CLACKMANNANSHIRE COUNCIL

Report to Housing, Health & Care Committee

Date of Meeting: 22 January 2014

Subject: Chief Social Work Officer Annual Report 2013

Report by: Val de Souza, Head of Social Services & Chief Social Work Officer

1.0 Purpose

1.1. Section 5(1) of the Social Work (Scotland) Act 1968 as amended by Section 45 of the Local Government, etc (Scotland) Act 1994 requires every Local Authority to appoint a professionally qualified Chief Social Work Officer (CSWO). In March 2009, the Scottish Government published national guidance on the role of the CSWO: Principles, Requirements and Guidance. Overall, the role is to provide professional governance, leadership and accountability for the delivery of social work and social care services, whether these are provided by the Local Authority or purchased from the private or voluntary sectors.

1.2. The report is an overview by the Chief Social Work Officer and provides an assessment of the key issues of the activities related to the delivery of the statutory social work services, over the last year (2012-2013). It is designed to compliment the performance management and governance systems in existence across shared services covering Clackmannanshire and Stirling Council areas. It outlines challenges faced in 2012 and both the challenges and opportunities faced in 2013/14 onwards.

1.3. This report is submitted annually to Committee for consideration and information.

2.0 Recommendations

2.1. It is recommended that the Committee note the Chief Social Work Officer's Annual Report as set out in Appendix 1.

3.0 Considerations

3.1. The report outlines the activity undertaken by individual service areas over the last year and encompasses both challenges faced and opportunities taken. Overall, the report identifies a number of key themes:

• continued and increased activity in the areas of public protection - child protection, adult protection and the management of offenders

• increased demand for mental health interventions

THIS PAPER RELATES TO ITEM 6

ON THE AGENDA

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• increasing demand for alternative family placements - adoption / fostering and kinship care

• the introduction of additional scrutiny of significant cases in an attempt to support staff with challenging cases and create a cultural learning and continuous improvement

• Shared Services update

• service challenges in 2013

• forthcoming public sector legislative / policy changes in 2013/14

• areas of transformational change related to budgetary constraints and creating a modern service

• emphasis on early identification/ intervention and prevention in both child care and adult care services.

3.2. The report also highlights some key pressures that Social Work and Social Care Services face in the coming year brought about by rising demand in many areas; new legislation and new and increasing National Policy demands including Health and Social Care Integration; Children’s Bill, Self Directed Support Legislation and the redesign of the Criminal Justice Service.

3.3. Finally, the report highlights the evaluation and improvement work which has been undertaken across social work services as demonstrated by both self-evaluation, external scrutiny, regulations and inspection, and complaints evidenced from the last year.

4.0 Sustainability Implications

4.1. N/A

5.0 Resource Implications

5.1. Financial Details

5.2. There are no financial implications associated with this report. No

5.3. Finance have been consulted and have agreed the financial implications as set out in the report. Yes

5.4. Staffing

There are no additional staffing implications associated with this report.

6.0 Exempt Reports

6.1. Is this report exempt? Yes (please detail the reasons for exemption below) No

7.0 Declarations The recommendations contained within this report support or implement our Corporate Priorities and Council Policies.

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(1) Our Priorities (Please double click on the check box )

The area has a positive image and attracts people and businesses Our communities are more cohesive and inclusive People are better skilled, trained and ready for learning and employment Our communities are safer Vulnerable people and families are supported Substance misuse and its effects are reduced Health is improving and health inequalities are reducing The environment is protected and enhanced for all The Council is effective, efficient and recognised for excellence

(2) Council Policies (Please detail)

8.0 Equalities Impact

8.1 Have you undertaken the required equalities impact assessment to ensure that no groups are adversely affected by the recommendations? Yes No

9.0 Legality

9.1 It has been confirmed that in adopting the recommendations contained in this report, the Council is acting within its legal powers. Yes

10.0 Appendices

10.1 Please list any appendices attached to this report. If there are no appendices, please state "none".

Appendix 1 Chief Social Work Officers Annual Report 2012-2013

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11.0 Background Papers

11.1 Have you used other documents to compile your report? (All documents must be kept available by the author for public inspection for four years from the date of meeting at which the report is considered) Yes (please list the documents below) No

Author(s)

NAME DESIGNATION TEL NO / EXTENSION

Carol Johnson Policy Officer

01259 452368

Approved by

NAME DESIGNATION SIGNATURE

Val de Souza Head of Social Services

Nikki Bridle Director of Finance and Corporate Services

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CLACKMANNANSHIRE AND STIRLING COUNCILS

CHIEF SOCIAL WORK OFFICER

ANNUAL REPORT

December 2013

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CONTENTS

1. Introduction • Role of Chief Social Work Officer • Key Areas of Responsibility for Chief Social Work Officer

2. Regulation, Inspection and Improvement Activity

3. Complaints

4. Workforce Planning & Development

5. Key Challenges faced in 2012 / 2013 and Significant Issues for 2013/14

6. Capacity for Change / Leadership

7. Conclusion

Appendix 1: Statutory Social Work Complaints Procedure – Annual Reports

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1. INTRODUCTION Local authorities have a statutory responsibility1 to promote social welfare, and linked to this is the requirement for every local authority to appoint a professionally qualified Chief Social Work Officer (CSWO). The Scottish Government published national guidance for local authorities on the appointment and responsibilities of Chief Social Work Officers, including related reporting arrangements. The arrangements in Clackmannanshire and Stirling Council areas are consistent with this guidance. The role has defined principles and requirements2 to ensure the discharge of local authority’s statutory social work duties, whether provided directly or purchased3 on behalf of the authority. Role of Chief Social Work Officer (CSWO) The role of the CSWO is to oversee social work services and ensure the delivery of safe, effective and innovative practice that meets national standards and provides best value. It should be positioned at a level of seniority4. The post assists authorities in understanding the complexities of social work service delivery. The CSWO is responsible for providing professional leadership as well as playing a part in overall performance improvement, and the identification and management of corporate risk, insofar as they relate to social work services. The CSWO is also responsible for preparing an annual report to the local authority although the guidance does not prescribe the format or content. Key Areas of Responsibility For CSWO 1) Promotion of social work values and standards / professional leadership Alongside other key professions, social work has an important contribution to make to realising notions of citizenship, inclusivity, fairness and outcome focussed improvement. The service communicates and reviews its effectiveness in these areas on a regular basis and the CSWO has had a key role in the following:

• Regular bulletins to staff • Leadership events, at service, senior management and team manager level • Workforce development activity to ensure that workers meet the requirement of SSSC

Codes of Practice • Support and advice to managers in maintaining and developing high standards of practice

and supervision. This will be monitored through the recent introduction of an audit process of supervision

• Sharing good practice and learning through practitioner forums • Regular “Open Door” Sessions

2) Effective governance arrangements The Chief Social Work Officer is the Head of Social Services across Clackmannanshire and Stirling Councils. The Lead Authority for Social Services is Clackmannanshire and line management of the Head of Service / CSWO is to the Chief Executive of Clackmannanshire although the shared service arrangement requires the post holder to report to and be accountable to both Chief

1 as contained within Section 3 of the Social Work (Scotland) Act 1968 2 section 5(1) of the Social Work (Scotland) Act 1968 3 includes purchased services from the private and voluntary sector and the CSWO has responsibility to advise on the specification, quality and standards of services commissioned. 4 and demonstrate extensive experience at a senior level of both operational and strategic management of social work and social care services

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Executives and elected members in both Authorities. In addition to regular one to one sessions The Chief Executive of Clackmannanshire has recently set up meetings with the Head of Service / CSWO to overview the role and performance of the CSWO. Within the social work service there is a need to manage the complex balance of need, risk and civil liberties, in accordance with professional standards. This has been undertaken in Clackmannanshire and Stirling through the implementation of a series of frameworks designed to improve performance and quality assure service provision.

• Social Services Performance and Quality Assurance Framework • Child Protection Performance and Quality Assurance Framework • Audit and Quality Assurance model (Practice Governance) • Service Development Plans at team level with Service Management Accountability

The contribution of social services to the strategic priorities of both Clackmannanshire and Stirling Councils is expressed through the Social Services Business Plan. Both a management team and a performance forum serve Criminal Justice, Child Care and Adults’ services, with overall quality assurance monitored through a social services wide forum. The service development plans represent the services contribution to this and are the vehicle through which staff should be meaningfully engaged and key actions are noted. These plans contain a number of 'non negotiable' key management actions to ensure appropriate governance. These include performance monitoring, absence management, budgetary management and engagement of the workforce. Individual work is overseen through supervision, annual appraisal and audit practice. 3) Statutory decision making in Social Work matters The role of the Chief Social Work Officer is to provide professional governance, leadership and accountability for the delivery of social work services. In addition, there are a number of duties and decisions that relate primarily to the curtailment of individual freedom and the protection of both individuals and the public, which must be made either by the Chief Social Work Officer or by a professionally qualified social worker to whom responsibility has been appropriately delegated. The Council’s scheme of delegation provides for senior social work staff to make certain decisions on behalf of the local authority in the following areas:

• Mental Health, encompassing the role of the Mental Health Officer (MHO) and working with/ enacting the Mental Health and Treatment Act and the Adults with Incapacity Act

• Adoption

• Secure accommodation and emergency placement of children.

• Protection and Risk Management

o Child Protection o Adult Protection working with the Adults Support and Protection (Scotland) Act 2007 o Multiagency Public Protection Arrangements (MAPPA) – includes the risk

management of sex offenders and certain violent offenders Mental Health Mental Health (Care and Treatment) (Scotland) Act 2003 There are different orders allowing a person to be assessed or treated under the Mental Health Act, depending on individual circumstances, and this Act applies to individuals of all age’s not just adults.

