two weeks notice. A confirmation letter will be sent to the provider detailing the service and quarter to be inspected – Appendix 5. A copy of the checklist to be used will also be provided at this time – Appendix 6 or 7.

If the throughput numbers are high, during the quarter selected, the Supporting People team may ask to see a random sample of support plans and / or other documentation to verify the data. It is important however that all documentation is available at the time of the visit. We will not look at any personal information without written consent from the service user / ex service user. If the appropriate consent is not available then we would ask that you anonymise all information where relevant.

A consent form has been developed and previously circulated to all providers with a request that this is embedded into the service user induction process. This consent form should be held on file for future use - Appendix 8.

At the end of the visit the Supporting People team will provide feedback on their findings and agree, if required, an action plan for improvement. A copy of the Verification Visit Audit report will be sent out to providers within 5 working days with an appropriate deadline date for completion – Appendix 19. This date will be determined by the timing of the visit and whether data needs to be amended in time for adjustments to be made to subsequent quarter workbooks.

If the Supporting People team identify issues of concern a further meeting with the provider maybe arranged to look at ways of improving the monitoring systems in place. An action plan will be agreed to improve accuracy and additional Performance Indicator verification visits may take place. Alternatively, if a member of the Supporting People team is carrying out a contract monitoring visit in the near future, then the issues of concern will be registered internally and will be discussed as part of that meeting. If performance, in terms of the accuracy of submissions, does not improve this could lead to default proceedings or an early review notice being served in line with the Supporting People contract. A summary of the outcome of the PI verification visit will be included within the Management Information report and issues of concern will be highlighted and discussed at the Tameside Housing Partnership.

When

PI validation visits will take place throughout the year in line with the published timetable at Appendix 4.

3.  Contract Monitoring Meetings

3.1 Contract Monitoring Meeting Timetable

The Supporting People team have introduced a new approach to contract monitoring meetings that will have a focus on key strategic issues and performance as well as validating parts of the new QAF.

The timetable of contract monitoring meetings at Appendix 4 replaces the previous timetable of visits. The 12 month timetable runs from April 2010 until March 2011. A review of the effectiveness of this timetable and approach to contact monitoring will be carried out in January 2011. This will involve providers and service users.

The timetable has been developed using a risk matrix which includes the following criteria:

• Contract value
• Number of service users supported per annum
• Performance against three of the high risk quality objectives (health and safety, protection from abuse and complaints)
• Contract compliance
• Performance monitoring

This matrix has been applied at both service and provider level, resulting in three broad groupings for visits:

• Sheltered schemes
• Socially excluded
• Other

The Supporting People team reserve the right to vary the timetable and type of meeting to be held if issues of concern are identified. In this instance the provider will be given appropriate notice.

The Supporting People team also reserve the right to carry out additional visits that are not scheduled in the timetable. The Supporting People team will undertake these visits when specific concerns are identified – for example, complaints from service users or stakeholders or poor performance identified through the quarterly monitoring.

3.2 Type of Contract Monitoring Meetings

The new approach to contract monitoring involves visiting the service and meeting with either the contract manager (and / or any other named authorised staff member) or members of the staff team and service users. A contract monitoring meeting can take one of two forms. These are named:

1. A standard contract monitoring meeting
2. An enhanced contract monitoring meeting

The contract monitoring timetable identifies which type of meeting is scheduled to take place. More information regarding what each meeting consists of can be found at section 3.2.1 and 3.2.2.

3.2.1 Standard Contract Monitoring Meeting

A standard contract meeting will involve a member of the SP team and the contract manager from the service provider (and / or any other authorised staff member). Wherever possible, the meeting should be arranged to take place at the service and it is expected that a standard contract monitoring meeting will take approximately two hours.

A standard contract monitoring meeting will consist of:

• A formal discussion with the contract manager and / or any other authorised staff member
• Tour of the building to check the living environment (if appropriate) – Appendix 22.
  

The agenda will be flexible depending on the issues to be discussed; however standard agenda items are likely to include:

• Performance data from PI returns
• Referral, admissions and demand information
• Outcomes data
• Staffing issues
• Complaints and compliments
• Safeguarding issues
• Length of stay
• Value for money
• QAF Continual Improvement
• Case studies demonstrating distance travelled by service users / barriers to achieving outcomes
• Progress to meeting the Council’s strategic objectives e.g. worklessness agenda
• New opportunities.