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Local Authority Mental Health Officers have a statutory role in preparing applications, reports and care plans in relation to people who are or may be subject to compulsory5 care and treatment in hospital or in the community. Servicing the Tribunal arrangements, which have the power to authorise compulsory measures, represents a substantial proportion of Mental Health Officers’ workload. There is a much smaller number of compulsory measures, which relate to mentally disordered offenders. Though smaller in number, the legislative requirements are critical and complex and the risk factors can be significant. Table 1

For period April 2012 to March 2013 Clacks Stirling Number and rate (where available) per 100k population

No Rate No Rate

Emergency Detention Certificates – Sec 36

3 N/A 25 N/A

Short term Detention Certificates – Sec 44*

26 51 47 52

Compulsory Treatment Orders (existing)*

7 14 19 21

Compulsory Treatment Orders (new applications)

12 N/A 21 N/A

Statutory Assessments (e.g. Sect 86, 92, 95)

3 N/A 23 N/A

Source: *Mental Welfare Commission For Scotland6 all other figures provided by local authority. Generally short-term detention, rather than emergency detention, should be the usual route into compulsory treatment and although practice within Clackmannanshire and Stirling appears consistent with the spirit of the 2003 Act, across Scotland the rate of emergency detention certificates are on the increase and this aspect is something which will continue to be monitored locally, on account that it is recognised individuals have no right of appeal under emergency provision and because there is some concern expressed by the Mental Welfare Commission that the increased use of emergency detention certificates might reflect increasing pressures on psychiatric emergency services and/or reduction in the capacity of services to cope with demands. Where an individual needs to be admitted to hospital on a compulsory basis, then mental health officer services delivered by Clackmannanshire and Stirling Council Social Services help to explain processes and make arrangements to make admissions less traumatic as well as take steps to safeguard individual property and possessions, as necessary. Notably, a mental health officer must be actively involved with services users where there are compulsory measures in place and under section 26 of the 2003 Act there is a legal requirement for Local Authorities to provide an appropriate range of community supports for individuals who are affected, or who could be affected by the Act. This is key in terms of supporting individuals who suffer from fluctuating mental health difficulties, including enduring/complex to mild/moderate conditions who might be susceptible to compulsory measures as well as informal interventions. In recognition of statutory requirements and responsibilities the Integrated Mental Health Services have extended community services in an effort to ensure greater choice and alignment with service user preference. This service is delivered in partnership with NHS Forth Valley and focuses on early support, self-management where appropriate and employability. In Clackmannanshire there has been a reduction in referrals to clinical psychiatric services and this offers a real measure of success. It is anticipated that this approach which was introduced in Stirling more recently will also have similar outcomes in going forward.

5 Compulsory measures of care and treatment fall under the remit of the Mental Health (Care and Treatment) (Scotland) Act 2003 6 http://www.mwcscot.org.uk/publications/statistical-monitoring-reports/

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Compulsory Treatment Orders (CTO) may be extended annually. A Mental Health Officer must be actively involved with service users where there are compulsory measures in place. Section 26 of the act is the Local Authorities responsibility to provide an appropriate range of community supports for individuals who are affected, or who could be affected by the Act. This is key in terms of CTOs. The Integrated Mental Health Services have extended community services and ensured greater choice and alignment with service user preference. This service is delivered in partnership with NHS Forth Valley and focuses on early support, self-management where appropriate and employability. In Clackmannanshire there has been a reduction in referrals to clinical psychiatric services and this offers a real measure of success. Criminal Procedures Scotland Act 1995 If an individual has been involved in a criminal offence, but was suffering from a mental illness at the time, the court has the power to ensure the person receives care and treatment under the Mental Health Act. A Mental Health Officer will contribute to the assessment of the person and provide reports to court. If an individual is convicted of an offence, for which the punishment is imprisonment, instead of imposing a prison sentence the court may detain the person in hospital using a Compulsion Order, or impose strict conditions, which would allow the person to receive treatment, while living in the community. If the court makes an individual subject to a Compulsion Order, it can also add a Restriction Order, if it considers this necessary. This will restrict the person’s movement to the extent that s/he may not be transferred to another hospital or be granted leave from the hospital without the consent of the Scottish Ministers. The table below shows the total number of orders under the Criminal Procedures: Table 2

Total Clacks Stirling Compulsion Orders/Restriction Orders 2 0

This level of activity reflects the interface between Criminal Justice legislation and Mental Health Legislation. Adults with Incapacity Under the Adults with Incapacity(s) Act 2000, Councils have a duty to ensure that when someone over the age of 16 is deemed unable to make decisions to safeguard his/her welfare and/or property or finances, the local authority carries out an assessment of the needs of that individual, and makes a decision as to whether someone else ( a relative or the local authority) should be given the legal authority to make decisions on behalf of the person. Inability to make such decisions is usually the result of a learning disability, acquired brain injury or dementia. Any person with an interest in an individual’s welfare, including a family member, may make an application to Court to be appointed as welfare and/or financial guardian. If the need for guardianship is established and no interested person is willing or able to take on the role, the local authority has a duty to make an application for the Chief Social Work Officer to be appointed as welfare guardian. There is a duty to make applications for necessary Intervention Orders (one off statutory authorisations) or Guardianships (on-going authorities to make decisions) in relation to Welfare or Financial matters where no one else is able to do so. The Law also requires the Councils to undertake an investigative function, into allegations of neglect, exploitation or abuse against those who do not have or have lost capacity. The following table indicates assessments undertaken:

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Table 3

2012 - 2013 Clacks Stirling Existing Guardianships Total (private and local authority) 78 166 Local Authority Existing Guardianships 14 20 Guardianship Reviews 60 75 Power of Attorneys granted (new) 267 347 Power of Attorneys up to 31March 2013 (existing) 907 2816

Source for Stirling and Clacks figures7 According to the Mental Welfare Commission's overview report 2013/13 regarding the use of Adults with Incapacity (Scotland) Act 2000 the number of new and existing orders continues to rises. In the past year there has been an increase in local authority applications across Scotland. Significantly, this development represents particular challenge for local authorities in managing the workload of mental health officer services.

Interestingly, the granting of orders on an indefinite basis has fallen for both private and local authority approved applications. Also, the percentage of orders granted where the cause of the adult's incapacity was dementia reduced from the previous year. Conversely, there was a reported increase of orders granted where the incapacity was caused by a learning disability. In real terms there has been just over a 9% increase in approved applications across Scotland with considerable variations noted across the country. Notably, five local authority areas saw increases in approved orders of 40% or greater, with the highest increases evident in Clackmannanshire, Midlothian, East Lothian, Renfrewshire and Eilean Siar. The trend in Stirling like elsewhere in Scotland observes an increase in applications which services are continuing to support operationally. The relevance of the figures illustrate how difficult it can be for local authorities to plan ahead and ensure adequate mental health officer response. Given the on-going statutory requirements and levels of activity relating to this area of practice social services remains vigilant to the need to monitor the use of the various provisions of the 2000 Act and relative trends which might have implications for future workload management and service planning. There is growing concern nationally about the reduced number of MHOs being trained. This is being monitored closely in Clackmannanshire and Stirling. Table 4

Guardianship orders granted 2012-2013 Local

Authority Private All Local

Authority Private All

Number Rate per 100K 16+ Population*

Clackmannanshire 4 15 19 10 36 46 Stirling 6 20 26 8 27 35 SCOTLAND 503 1426 1929 12 33 44

The majority of welfare guardianship orders are known as ‘private’, whereby an adult with a relevant interest in the subject of the order, and who has no statutory role, is appointed as guardian. The Chief Social Work Officer is required to both advise and supervise all private welfare guardians in the discharge of their functions. Duration of guardianship orders granted to Local Authorities 2012-2013 Table 5

7 Stirling source is BST (Helen Cowan)

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Local Authority Duration of Orders in Years Years 0 to 3 4 to 5 Over 5 Indefinite Total Indefinite No. No. No. No. No. % Clackmannanshire 2 0 1 1 4 25% Stirling 4 1 0 1 6 17% Total average 25%

Adoption This legal process breaks the tie between a child and his/her birth family and recreates it with adoptive parents. Table 6

Total for period April 2012 to March 2013 Clacks Stirling Children placed for adoption 2 3 Step parent adoption with Council approval 1 No data

available Registered for adoption at panel

4 13

Source: Local Authority The figures for step parent adoptions are low across both areas and this reflects the national picture. Currently due to different data recording systems these are not recorded for the Stirling areas, this will change with the introduction of the planned single case management system. Securing early permanent alternative family-based care for children unable to remain with their birth family is one of the most important factors in their healthy emotional development. It is recognised that there are alternatives to adoption, which can secure this permanence including permanence orders; permanence orders with the authority to adopt and kinship care arrangements. Within Clackmannanshire, there have been improvements in the matching of children with prospective adoptive families linked to the use of the Scottish Adoption Register, The North East Consortium for the placement of children and the Forth Valley Permanence Group. This has reduced the timescales for children from Clackmannanshire waiting for substitute care. Secure accommodation of children In very limited circumstances, when children are considered to present a serious risk of harm, either to themselves or to others, the Chief Social Work Officer may authorise their detention in secure accommodation. These decisions must be confirmed by a Children’s Hearing and must be kept under close review. Courts also have the power to order the detention of children in secure accommodation. Emergency placement of children is subject to statutory provisions: Children’s Hearings may impose conditions of residence on children subject to supervision requirements. Only a Children’s Hearing may vary such conditions. The local authority must ensure that these conditions are implemented. If a child who is required to reside at a specified place must be moved in an emergency, the Chief Social Work Officer may authorise the move, following which the case must be referred to a Children’s Hearing. Close support provides vulnerable young people with a safe structured setting to either prevent the need for them to enter into secure care or as a follow on from them leaving secure to assist in the transition back to their communities.

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The numbers for young people in secure care and close support tend to be very low, less than 1% of all Looked After and Accommodated young people. This make comparisons between authorities less meaningful however there has generally been a decrease in secure care across Scotland with Clackmannanshire's figures more in line with this national trend. Given the numbers are very small any changes tend to be linked to individual circumstances rather than external factors. It should be noted that with the extension of the Whole Systems Approach to youth offending by the Scottish Government to now cover 16-18 year olds there may be an increase in the use of secure as these young people remain within the child care system rather than moving on to Criminal Justice Services.

Table 78: Number (6) and rate (3) of young people admitted to secure care and close support accommodation (1,2) 2010-2012, by local authority

Secure Accommodation Close Support Year ending 31st

March Year ending 31st July Year ending 31st

March Year ending 31st Jul

2010 2011(4) 2012 2010 2011(4) 2012

Number and rate per 1000 pop aged 10-19 LA of young person's home No Rate No Rate No Rate No Rate No Rate No Rate

Clacks 5 0.8 2 0.3 4 0.6 2 0.3 1 0.2 0 0.0

Stirling 5 0.4 3 0.2 5 0.4 2 0.2 0 0.0 1 0.1 Source: Scottish Government9 Protection and Risk Management

o Child Protection o Adult Protection o Multiagency Public Protection Arrangements (MAPPA)10

Careful and complex decisions taken within the service, as to when and how there may be intervention in the lives of individuals and families may have far-reaching consequences for those concerned and fundamentally affect the future course of their lives. The assessment and management of risk posed to individual children, adults at risk of harm and the wider community are part of the core functions of the social work service. Social workers are trained to make assessments taking account of factors including identifying and balancing need, risk, and rights; to deal with behaviour that is abusive; and to intervene to assist and to protect individuals or communities. They make judgements on intervening in families to provide protection. This includes making judgements about depriving individuals of their liberty for periods of time. The effective management of risk depends on a number of factors, including: • Qualified, trained and supported staff, with effective professional supervision. Clear policies

and procedures and use of agreed or accredited assessment tools and processes • Consistency of standards and thresholds across team, service and organisational boundaries • Effective recording and information sharing

8 (1) From 2010 to 2012 Centres have opened and closed and total capacity has changed. Please refer to footnotes 1 and 5 in Table 5.1 for more information on this. There was a change in reporting period for 2010/11 (from August to July). Previous years ran from April to March. (2) Information on close support accommodation was collected for the first time in 2010. Reported usage relates only to close support care provided in dedicated close support units, and does not include any close support provided in alternative settings. (3) Based on National Records of Scotland mid year population estimates. (4) Data revised for 2010/11. (5) 2010/11 - includes 1 unknown in 'outwith Scotland' (6) Young people can be admitted more than once during the year. 9 http://www.scotland.gov.uk/Topics/Statistics/Browse/Children/PubChildrenSocialWork/ChildrensSocialWorkStatistics2011-12AdditionalTabl 10 includes the risk management of sex offenders and certain violent offenders

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• Good quality performance management data to inform resource allocation and service improvement

• Multi-disciplinary and inter-agency trust and collaboration. • Local audit of case files, practice and supervision. Reflecting the importance of joint working, the following multi-agency mechanisms are well established in both Clackmannanshire and Stirling: • Chief Officers Group – referred to as the G5 across Forth Valley. This is comprised of the Chief

Executive of NHS Forth Valley, the three local Authority Chief Executives and the Chief Constable

• Shared Child Protection Committee, across Stirling and Clackmannanshire. This Committee has an Independent Chair which provides independent scrutiny, support and challenge

• Shared Adult Protection Committee across Forth Valley. This Committee also has an

Independent Chair that provides independent scrutiny, support and challenge. This Committee also strives for a high degree of consistency across Forth Valley, which assists the NHS and Police Scotland in driving standardised, collaborative practice.

The Chief Social Work Officer is a member of each of the above groups . Membership of the Chief Officer’s Group allows the Chief Social Work Officer to give an overview of related risk management activity, both within the Council and across agency boundaries. The Senior Officers Group In 2012 the CSWO set up a forum with multiagency Senior Officers, including the Independent Chair of the Child Protection Committee (CPC), to overview Child Care cases where there have been particular challenges, concerns and / or areas requiring further review / scrutiny and learning. It is now a subgroup of the CPC. The key focus is to identify and create the conditions for embedding learning from challenging, high-risk cases. The Senior Officers Group meets approximately every two months, but can meet as an issue arises that requires more immediate attention, and can be requested by any agency. It also acts as the decision making forum for cases where an internal / external review or significant case review may be required. Cases can be referred to the group by the Child Protection Committee or elsewhere but will always be discussed by the CPC. Since the group has been set up it has considered 5 cases, 4 cases (Stirling) have been discussed actions agreed / action plans have been produced, actions completed and learning embedded in practice; 1 case is the subject of an external Significant Case Review (Clackmannanshire). This Review should be completed within the next three months. Child Protection Activity A summary of the volume of protection related activity is detailed below: Table 8

Children

Clacks Stirling

Child protection referrals 225 total 255 total No subject to a initial case conference

For period April 12 to March 13

34 total 86 total

Children on child protection register 45 average

66 average

Children looked after at home As at 31st March 2013

62 141

Children looked after away from home 130 120

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As at 31st March 2013 Source: Local Authority Adult Support and Protection Activity Below is an indication of the adult support and protection activity in the Stirling/Clacks area. Table 9 Adult Protection referrals for the past four years

Year Number Clacks Number Stirling Total 2009/10 52 108 160 2010/11 101 162 263 2011/12 51 249 300 2012/13 73 220 293

The number of referrals over the last four years has risen and now has levelled in Stirling Council area. There is an improved understanding of the legislation amongst staff in all agencies and there is also increased public awareness since the Adult Support and Protection (Scotland) Act was implemented. This has meant an increase in referrals of adults who may be at risk of harm. In Clackmannanshire Council area, there has been a fluctuation in the levels of referrals with a peak in 2010/11. Large-scale investigations involving a number of adults (for example in Care Homes) have lead to a higher than average number of referrals in particular reporting periods. The appointment of one Adult Support and Protection Lead Officer who undertakes an operational role and one Adult Support and Protection Coordinator across Clackmannanshire and Stirling Council areas is helping to embed consistent practice standards. The number of referrals over the last four years has risen and now has levelled in Stirling whilst fluctuating in Clackmannanshire. Large-scale investigations (for example in Care Homes) involving a number of adults at risk have inflated numbers for that reporting period. As more training is rolled out and has a wider impact on awareness it is expected that more cases will be reported to adult care for adult protection inquiry and intervention, this preventative rather than reactive focus would be considered good practice. Table 10 Adult Protection activity 2012/13

Year 2012/13 Number Clacks Number Stirling Total Referrals 73 220 293 Inquiries 67 220 287

Investigations 18 77 95 Case Conferences 10 22 33

Review Case Conferences

1 10 11

In the coming year efforts will be made to include views of people who have been through the adult protection process in the management information. This will give the councils and adult protection partnership an indication whether the activity detailed above is having a positive outcome for people who are supported and protected under the legislation. Multi-Agency Public Protection Arrangements (MAPPA) The management of dangerous offenders in the community is one of the highest priorities for criminal justice social work and police working together. Housing and health services also play a significant role in the detailed multi-agency procedures, which are followed in both areas. This activity requires to be reported to Scottish Government.

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When subject to statutory supervision on release from prison, offenders require to comply with any conditions attached to their release. They are subject to as close monitoring and control by social work, police and health as legal circumstances allow. If the offender breaches the conditions of release, or re-offends, they may be subject to a recall to prison, either by Scottish Ministers or the Parole Board. Multi-Agency Public Protection Arrangements (MAPPA) are defined in legislation and national guidance and currently apply to the management of all registered sex offenders. These arrangements are well established in Fife and Forth Valley, and ensure effective joint management for this group of offenders. A planned audit to determine the quality of the practice interface between childcare services and the MAPPA process is currently being undertaken. This activity has been jointly commissioned by the Child Protection Committee and the MAPPA strategic oversight group The outcomes of the audit once complete will be considered by both strategic groups and any necessary adjustments or improvements to operational practice will be implemented. Table 11 MAPPA cases assessed by risk 11 for period 2012-2013

Managed by risk Clacks Stirling Low 11 13 Medium 26 25 High 4 7 Very High 0 0

During 2013/13 the MAPPA process across Stirling and Clackmannanshire was subject to increased standardisation of defined risk level based upon the assessed risk assessment undertaken on a multi agency basis. This has enabled a reconfiguration of risk levels of clients and has ensured that we allocate resources appropriately on a multi partner basis and reflect and manage the actual perceived risk that offenders pose. The Stirling and Clackmannanshire risk levels are similar to the Risk Categorisation Matrix in other Criminal Justice Authorities. Clackmannanshire and Stirling Councils are part of the Fife and Forth Valley Community Justice Authority (CJA)12, which provides a co-ordinated approach to planning, and monitoring the delivery of community based Criminal Justice Social Work Services. The CJAs bring together representatives from statutory partners (including CSWO) to agree 3 Year Area Plans and Annual Action Plans, to allocate the annual Section 27 Criminal Justice Social Work funding to local authorities, and monitor performance and progress against the actions and spending. The aim of CJAs is to target services to reduce reoffending and to ensure close co-operation between community and prison services to aid the rehabilitation of offenders. Routine CJA partnership working also takes place around MAPPA (Multi Agency Public Protection Arrangements), and links with Community Planning Partnerships, Alcohol and Drugs Partnerships, and Community Health Partnerships. CJA Chief Officers are members of Local Criminal Justice Boards, and link in with national multi agency groups around specific issues 11 MAPPA Risk Levels Low – No current indicators of risk of harm, Medium – Has the potential to cause harm but currently unlikely to do so unless a change of circumstances occurs, such as non-compliance with medication, High - The offender has caused serious harm and there are current risk indicators which indicate that the offender may do so again, Very High – High likelihood that offender will cause serious harm very soon. 12 The 8 Community Justice Authorities (CJAs) across Scotland are statutory bodies created by the Management of Offenders etc. (Scotland) Act 2005 and have been fully operational from April 2007.

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Offenders in the community subject to statutory supervision at 31 March 2012 Table 12

Male Female Clacks Stirling

Probation orders13/Community Payback Orders with a requirement for supervision

Cl 63 St 67

Cl 16 St 14

79 81

Community service orders14/ Community Payback Orders with a requirement for unpaid work

Cl 118 St 126

Cl 18 St 13

136 139

Drug treatment and testing orders Cl 8

St 12 Cl 2 St 4

10 16

Bail supervision CI 23 CI 9 32 N/A

Number of individuals subject to Statutory Through Care

CI 61 St 83

CI 3 St 3

64 86

The figures for Community Payback Orders, outlined reflect the sentencing preferences of the two courts. Historically the court based in Alloa proportionally utilises community disposals at a higher rate than other disposal options such as custodial sentences. In relation to Bail Supervision the court in Stirling has chosen not to utilise the option of Bail Supervision. The service however continues to engage with the court and make them aware that Criminal Justice Social Work can support this service. 2. REGULATION, INSPECTION & IMPROVEMENT ACTIVITY During 2012-2013, there were a total of 9 (Clackmannanshire) and 13 (Stirling) routine Care Inspectorate scrutiny visits of registered services. The table below shows the % of services that achieved a standard of 4 or higher (good) across the chosen areas.

Clacks Stirling

11/12 12/13 11/12 12/13

Adult 100% 94% 88% 84%

Child 100% 93% 75% 60% It is acknowledged that these tables indicate a drop in performance since 2011. More recent inspections are starting to attain higher grades and it is expected that this will continue to improve with further progress within the shared service. The outcomes from inspection reports are considered and where appropriate action plans are established to address any specific 13 Under Criminal Procedures Scotland Act 1995 Probation Orders and Community Service can still be made on offences committed before February 2011. 14 Under Criminal Justice and Licensing (Scotland) Act 2010, which introduced the new Community Payback, orders and replaced Probation and Community Service Orders for offences committed after February 2011.