The Supporting People Officer will present the performance data specified above, in the form of a comprehensive service level management information report. This will be sent to the provider, along with all other paperwork, two weeks prior to the meeting. The provider should ensure they are familiar with the content of the report, prior to the meeting, so that a meaningful discussion can take place.

Examples of additional agenda items, which may be discussed, could include performance targets not being achieved and changes in demand for the service. Outcomes may include negotiating with the provider to adjust the service. Similarly where staffing levels fall below those contained within the Baseline Schedule 3 of the contract, within any quarter, we reserve the right to adjust the payment accordingly. We will do this only after discussion with the provider.

The provider may wish to present an anonymised case study which highlights good practice in service delivery and / or a case study which identifies barriers to a service user achieving positive outcomes. 

The SP Officer will record the details of the meeting and if necessary an action plan will be agreed and sent to the provider within 5 working days.

Joint contract monitoring meetings will take place, wherever possible, with other commissioners to minimise disruption for providers. Joint contract monitoring procedures are currently being developed with Adult Services and will be integrated into this contract monitoring procedure once complete.

3.2.2 Enhanced Contract Monitoring Meeting

An enhanced contract monitoring meeting will involve 1 or 2 members of the SP team and if appropriate a Peer Reviewer.

If providers have self assessed at level C, an enhanced contract monitoring meeting will involve:

• Staff consultation – Appendix 16A
• Service user / carer consultation – Appendix 16D
• Tour of the building – Appendix 22
• Staff / service user observation tool – Appendix 23.

If providers have self assessed at level B and A we will also need to:

• Carry out stakeholder consultation
• Validate documentation.

The meeting, where possible, will take place at the service. It is expected that an enhanced contract monitoring meeting will take approximately three hours. The contract manager does not need to facilitate the meeting as long as the agreed arrangements have been made to ensure that the visit runs smoothly.

The purpose of the enhanced contract monitoring meeting is to validate the providers annual QAF self assessment in terms of staff and service user feedback. The standard(s) validated will be determined by several factors including previous service performance, the standards / levels identified in the self assessment, service user priorities and strategic priorities. The standards to be validated will be discussed and agreed with the provider before the meeting takes place.

The Supporting People Officer will record the details of the meeting and if necessary an action plan will be agreed and sent to the provider within 5 working days.

3.3 Arranging a Contract Monitoring Meeting - Standard and Enhanced

The contract monitoring timetable was issued to providers in February 2010 giving formal notice of when the various contract monitoring meetings are due to take place throughout the year. The SP Officer will give the provider written notice of the exact date and time of the meeting at least one month in advance – Appendix 9 and 10.

3.3.1 Standard Contract Monitoring Meeting

Confirmation of the meeting, including venue and timings, the agenda, service level management information report and any other supporting information will be sent to the provider two weeks prior to the meeting taking place – Appendix 11 and Appendix 13. The provider will be invited to contribute to the agenda to ensure the meeting is meaningful and relevant to both parties

3.3.2 Enhanced Contract Monitoring Meeting

Confirmation of the meeting, including venue and timings, the agenda and contract monitoring tools will be sent to the provider four weeks prior to the meeting taking place – Appendix 12 and Appendix 14. This will ensure that there is sufficient time for the various questionnaires to be circulated, completed and submitted to the Supporting People Officer prior to the meeting taking place.

3.4 Involvement of Others

In order to obtain as many views as possible the Supporting People Officer will ask providers to ensure that all relevant parties are involved in the consultation process

3.4.1 Involvement of Staff 

The SP Officer will need to speak to staff members at an enhanced contract monitoring meeting. The provider should ensure that all staff are given a letter explaining the purpose of the meeting – see Appendix 15. The Supporting People Officer will use the staff question tool to consult with staff – see Appendix 16A. The number of questions asked will be determined by the standards being validated.