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recommendations. These are routinely reported to elected members who have the opportunity to scrutinise progress, assisting management who hold responsibility for the quality of service delivery. The social work service has a range of internal mechanisms to monitor the quality of provision and any improvement activity required. These include: • Direct supervision of front-line practice by senior practitioners and Team Managers • Individual reviews of care plans and packages by case managers • Analysis of social work complaints • Monitoring of service level agreements and contracts for the purchase of care • Case file audits • Routine performance monitoring via both Adult and Child Care balanced scorecards • Self evaluation such as Customer Service Excellence Accreditation, Clackmannanshire

Improvement Model, ISO • Quarterly Covalent Performance Reporting to the service, relevant committees, Corporate

Management and Council. Fostering and Adoption; In 12/13 both Fostering and Adoption services in Clackmannanshire were inspected and one element fell below the expected standard. Performance in this area did not improve and following further inspection in June of 2013 a number of recommendations were received from the Care Inspectorate. An action plan was drawn up and additional support put in place from CELCIS (the Centre for Excellence for Looked After Children in Scotland) to ensure that work progresses to address these recommendations. It should be noted that following the recent inspection considerable progress has been made within the team in relation to obtaining feedback from foster carers, the development of a monthly training programme with crèche facilities at minimal cost to the local authority. Progress has also been made in terms of the development of weekly resource meetings, monthly team meetings and staff supervision. A Foster Care Panel has been developed which will review all existing foster carers by March 2014 as well as assuming responsibility for Kinship Carers reviews. CELCIS will meet with the Foster Carers Group to provide information in relation to the work of CELCIS, provide feedback following the completion of the foster carer questionnaire and develop a shared understanding prior to new foster carer recruitment activities. Training materials in relation to life story work are also being developed by CELCIS for foster carers. A joint meeting of both the Stirling and Clacks adoption and fostering teams is planned in line with the single/shared service agenda. Care inspections of Council services have met with some success since the inception of shared services. . In older peoples care Ludgate Care Home respite provision has recently been inspected and will be maintaining a grade of 5 with possibly a 6 (excellent) in the areas of environment and leadership. Wellgreen Care Home has retained its “very good “ / grade 5s, which evidences a sustained improvement from the previous grades of 4 (good) in 2011. Menstrie House has again maintained very good / 5s, but again it has been recognised in the themes of quality of care and support and leadership as being a grade 6. In Learning Disability services Riverbank has seen an improvement to grade 5 (very good) in two out of four areas over the past year. Equally Streets Ahead, previously awarded poor grades (2, 2, 2 and 1) has risen over the last year to adequate and good grades (3, 3, 4 and 3) The Care Inspectorate decides how much scrutiny a local authority’s social work services will need by carrying out an initial scrutiny level assessment (ISLA). This considers potential areas of risk at strategic and service levels. The lead inspectors then monitor through regular meetings the associated action plan. Clackmannanshire and Stirling were last inspected in 2011 and 2012 respectively. The Clackmannanshire ISLA has been signed off as complete with the Stirling ISLA

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yet to wholly complete its actions in relation to Through Care and Aftercare. The view of the Inspectors in November 2013 was that significant progress was being made in this area. 3. COMPLAINTS The Service remains committed to ensuring that complaints are responded to thoroughly, respectfully and sensitively and ensures that learning from complaints is integrated into the Services’ on-going development. The Complaints Officer is accountable to the Chief Social Worker and the principle of operating at 'arms length' from the service is an important aspect of the independence of the role and it's remit to reflect on the services' performance as evidenced by Complaints. Complaints therefore continue to be investigated with a high level of transparency and consultation with staff and managers. All relevant staff receive a copy of outcomes letters, as do Service Managers. On occasions the Complaints Officer will supplement this with separate commentary and recommendations to the Service. There also continues a good working relationship with NHS complaints staff with an agreed protocol in place, which provides a framework for liaison. The complainants’ right of appeal to a Complaints Review Panel (CRP) remains a powerful mechanism for challenging the conclusions of a complaint investigation with recommendations from the CRP going before Council for approval. There is an increasingly close interface between complaint handling and staff involved in contracting and monitoring services provided by the private and voluntary sector. This is likely to continue if more services are contracted out. Equally we anticipate that there will be improved complaints handling at first point of contact and stage 1. The Complaints Officer continues to be involved in Induction Training for new staff and updating training for existing staff. In 2012 / 2013 The Complaints Officers in Clackmannanshire and Stirling reviewed existing complaint handling procedures and practices in both areas. These had evolved slightly differently over time and there appeared an opportunity to update and develop new procedures, which would standardise best practice across the integrated Service. Elected Members also requested a more robust response to complaints. In addition it was thought that a revised procedure across both Council Areas would allow similar and comparable data to be collected for performance, quality assurance and management purposes. Despite this increasing integration there still remains distinct corporate accountabilities to the elected members in each Council area. This ensures that we continue to reflect the differences and needs of each community. A revised complaints procedure with a cross referencing note of guidance for staff has now been approved by the CSWO and Senior Management Team and has been implemented along with comprehensive staff training. The review of the procedures across shared services has allowed us to empower staff to deal with issue at the earliest opportunity and to ensure staff are adequately supported. A process is now also in place to not only monitor Stage 2 complaints dealt with by the statutory complaints officer, but also those by front line practice It is hoped that this will make a significant impact on the quality of complaint handling and take full advantage of the opportunity presented by the Shared Service. The CSWO has instigated quarterly meeting with the statutory complaints officer to discuss standards, patterns and any areas of concern. The Council’s social work services are required by statute to report annually on complaints received from service users, would-be service users, their carers and representatives. This report meets that requirement and Appendix 1 sets out detailed performance data and commentary.

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4. WORKFORCE PLANNING & DEVLOPMENT A competent, confident workforce is the cornerstone of effective, high quality services. The Council invests heavily in the support, training and professional development of its social work and social care staff. It is recognised that there will be a continuing need for staff to be able to adapt to change and be influenced by earlier intervention strategies, demographic changes and legislative changes, in the context of growing demand and further significant constraints in finance. Social services is in a period of significant change, nationally, in the local authority and within the service itself. There is a corresponding need to ensure that staff are meaningfully engaged, are given clear expectations and can contribute to the future direction of the service. This area is recognised both being a priority and requiring further attention. A number of initiatives have been progressed and will be built on during the following year:

• Leadership development events for Service Managers • Leadership development events, extending the same themes, for Team Leaders • A planned series of events for the New Year to roll the programme out to all staff • Quarterly meetings for Childcare and Adult Care Team Leaders • Improvement events for childcare and Adult services allowing staff to shape future provision • Workshops and engagement in key areas: Health and Social Care Integration, Child

Protection Focussed Improvement Event, Child Care Case Management, Learning Disability Redesign, Adult Care Pathway with Health.

It is essential that opportunities for involvement are not restricted to one off events, but there is a more systematic approach. To this end the Service Development Plans carry the principle of shared leadership and encourage staff to progress areas where they have a specific skill or interest, regardless of their role in the organisation. The service development plans have recently been implemented and this element will be closely monitored to ensure compliance Staff Survey 2013 Social Services undertakes an annual staff survey which is used to gather the views of employees and to identify key issues raised (for services as a whole and in individual service areas) so that managers can respond with agreed actions for improvement. This was the second Shared Services survey across Clackmannanshire and Stirling Councils. Challenges identified were around improving;

• Effective communication on all levels • Staff Morale • Staff engagement and consultation especially around service planning and delivery • Team meetings to ensure they remain regular, purposeful and effective. •

We asked about our capacity for improvement. This is an area that has been identified as a priority for the senior management team in the next year as outlined above. Examples of responses are as follows

• 76% of respondents are satisfied with their job, this is 1% less than the previous year. However the majority (42%) do not feel that their working conditions will improve over the next year.

• The majority also feel that there is room for improvement and that they have the ability to improve the service their team provides.

• The majority of respondents agree that the most important factors in enabling improvement lies with staff and team support (79%) and strong leadership (65%).

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5. KEY CHALLENGES FACED IN 2012-13 AND SIGNIFICANT ISSUES FOR 2013-14 Key Challenges faced in 2012 - 2013 The service has experienced significant challenges in the last year; senior management uncertainty and changes, childcare challenges particularly in Clackmannanshire, challenges with constraining finances and the on-going work to develop and progress the Shared Service. Many of these challenges have been the subject of regular reports to the (Housing) Health and Social Care committee. It is a measure of the commitment of the staff that services have been delivered to a high standard and that services are becoming increasingly robust and safe, for both service users and staff. Significant Themes for 2013/14 and beyond

• Delivery of national and local outcomes; Social Services and the CSWO play a key role in the delivery of the Single Outcomes Agreements across Clackmannanshire and Stirling. The objectives of the SOAs are clearly linked to the service priorities and the senior management objectives for the Service. Outcomes based approaches to service delivery are actively developed and implemented in line with nationally and locally identified outcomes.

• Shared Services; The shared service arrangement across Stirling and Clackmannanshire

commenced in October 2011 for both Social Services and the Education Service. Stirling is the lead authority for the delivery for the education service and Clackmannanshire is the lead authority of Social Services. The approach to Shared Services has been incremental. Social services has a shared senior management team and it is progressing gradually to share and develop integrated service delivery models across more services, and indeed deeper into the service. Shared services is both driven and supported by an officers Programme Board and an executive and elected members Steering Group. It has cross party support. The service continues to report separately to each council. Each year an independent “stock-take exercise” is undertaken with a wide range of stakeholders. In the last two stock-take exercises much attention has been given to exploring more streamlined working with business partners in finance, human resources and legal services in order to align policies, procedures and practice across the two authorities. In addition further work now requires to be undertaken to agree an approach to tackling differences in pay / terms and conditions which may need to explore alternate delivery models. This will create considerable opportunity for greater integration and capacity building across the service and will contribute to greater workforce buy in and satisfaction. It is anticipated that the experience gained from working with the shared service will be very helpful in the implementation of Health and Social Care Integration.

• Priority Based Budgeting / Stirling and Making Clacks Better; Stirling Council has

introduced a process called Priority Based Budgeting (PBB). This is a means through which the Council can make decisions on efficiency savings whilst protecting its strategic objectives and safeguarding the needs of local communities. PBB is based on the principle of transparency where potential areas for savings (service options) are all shared and full engagement takes place. Equally ideas can be developed and are encouraged by those outwith the council to contribute to the process. Broadly speaking there are three categories of service options, Transformational Change, Efficiency savings and Stop / Reduce. The aim of PBB is to achieve positive change and financial efficiency through the first two categories and prevent the need for service reduction or cessation. All options are risk assessed, explored in full and have an equality impact assessment undertaken so informed choices can be made. Social services are fully engaged in this process and are finding it supportive of its required strategic direction Making Clacks Better (MCB) Making Clacks Better is Clackmannanshire Councils’ ambitious, wide-ranging transformational programme. The council recognises that customer

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needs are changing and the authority is now focusing on how customer needs can be better met through improved access and experience. There is a corresponding need to improve performance, reduce costs and achieve the best possible outcomes. As with Stirlings’ PBB programme, Making Clacks Better assists the alignment of efficiencies with the services strategic direction and safeguards core provision. A notable consultation exercise has taken place across the county asking the people of Clackmannanshire for their views and the opportunity to shape the Council as it moves forward.

�• Partnership Activity (Delayed Discharge) and Budgetary impact; Both

Clackmannanshire and Stirling are experiencing increased pressure regarding delayed discharges despite significant investment in intermediate care, employing hospital based staff to support early intervention and considerable work around information exchange and communication. Regardless of these challenges the authority’s are working hard, at this time, to remain on a positive trajectory to meet the target reducing to zero. It is essential the service strives to improve its response but the pressure is very much seen as a symptom of increased referrals and demand on provision. This can be described as the 'tipping point' at which population demand meets the reducing delayed discharge target. Correspondingly, budget pressures are increasing with notable care packages, higher support needs and a greater incidence of frailty within the ageing population. Adult care entered this period with an overspend position in Stirling and has recently developed an overspend position in Clackmannanshire. It has been challenging to manage two such conflicting demands. There is however an opportunity available to the shared service to develop a new service model based on prevention, partnership and promoting independence. Work has begun and will form the services response to Self Directed Support, the integration agenda and future financial stability. It is believed that without this development, the service as it stands will no longer be fit for purpose. The route to change is captured in the PBB and MCB processes

• Absence / Attendance Management;Absence rates continue to be challenging with

figures in both authoritiesabove corporate targets. Nationally, Adult Provisions/ Resources tends to experiencegreatest disruption as workforce numbers are high, Clackmannanshire and Stirling follow this trend / pattern. It is fair to say however that all teams have beenabove target at some point within the calendar year, so the solution requires to be service wide. A number of initiatives have been implementedand some progress has been made. Absence is seen as a symptom of service‘health' and as such efforts to address it have been two fold. 1) There is evidence that absence procedures are not always followed so Human Resources have offered targeted support to highlight management accountabilities and when actions are required. Performance reports to Team Manager level to support this are available in Stirling, and Clackmannanshire are tailoring reports to our needs to support improved management. Absence has been introduced as a priority within service plans, with each Service Manager being accountable for reducing absence in their area. This progress is monitored though supervision and through the performance forum. 2) In parallel to this there is an awareness of the role of morale on absence and as such a number of initiatives have been introduced to improve workforce engagement, these are noted within the report. A key aspect is the development of service development plans, a vehicle through which staff can be meaningfully engaged and shape their service future. It should be noted that workforce engagement is also a priority for both Stirling and Clackmannanshire Councils.

• Early intervention and prevention; Changing Lives, the Report of the 21st Century Social

Work Review demands a different response from social work services. It states that to meet the challenge of personalisation and increasing demand, social work will need to engage with individuals and families in new ways, with a focus on prevention. Principles to work to include; prevention, flexible service delivery, more effective use of social work skills, empowered service users and increasing community capacity. Some current examples

The Early Years Framework (2008) was an important milestone in encouraging

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partnership work to improve the lives of children. The Early Years Collaborative is a national agenda that offers structure to this intention and supports learning across the country. The process is embedded in Community Planning Partnerships. The Childcare service is responding by fully engaging in this programme to facilitate local change. In parallel it is revisiting its service model and its relationship with partners to better support early care and support children to stay in the family environment where possible.

Adult social services are formally required to integrate with the Health service in 2015. Significant work is underway to review adult care provision and its focus. The aspiration is to provide more accessible, locally based care where at all possible, empowering individuals and communities and correspondingly reducing demand on social care. This approach is not about service withdrawal, but providing support in a different way. This agenda is particularly advanced in older peoples services with the use of anticipatory care packages where an individuals’ needs can be predicted and early assistance to retain independence given.

Work continues in respect of establishing an adult Integrated Mental Health Service for Stirling15. A single referral pathway offering one point of access to Health, Psychology and the third sector is in place. Current activity has been benchmarked with the aim of ensuring services both provided and commissioned are meeting the needs of the local community. An increased focus on prevention has seen progress in the areas of employability and work with individuals who are homeless. It is hoped that the success on the Clackmannanshire partnership can be replicated within the Stirling area.

• Child Care in Clackmannanshire; The Child Care Service in Clackmannanshire has been

under significant scrutiny in the last 18 months. Substantial investment, cross party support and concerted efforts by the service has resulted in significant improvements in the service. The journey of improvement can be evidenced in both documented outputs and outcomes in the Child Care Transitional Plan. The service has been fortunate to have secured the support of the Centre of Excellence for Looked After Children In Scotland (CELCIS) who have worked in partnership with the Team over the last year particularly on practice and processes around the complex area of permanency planning for children. CELCIS has also extended its support to the Stirling Child Care Teams who have been very welcoming of the support and stretch in their practice. In recognition of the growing complexity of permanence work (across Scotland and locally) a dedicated solicitor has been appointed to advise and support the service in Clackmannanshire. This model may be extended to Stirling in the future. Clackmannanshire continues to experience challenge from a small number of external stakeholders but on the whole the feedback from stakeholders has been extremely positive. The service is clear that there is more work to be done, particularly on building a stable workforce, embedding a high standard of practice and shifting aspects of behaviours and culture that have been unhelpful in the past. Strong, consistent leadership to continue this journey of improvement is a priority for this service.

• Integrated Children Inspection; In January 2014, the Care Inspectorate will commence a joint inspection of services for children and young people in the Clackmannanshire and Stirling Council areas. This will be based on a new model for scrutiny developed by the Care Inspectorate during recent pilots, which is designed around GIRFEC, joined up scrutiny involving Community Planning Partnerships16 and focuses on children and young people. The model aims to; improve outcomes for all children and young people; build capacity for improvement; and, while it is not a child protection inspection, it will provide independent assurance about the effectiveness of services for children and particularly the most vulnerable children and young people.

15 not inclusive of all mental health services 16 Community Planning Partnerships

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The inspection and the lead up to this will be aligned with the Care Inspectorate’s self-evaluation guide17: This includes a set of 22 quality indicators, which will be used both in the self-evaluation and the inspection.

A multi-agency team across Clackmannanshire and Stirling has been established in order to support the process of evidence gathering and coordinating self-evaluation leading up to the inspection, and any subsequent planning and response. It is expected that a joint approach will be taken with the Care Inspectorate although separate submissions and final reports will be produced by Council area. It is hoped that the inspection process will be proportionate, taking account of what is already known about the quality of individual and joint services and has already been referred to in this document (e.g. annual inspection of regulated social care services, complaints, ISLA). Furthermore, multi-agency partners already engage in regular evaluation of how our services impact on the wellbeing of children, young people and their families. A recent example of this was the self - evaluation of services to protect children in Stirling and Clackmannanshire, which was undertaken in Spring 2013.

We will use the inspection as an opportunity to continue to learn and work together to improve outcomes for children and young people. Welfare Reform remains a concern for social services, and there is active participation at the Corporate Welfare Reform Working Groups in Clacks and Stirling. Possibly due to the incremental nature of the implementation of Welfare Reform the true impact on Social Services workload directly attributable to Welfare Reform remains, at this point unknown. There has however been a rise in “section payments” reflected in budget overspends that may be attributable to Welfare Reform. The service has developed new guidance for Section 12, 27 & S22 (categories of hardship /need) aimed at promoting consistency in application when considering provision of emergency loans or assistance in kind to those presenting in need. This was issued to staff in December 2013. Notably, reports from colleagues within Revenues suggest that demands for Discretionary Housing Payment (DHP) and the Scottish Welfare Fund (SWF) have not been as much as first anticipated and this has allowed eligibility criteria to be revised locally to help militate further against the impact of changes, at least in the short-term.

Corporate Parenting

Stirling Council's revised Corporate Parenting Strategy remains placed within the strategic context of the Children and Young People (Scotland) Bill and the Getting it Right for Every Child Framework. The strategy reflects the Stirling Outcome Agreement 2013-2023, Stirling Council’s key priorities and implementation of GIRFEC.

The Strategy presents an agreed direction of travel for community planning partners to improve the outcomes of our looked after children and young people, and expresses a common commitment to action under five strategic priority areas, namely:

• In care and leaving care • Education, training and employment • Accommodation • Participation • Foster Care/Permanence

17 How well are we improving the lives of children and young people? A guide to evaluating services using quality indicators, October 2012. This document can be found at: http://www.careinspectorate.com/index.php?option=com_docman&task=doc_download&gid=831&Itemid=100175

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The vision of the Strategy is to ensure that the wellbeing of our looked after children and young people is of the highest priority, and that we nurture, support and expect the very best of and for them. The Strategy is predicated on early intervention and prevention in the recognition that understanding needs and responding appropriately at the early stages in the lives of our looked after children and young people, will have the most beneficial impact on their life outcomes. The revision of Stirling's Strategy has prompted discussion across the Shared Services and in the wider Clackmannanshire Council. There is initial agreement that a shared strategic framework across the two community planning partnerships is worthy of further development, given the degree of strategic commonality across both areas.

• Public Sector Changes – new legislation and policy directions; Social Services faces

unprecedented change in the next two years with the introduction of Self Directed Support (April 2014), Health and Social Care Integration (April 2015); the Children’s and Young Peoples Bill (April 2015) and the implementation of the redesign of the Criminal Justice social work service (2016).

• Self-Directed Support; From April 2014 Clackmannanshire and Stirling Councils will

implement Self Directed Support (SDS) through the enactment of the Social Care (Self-Directed) (Support) Act 2013. Significant activity is underway across Clackmannanshire and Stirling Social Services and SDS is a key driver in the development of a more personalised and sustainable model of service delivery. The SDS legislation will be enacted in April 2014 and as such there is significant work left to be completed. Several work-streams have been established to look at promoting outcomes, commissioning, finance, processes and systems. The experience of other Local Authority areas is also being sought with a number of visits to Councils who have achieved some early success. We are embarking on a training and awareness plan, which will support front line staff and team managers in preparation for the full implementation of SDS by reinforcing outcome focussed assessment and planning. In partnership with a provider, we are embarking on a pilot project to help identify more creative and innovative supports for services users to achieve their outcomes, have a greater awareness of wider community supports and resources and identify areas for improvement. Staff have been seconded to support pilot activity and practice development with a particular focus on front line assessment and care management. The postholder’s will act as SDS champions, supporting the embedding of outcomes based approaches and will assist with the development of required procedures in order to fully implement SDS. SDS includes a small amount of money allocated nationally and this will allow key posts to be filled to assist implementation. Recruitment has not always been easy and as such progress in some areas has been challenging.