Staff will also be asked to complete a staff questionnaire before the visit – see Appendix 16B (short term services) and 16C (long term services). This will ensure that all staff, including night workers etc is given the opportunity to provide feedback. The Supporting People Officer will customise the questionnaire so it focuses on the standards being validated and will send this to the provider four weeks prior to the meeting taking place. Providers are asked to ensure that all staff are given a copy. The completed questionnaires should then be sent to the Supporting People Officer two weeks prior to the consultation so that a full analysis can be completed prior to the meeting.

3.4.2 Involvement of Service Users

The Supporting People Officer will need to speak to service users at the enhanced contract monitoring meeting. Providers should ensure that a letter is given to all service users – see Appendix 17. Providers are also asked to display the poster at Appendix 18. The Supporting People Officer will use the service user question tool to consult with service users – see Appendix 16D. Innovative ways of consulting with service users will be introduced and service user feedback will be obtained to assess effectiveness.

Service users will also be asked to complete a service user questionnaire before the visit. The Supporting People Officer will customise the questionnaire at Appendix 16E, so it focuses on the standards being validated, and will send this to the provider four weeks prior to the meeting taking place. Providers are asked to ensure that all service users are given a copy and, if appropriate, support service users in completing the form and / or sign post to independent agencies. The completed questionnaires should then be sent to the Supporting People Officer two weeks prior to the consultation taking place so that an analysis of responses can be carried out before the meeting.

After Supporting People Officers have met with service users they will be asked to complete a simple evaluation form to ensure that the consultation was conducted in an effective and appropriate way – Appendix 26.

3.4.3 Involvement of Carers

Carers are anyone who is interested in a service user’s wellbeing - e.g. a relative or friend. The letter to service users attached at Appendix 17 informs service users that we would also like to consult with carers. Carers will be invited to attend the service user consultation via the scheme poster – Appendix 18. The provider should ensure that any known carers are made aware of the planned consultation and are invited to attend. It is particularly important that carers are with service users who have communication difficulties. If the time of the consultation is not convenient for a carer then the Supporting People Officer will offer to meet separately or consult with them over the telephone at an agreed time.

3.4.4 Involvement of Stakeholders

In order to validate self assessments at level B and A it will be necessary to consult stakeholders via questionnaire. More information will be provided at a later date.

3.4.5 Peer Reviewers

The Supporting People team have trained service users / ex service users to be Peer Reviewers. Their role is to support the Supporting People Officer during the service user consultation. All Peer Reviewers have been CRB checked and have signed a confidentiality statement. The Supporting People Officer has overall responsibility for the consultation and will support the Peer Reviewer throughout the process.

3.5 Monitoring the Action Plan and Conclusion

The Supporting People Officer will send the contract manager, or other authorised named person, a written report in a standard format, within five working days.

In addition the Supporting People Officer will send the contract manager a summary report, including a copy of the action plan, which will need to be circulated to service users and if appropriate their carers / friends. This feedback will be written in plain English and will provide a brief summary of our findings from the visit.

The SP Officer will monitor progress on the action plan and will ask the provider to submit all action plan evidence at the same time. The Supporting People Officer will offer to meet with the provider if additional support is needed.

If a provider fails to meet the requirements of the agreed action plan this could result in more regular contract monitoring meetings taking place, default proceedings being instigated or an early review notice being service in line with the Supporting People contract.

A summary of the outcome of the contract monitoring visit will be included within the Management Information report and issues of concern will be highlighted and discussed at the Tameside Housing Partnership.

If providers are not happy with the contract monitoring report and validated QAF levels they should contact the Supporting People Lead Officer and / or follow the appeals procedure at Appendix 24.

At the end of the process providers will be sent an evaluation form, which will enable us to check that the contract monitoring process is effective. In addition a QAF validation certificate will be presented to the provider.

When

Contract monitoring visits will take place in line with the published timetable at Appendix 4.

4. Sharing Good Practice

Any areas of good practice identified during the contract monitoring process will be highlighted with the provider both verbally and in writing. With the consent of the provider, the SP team may share examples of good practice with other Supporting People providers.

5.  Additional Information

If providers require further clarification regarding this Contract Monitoring policy and procedure please contact a member of the Supporting People team on 0161 342 3267.

Please contact the Supporting People Team for copies of appendices 16a - 16E, 20, and 23..