• Integration Health &Social Care Legislation-Public Bodies (Joint Working) (Scotland) Bill 2013: The Scottish Government has published the Public Bodies (Joint Working) (Scotland) Bill, which sets out the legislation, which will underpin the move to new partnership arrangements between Councils and Health Boards across Scotland. It is expected that Partnerships will have new arrangements in place by enactment in April 2015.

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The Bill is based on the following principles of integration:

• Social care and Health services are seamless at the point of delivery • The Specific needs of service users are taken Into account • Services are appropriate to the needs of each local area • A high level of community and professional involvement • A focus on prevention and early intervention • Adheres to the principles of best value

The Bill highlights four permitted models for integration. These are defined below:

• Body corporate model: authority and resources delegated to a joint board

overseen by a jointly appointed Chief Officer • Lead Authority Model: delegation of functions to a lead or host agency,

whether Health or Local Authority. • Cross Delegation: Each partner serving as the 'lead authority' for a specified

range of functions on behalf of the partnership.

A decision on the governance model to support formal integration is yet to be made. The council has maintained a focus on client care and directed the Joint Management Team to consider appropriate service delivery models to achieve improved outcomes for service users. Considerable work has been progressed to develop a joint adult care pathway with the NHS and to seek ways to provide and commission care more effectively.

The quality assurance of statutory social work practice will be central to any new approach and this will be led by the role of the Chief Social Work Officer. Each Local Authority will be required to maintain the role and seniority of the CSWO. A proposal will be developed when the governance model has been agreed.

• Children and Young People's Bill: In 2012 a consultation on a Children and Young

People Bill" was launched18, and findings published later that year19. It is the Scottish Governments’ intention to introduce phased elements of the Bill to Parliament from late 2013 onwards. The Bill declares a new, central goal for the public sector: "a shared dedication to the wellbeing of children and young people. It is no longer a matter of public agencies seeing the needs of children and young people in isolation". It proposes that there is a commitment to the whole development of children and young people, one that must be coordinated across different agencies and taken forward with families and communities.

Areas of focus include:

• Children’s rights • Named Person and single, coordinated plan for children who require

support from services • Provision and flexibility of free early learning and childcare • Support to young people leaving care • Role of kinship carers • Corporate parenting • National Adoption Register.

18 http://www.scotland.gov.uk/Publications/2012/07/7181 19 http://www.scotland.gov.uk/Publications/2013/03/9148

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Integrated Children’s Services Plan Both Clackmannanshire and Stirling have produced "Children and Young People's Integrated Service Plans". The vision is "that every child and young person has the best possible start in life and achieve their potential." The plans are set within the GIRFEC principles are as follows:

1. GIRFEC principles are embedded in all partner organisations. 2. Improve targeted services for vulnerable children especially in the early of early intervention

with an emphasis on pre 5s and those affected by parental substance misuse. 3. Developing skills within young people aged 13 - 24. 4. Drive forward the integration of services across Clackmannanshire and Stirling to improve

outcomes for children. Work is currently underway to create a Clackmannanshire and Stirling, Shared Service, Integrated Services Plan. • Criminal Justice Reform; The Scottish government during 2012/13 undertook a process of public consultation as to future shape and organisation of criminal justice social work in Scotland. Both councils have responded to the consultation process following detailed engagement with staff and elected members. The considered preference by Stirling and Clackmannanshire council was that criminal justice social work service should be returned to the full control of the local authority with aspiration that this structural change will enable a more joined up and integrated local authority approach to reducing reoffending within our communities. The government has indicated it will confirm its decision on the future shape of services by December 2013. The Scottish Government has recently published its response to the 2012/13 consultation process. The Government has indicated its intention to return Criminal Justice to the full control of local Government and has indicated that the key outcome of reducing reoffending should be integrated into the remit of Community Planning Partnerships. The Government, during 2014, will seek further consultation on this matter and has indicated that any structural change will not be implemented until April 2016 at the earliest.

6. CAPACITY FOR CHANGE / LEADERSHIP Over the last two years the Social Work service across Clackmannanshire and Stirling has created the conditions for substantial change and improvement. In many ways the senior team, new to managing many of the services has now grown familiar with the staff groups, services, practice, cultures and behaviours across both authorities. It has experienced considerable disruption within the senior management team and has shown significant resilience in sustaining the service throughout this period. The service has also been subject to change and review in order to meet the challenges of service improvement and re-design, demographic change, inspections of regulatory services, and is now preparing for the changes in statute and organisational change presented by the integration agenda. The strategic direction for the service is underpinned by 5 key principles

1. Meeting statutory duties and responsibilities 2. An emphasis on Early Intervention / Identification, Prevention and Health Improvement 3. Extending and enhancing collaborative working with all partners and communities 4. Shaping the market, reviewing commissioning practice 5. Managing demand for services and where possible, constraining demand

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Priorities for 2014 onwards Given the level of change anticipated and the emphasis on service improvement the service is moving to a different Senior Management structure. The new structure is introducing a dedicated Assistant Head of Service for Child Care to create the required senior management capacity and leadership to consolidate service improvement, to progress the shared service, to plan for and implement the Children and Young Peoples legislation and to ensure Stirling and Clackmannanshire sustain a robust Child Care service in the wake of Health and Social Care Integration. The revised structure will also see the appointment of a fixed term (2 years) Assistant Head of Service for Adults / Operations. This post will create senior management capacity to address service challenges (budget and absence) whilst also contributing to the deeper integration of the shared service and the preparation for Health and Social Care Integration. It is anticipated that the current post holder Assistant Head of Service for Strategy, Performance and Partnership will take a lead role in Health and Social Care Integration. This structure will provide much needed capacity to both support the delivery of robust operational activity and to drive the changes before us. The team will be prioritising a) staff engagement and change management b) increasing management activity around personal development plans and attendance management c) seeking shared service solutions d) working year round on Prioritised Based Budgeting (S) and Budget Challenge (C) and e) creating a learning culture of continuous improvement and f) addressing transformation change along with our community partners. In October 2013 a series of Leadership and Management seminars were held with all the Team Managers across the service. The purpose of these days was two fold; to launch the shared service performance framework and to create the leadership challenge for all members of staff in the organisation. These events were very positively evaluated as evidenced by the following quotations ' The day provided a real opportunity to discuss quality assurance and have open and honest discussion.” “The day offered a good chance to network and build on professional relationships. It offered an opportunity to share and hear about good practice being carried across shared services “ “The discussions were invaluable; it offered the opportunity to discuss a range of issues around quality assurance” The social work service, that is, the staff resource across the shared service is in a good place to meet / take on the challenges of the next year 7. CONCLUSION This is a time of considerable change and challenge across the public sector and for social services in particular. Clackmannanshire and Stirling councils as a shared service are in a unique position nationally to maximise the opportunities that all integrated, joint and shared agendas afford. Over the next few years, whilst the public sector manages transitional and transformational change it will be crucial for the service to keep a focus on the robust delivery of frontline services, to care for and protect the vulnerable people in our communities. Val de Souza Dec-13

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APPENDIX 1 Social Work Complaints Procedure - Annual Report for 2012/2013 -Clackmannanshire Area The  following  report  relates  to  the period 1 April 2012  to 31 March 2013.   The  total number of Stage 2 complaints  received  by  the  service  in  2012/13  was  3  (an  average  of  4  complaints  per  annum  since 2008/09).    Of  the  3  complaints  received,  2  complaints were  fully  upheld  (66%),  and  1  complaint was partially upheld (33%).  In 2012/13 66% were responded to within target timescales (28 calendar days), whilst 33% were subject to extension due to complexity. Where timescale extensions are applied, complainants are regularly updated on progress and anticipated completion date. Of the 3 complaints received, these can be broken down into service sectors as follows:

• Services to children 1 (33%) • Services to adults 2 (66%) • Criminal Justice 0 (0%)

Service Sector Breakdown

Services to children

33%

Services to adults

67%

Criminal Justice

0%

Breakdown of Complaint Categories

0.0% 0.0%

37.5% 50.0% 12.5%

Waiting time forservice

response/provision

Resources notavailable / notadequate / not

suitable

Communications –Staff or Service

Response

Staff Decisions /Staff Conduct

Other (not readilycodified as above)

2012/13

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Over the last five-year period Stage 2 complaints have ranged from 10 in 2008/09 to 1 in 2011/12, an average of 4 per year. The majority of complaints received over this period cite dissatisfaction with the Quality of service, Staff attitude and to a lesser extent Policy decisions. This can be broken down further on investigation to include poor communication, or a sense of not being listened to, services falling below expectations, poor responses to initial concerns raised and anger and resentment at the way in which the complainant and/or their loved one has been dealt with. The introduction of lessons leaned reports and more recently staff Briefings has been a proactive approach to shift both 'culture and attitude’ to complaints placing it with in the context of learning and service development. The introduction of the National Complaints Handling Procedures at a Corporate level has also provided a wider forum for discussion, learning and the promotion of a 'customer ' focus. Whilst the Social Work Process continues to be debated at Government level and was not included with in the revised procedures, where possible there has been a synergy with corporate Complaints handling. The implementation of the revised corporate complaints data base has assisted the task of improving recording of complaints at both stage 1 and stage 2, this will enable a more routine examination of complaints with in performance frameworks. The emphasis upon performance and learning should also increase frontline managers’ confidence in dealing with complaints. The Complaints officer's role in managing the processes, policy and guidance has been more clearly stated as has the role in advising, guiding and supporting Managers dealing with stage 1 complaints. New Procedures and Guidance has been issued to all relevant staff, he implementation will also be supported by skills workshops. The 'Independence ' from operational responsibilities and direct link into performance improvements continues to allow for a degree of flexibility in managing and responding to complaints which are not specific to Social work including undertaking developing procedures with Prison based Criminal Justice workers following an increase in complaints as a result of the change in prison population at Glenochil. Clarifying the Local Authorities role in multi -agency decision-making and application of DWP Regulations. Moving forward it is hoped that greater attention can be given to auditing the progress made with respect to recommendations following complaints, the experience of the process and following up with Complainants. This will be part of the shared services agenda and will build upon the collaborative work undertaken by the Complaints Officers in Stirling and Clackmannanshire. Valerie Corbett/Social Work Complaints Officer

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- 27 -

Social Work Complaints Procedure - Annual Report for 2012/2013 - Stirling Area The following report relates to the period 1 April 2012 to 31 March 2013. The total number of complaints received by the Service in 2012/13 was 35 (72 in 2011/12, 54 in 2010/11). No compliments were formally registered. Of the 35 recorded complaints 31% were upheld in full, 23% were upheld in part and 46% were not upheld. 54% of all complaints were either upheld in full or in part. In 2012/13 65% were dealt with within target time scales (28 calendar days). The remainder were extended for a variety of reasons including Complaint Officer workload, complexity of investigation, non availability of the complainant or key staff due to illness, annual leave etc. Where investigations were allocated out to operational managers, compliance with performance targets often proved problematic due to their workload and competing priorities. Complainants were kept informed of progress when extended time scales applied. Of the 35 complaints received these can be broken down into service sectors as follows: • Services to children 14 (40%) • Services to adults 20 (57%) • Criminal Justice 1 (3%)

In 2012/13 there were two appeals to the Complaints Review Panel. One appeal was not upheld. The second appeal recommended that one aspect of child protection practice be further considered.

Details of Complaint Outcomes - Breakdown of Complaint Categories

At the present time the Service has 5344 registered cases (4,075 Adults: 5

6%

1%

6%

4%

7%

6%

10%

5%

26%

49%

38%

38%

44%

40%

32%

37%

17%

4%

14%

16%

Waiting time forservice

response/provision

Resources notavailable / not

adequate / not suitable

Communications/Staffor Service Response

Staff Decisions / StaffConduct

Other (not readilycodified as above)

2012/13

2011/12

2010/11

2009/10

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- 28 -

Comments The number of complaints received in 2012 / 2013 has significantly reduced from previous years. This can be partly explained by increased attempts to resolve complaints at the first point of contact, which is good practice and avoids the complaint being registered for investigation. It does not however fully explain the reduction in complaints registered and investigated. The reduction in complaints is balanced by the increasing complexity of complaints, which are investigated. Complaints increasingly are challenging and complex and in Adult Services often have legal, contractual and financial elements. In terms of complaints received the majority relate to communications (38%) and Service decisions (37%). On occasions communications may relate to complex and disputed issues but they can also reflect simple issues such as ensuring a promised return call is in fact made. The Service needs to ensure that simple communications with citizens are successfully achieved. Adult Services attract the highest level of complaints but this is to be anticipated given the volume of cases and referrals, the increasing age of the population and the number of people with complex needs. Many of these, often very vulnerable people, have family members who are well able to advocate on their behalf and access the Complaints Procedure if not satisfied. The Service in Stirling area has a total of 5344 cases across all sectors of service. When compared to this figure the number of complaints registered equals only 0.65%. This is a very low level of complaint referral but the figure whilst significant needs to be viewed with caution. Whilst the Service seeks to make access to the Complaints Procedure as easy as possible there are still issues, which may inhibit complaints being made. Never the less it can be assumed that the level of complaints to service activity remains relatively small.

Gavin Burt Social Work Complaints Officer

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CLACKMANNANSHIRE COUNCIL

Report to: Housing, Health and Care Committee

Date of Meeting: 22 January 2014

Subject: Social Services Performance Report

Report by: Assistant Head of Service Adult Care, Strategy and Performance

1.0 Purpose

1.1 The purpose of this report is to update Committee on Social Services' performance for Quarter 2 of 2013-2014.

1.2 This report incorporates financial performance data alongside reports against agreed priorities and target measures for the Service. The narrative provides more detail about the performance information in the context of service developments over the course of 2013-2014.

2.0 Recommendations

2.1 It is recommended that the Housing, Health and Care Committee notes this report and provides comment and challenge as appropriate.

3.0 Background

3.1 This report to the Housing, Health and Care Committee provides an update on agreed target measures and priority actions as set out in the Social Services Business Plan. The financial performance information includes actual spend and the projected position at the end of 2013-2014.

3.2 This report provides more service specific detail than the overall Council budgetary position that is reported to Resources and Audit Committee. Outturn positions reflected in this report are based on rigorous reviews of service spending activity by accountants and service managers which have been reinforced through ongoing budget challenge sessions conducted by the Directors Group. Specific actions that the Service are taking to address the budgetary pressures are also provided.

3.3 Performance information is recorded on covalent and verified by Service Managers. This recording mechanism enables members to identify and scrutinise trends in performance against agreed targets. Strengths and areas for improvement are highlighted in the commentary. Specific improvement measures taken forward by the Service are included in the narrative section of the report.

THIS PAPER RELATES TO ITEM 7

ON THE AGENDA

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3.4 Incorporating financial performance information within the overall report on service performance reflects the requirement for an integrated and strategic approach to financial planning and investment. Reporting this information to Committee supports an improved understanding and scrutiny of service performance.

3.5 This report should be read in the context of the proposed redesign work across Social Services. The Service is required to transform the way in which if functions in order to:

• Meet increasing demand

• Meet legislative requirements

• Function as efficiently as possible whilst maintaining quality care

A significant change in the way services are delivered aligned to agreed priorities is essential to meet future demand and address the funding gap.

4.0 Considerations

Social Services Strategy

4.1 A full strategic framework has been developed for Social Services to define its direction of travel and the changes required to ensure sustainable and efficient service delivery for the future. Business Plans are now in place for childcare, adult care and criminal justice services linked to the overarching Social Services Business Plan. Planning for financially sustainable services and identifying budgetary pressures and planned savings is integral to these Business Plans. This process has assisted the Service to identify pressures and potential for achieving savings.

4.2 Service Delivery Plans are now in place across Social Services. These plans address areas for development identified in self evaluation activity, informed by feedback from the full range of stakeholders. The plans are designed to outline service contributions to the strategic priorities and to embed shared leadership at all levels and across all service areas. There is a clear need for managers to engage with the front-line staff across Social Services. The Management Team recognise that to improve staff morale and job satisfaction, it is essential to involve and engage staff in identifying areas for improvement. The Service Plans ensure that there is effective monitoring and scrutiny of actions plans and improvement activity across all services . This is a core element of one to one supervision with Service Managers.

4.3 A practice governance framework was developed by the Strategy Service over the Summer of 2013 and two events were held for all members of Social Services staff who have management responsibilities to share the framework and support implementation across the Service. These events were used to reassert the need for shared leadership across the Service and it was a positive opportunity for sharing good practice examples across service areas. The governance framework strengthens and reasserts the role of front line managers in auditing front line practice.

4.4 The Service recognises that considerable work is required to sustain progress and make further improvements. Focus continues to be on the redesign of services in line with efficient and effective service delivery, addressing budgetary pressures. It is also recognised

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that the involvement and development of staff and partnership working across all care groups is critical.

Childcare Services

4.5 The Business Plan for childcare services sets out how the Service will continue to focus on improving its approach to early intervention and the delivery of family and parenting support services. This model is supported through the proposals for a review of the teams with the development of specialist teams across the two Councils. Efficiency savings have been identified from proposed changes to the management structure.

4.6 Work on embedding effective support and procedures for permanency continues to be prioritised by the Service and there has been substantial progress in this area.

4.7 The integration of Clackmannanshire Child Protection Service in the Public Protection Hub has been progressed on a phased basis and is currently supported by the Intake Team. A proposed staffing model to support a fully integrated service is being taken forward as a priority.

4.8 The percentage of reports submitted to the Children's Reporter within target timescales continues to be above target percentage. The number of core groups that have taken place in respect of children on the Child Protection register continues to improve, with recognition that for this to be sustained by the Service it requires to be prioritised by managers. Recording of visits to children who have commenced on supervision within the 15 working day timescale has been a challenge during this quarter. Service Managers have received assurance that visits have been conducted. There are five children that were due to be visited and the Service Manager advised that 100% of these visits took place but these were not fully reported on the client information system to enable the accurate collation of this data. The importance of accurate and timely recording will be reinforced by the Service.

4.9 There is a small (1%) reduction in the number of looked after children living in their own communities for this quarter. There has been a slight reduction in the proportion of children looked after at home. The Service also recognise that a high proportion of children in foster care are accommodated outside of the locality, there is ongoing longer term work targeted to increase the number of local foster carers.

4.10 It is recognised that there are key areas where progress has been made and other areas where it has proved difficult to embed improvements. A workshop is planned to ensure that a robust action plan is in place to address all measures of child care improvement activity to support the sustained improvement of both practice and recording across all teams. Where external scrutiny identifies the need for improvements as noted in Appendix 1 following a recent inspection of fostering and adoption services, the Service has responded quickly and provided additional support and leadership to address the recommendations.

Adult Services

4.11 There has been consultation and agreement of the key actions contained in the Older Peoples Joint Commissioning Strategy. In the current implementation phase, there continues to be a strong focus on partnership and locality engagement. Considerable progress has been made in enhancing short term assessment provision for older people in Clackmannanshire Council area with a focus on enabling people to remain in their own homes, without formal support, wherever possible.

4.12 These developments are critical to ensuring budgetary pressures are addressed and that services are fit for purpose and targeted on supporting and promoting independence. This

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work is being progressed alongside the implementation of charging and reviews of externally commissioned services to ensure that they are cost effective and aligned to service priorities.

4.13 Workshops took place in Quarter 2 involving practitioners from all areas of adult services in developing a single adult care pathway. The outputs of the workshops will be shared with a wider group of staff in December 2013 and January 2014 to ensure that there is a shared understanding.

4.14 Adult Services have appointed two staff to support the wider staff group in both Council areas to develop and extend outcomes focussed practice in line with the requirements of Self Directed Support legislation. These post holders will provide support to front-line staff and enhance awareness and understanding across the Service. There has been some delay in recruiting to a programme manager to provide leadership to support the implementation of Self Directed Support legislation. The Service is therefore prioritising key actions that require to be progressed to ensure compliance with the legislation that is due to be enacted in April, 2014.

4.15 The Service is in a position where increased demand is impacting on both delayed discharge numbers and the budget position; this tension is replicated across the country. The rising numbers of particularly older people and a lowering discharge target means demand is growing as performance expectations are rising. This will undoubtedly cause a period of challenge.

The proposal for a redesign of Adult Care Services offers a new delivery model that ensure client needs will continue to be met within this environment. This development is considered essential as the current model is no longer sustainable.

Budget Position

4.16 The service is projecting a Revenue budget overspend of £462K and a balanced Capital budget.

4.17 Adult Assessment & Care Management is showing an overspend of £812K. Adult Services have a budget action plan in place and weekly meetings are held to review and identify any barriers to achieving savings. It should be noted that the increasing trend has been stopped and the overspend in this area has reduced slightly since last reported in September 2013. The main reason identified for this is the introduction of a Resource Panel. All new care packages are scrutinised by a panel rather than by a single manager. Only critical or substantial need is authorised.

The review of commissioning arrangements that is scheduled to take place over the next six months will ensure that investment is targeted to meet service priorities and that the commissioning of services is cost effective and efficient. This is essential to both reduce the current level of the overspend and meet future requirements within budget.

4.18 Table 1 provides an overview of Social Services outturn position for Quarter 2 within each Service Expenditure area.

4.19 Appendix 2 to this paper contains a detailed analysis of variances in respect of each service area. Table 1

Service Annual Budget

Actual Spend to

Projected Outturn to

Variance Outturn V

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2013/14 31/10/13 31/03/14 Budget £000 £000 £000 £000 Revenue Partnership 984 659 956 (28) Strategy 337 224 356 19 Adult - Assessment & Care Management

9,873 5,819 10,685 812

Adult - Provision 4,318 1,806 4,288 (30) Child Care - Clacks Locality

4,618 2,168 4,493 (125)

Child Care - Resourcing, Disability, TCAC

4,883 2,316 4,752 (131)

Child Care - Protection, Early Intervention, Youth Justice

426 121 325 (101)

Criminal Justice Service 0 760 12 12 Social Services Management

480 447 514 34

Total 25,919 14,320 26,381 462 Capital Telecare 75 31 75 0

Progress in Delivering Planned Budget Savings in 2013/14

4.19 The 2013/14 budget incorporated savings agreed in 2012/13 of £1.035m for Social Services through a combination of budget challenge savings, management actions and specific Council decisions. After six months of the year we are able to report that 81% of these savings have been secured totalling £836k. Table 2 below summarises the position.

Table 2 Planned Budget Savings 2013-14 Description of Saving

Saving 2013-14 Progress Comment

Management Savings: £ '000 £ '000

Reduced relief provision and realignment of enhancement payments in Adult Provision. 90 90

Improved absence management in Adult Provision has led to a reduced requirement for relief.

Reduce Telecommunications Budget 10 10

Consistent underspend in this budget area means no specific action was required

Reduce Adoption budget 20 20

Consistent underspend in this budget area means no specific action was required.

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Reduce Throughcare, Aftercare Budget. 50 50

Consistent underspend in this budget area means no specific action was required

Clackmannanshire Healthier Livers 23 23

SLA revised with Signpost.

Overhead Charge for Prison Contract 20 20

Income budget realigned to reflect contract.

Forth Valley Advocacy 15 15 Review of provision across Forth Valley.

Vacancy Management 1% 120 120

High turnover in staff relative to other services.

Vehicle Leasing Charges 25 25 Vehicle Leases not renewed.

Total Management Savings 373 373

Policy Savings: £ '000 £ '000

Reduce costs of concierge service at Katrine Court. 60 0

Joint review of concierge services with Housing. Meeting in December with ILS. 3 month notice to end contract.

Increased income from self funders. 200 200

Consistent over recovery of income in this budget area means no specific action is required.

Introduce charge for MECS Service. (Target Aug’13) 67 27

Overall review of Charging Policy for Non Residential Services. To align with Stirling and CoSLA guidance. Introduced Oct'13

Increase Respite Care Charges (Target Aug’13) 20 0

Overall review of Charging Policy for Non Residential Services. To align with Stirling and CoSLA guidance. Introduced Dec'13

Introduce Charge For Day Care Services (Target Aug’13) 67 0

Overall review of Charging Policy for Non Residential Services. To align with Stirling and CoSLA guidance. Due to start Apr'14

Net Budget for section 27 CJS to align with Specific Grant. 61 61

Realignment of budget in conjunction with relaxation of funding rules and increased grant.

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Unpaid work from Community Payback. 13 0

Mainstream Community Payback Work through natural wastage.

Shared Service Management Structure Savings. 130 130

Saving based on current permanent structure. No action required.

Other Shared Service Structure Savings. 45 45

Review of structures below service management across shared service delivery model. Savings achieved with vacancies this year.

Total Policy Savings 663 463

TOTAL SOCIAL SERVICES SAVINGS 2013-14 1,036 836

5.0 Conclusions

5.1 This is the second performance report of 2013/14. This report sets the overarching performance data for Social Services alongside the data on budgetary expenditure.

5.2 This report identifies where progress has been sustained or has improved in line with agreed targets and measures. Where this has not been achieved, a commentary is provided, indicating the actions that will be taken to secure improvements.

5.3 This report highlights where there has been progress in moving towards more efficient and effective service delivery. The strategic approach adopted by Social Services with business plans in place for each service area aligned to efficiencies and proposed policy saving is designed to secure sustainable services in line with corporate priorities. However, given the significant challenges for adult services and the requirement to constrain expenditure in the context of ever increasing demands, fundamental changes will be necessary to address future level of need.

6.0 Sustainability Implications

6.1 This report is chiefly for information and serves to highlight service actions over quarter 2 of 2013-2104.In receiving this information committee are informed of the service approach and can influence the direction of required further intervention as appropriate.

7.0 Resource Implications

7.1 Financial Details

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7.2 The full financial implications of the recommendations are set out in the report. This includes a reference to full life cycle costs where appropriate. Yes

7.3 Finance have been consulted and have agreed the financial implications as set out in the report.

7.4 Staffing - no implications.

8.0 Exempt Reports

8.1 Is this report exempt? No

9.0 Declarations The recommendations contained within this report support or implement our Corporate Priorities and Council Policies.

(1) Our Priorities (Please double click on the check box )

The area has a positive image and attracts people and businesses Our communities are more cohesive and inclusive People are better skilled, trained and ready for learning and employment Our communities are safer Vulnerable people and families are supported Substance misuse and its effects are reduced Health is improving and health inequalities are reducing The environment is protected and enhanced for all The Council is effective, efficient and recognised for excellence

(2) Council Policies (Please detail)

10.0 Equalities Impact

10.1 Have you undertaken the required equalities impact assessment to ensure that no groups are adversely affected by the recommendations? No

This report is for information only. No policy changes or changes to service provided are recommended.

11.0 Legality

11.1 It has been confirmed that in adopting the recommendations contained in this report, the Council is acting within its legal powers. Yes

12.0 Appendices

12.1 Please list any appendices attached to this report. If there are no appendices please state "none"

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Appendix 1Social Services Business Plan 2012-13 Report from Covalent

Appendix 2 Detailed Outturn Variance Analysis

13.0 Background Papers

13.1 Have you used other documents to compile your report? (All documents must be kept available by the author for public inspection for four years from the date of meeting at which the report is considered) Yes

Social Services 2012-2013 & 2013-2014 Business Plans

Clackmannanshire Council General Services Revenue and Capital Budget 2012/13

Clackmannanshire Council: Budget Strategy Update 16 August 2012

Author(s)

Approved by

NAME DESIGNATION TEL NO / EXTENSION

Christine Sutton

George Marshall

Carol Johnson

Jane Menzies

Service Manager - Strategy

Accountant

Performance and Quality Assurance Manager

Assistant Head of Service Adult Care, Strategy and Performance

01259 225031

01259 452074

01259 452368

01259 452376

NAME DESIGNATION SIGNATURE

Val de Souza Head of Social Services

Nikki Bridle Director of Finance and Corporate Services

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90

Appendix 2

Social Services - Budget v OutturnBudget 13-14 Outturn 13-14 Variance

£'000 £'000 £'000

Social Services Variance 25,919 26,381 462

PartnershipIMHS Pooled Budget - Staffing vacancy. Awaiting appointment of back filled staffing vacancies 572 544 (28)

412 412 1

Partnership Total 984 956 (28)

StrategyContracts & Commissioning - Charge to CJS for overheads greater than budgeted. Saving to be allocated. 78 43 (35)Workforce development - staffing budget reduced this month for VS 33 51 18ADP - On budget 78 78 0Policy Officers - Secondee on lower salary point 80 78 (2) ASP coordinator and SDS costs from Stirling Council not budgeted in this heading virement to be done 69 106 37Change Fund (1) 0 1

Strategy Total 337 356 19

Adult Assessment & Care ManagementPurchasing - Care Home expenditure (£65K) over budget and Home Care payments (£300K) over budget. Upper Mill St (£170K) and Income (£200K) savings not realised yet. 8,180 8,990 810Staffing - On budget vacancy mgt to be allocated 1,437 1,433 (5)CES - Second quarter equipment charges not made yet 95 119 24Adult Support & Protection - Staff vacancies in first quarter 161 143 (17)

Adult Assessment & Care Management Total 9,873 10,685 812

Social Services Performance Report - Appendix 2Budget v Outturn 1 of 3 14/01/201491

Appendix 2

Social Services - Budget v OutturnBudget 13-14 Outturn 13-14 Variance

£'000 £'000 £'000

Adult Provision74 83 9

Menstrie House - Staffing overspend in Agency staff 1,374 1,411 37Homecare - Reablement posts funded by changefund. 325 316 (10)

371 363 (8)49 45 (4)

984 1,001 16(26) (29) (3)

1,142 1,083 (59)Advocacy etc - Income from the café at Greenfield. 3 (2) (5)

Adult Provision Total 4,319 4,287 (32) Child Care - Clacks LocalityResidential Schools - Underspend based on known children. Volatile budget could change either way before year end. 2,496 2,381 (115)Safeguarders- Small underspend predicted in legal expenses. 38 36 (2)Duty Intake Team - Staffing vacancies offset by Agency staff 488 428 (59)Long Term Team - Staffing vacancies offst by Agency staff 1,150 1,240 90Intensive Support - Stirling Council using hours unused by clacks creating underspend 215 196 (18)Review Officers moved to strategy 136 115 (21)Who Cares 8 8 0EDT 88 89 1

Child Care - Clacks Locality Total 4,618 4,493 (125)

Child Care - Resourcing, Disability TCACKinship Care - currently have 5 children in Kinship care less than budgeted 278 253 (25)Fostering & Adoption - More children placed with internal foster carers staff vacancies 1,141 1,114 (27)External Foster Care - 9 more children placed with external agencies this month bringing total to 30. 845 984 139Woodside - staffing underspend 540 496 (45)Care Leavers Work Experience - care leavers not in post as yet. Budget transferring to HR in 2013/14. 0 0 0Throughcare & Aftercare - staff vacancy and reduced number of children in accommodation 225 195 (31)Disability Team - Staff vacancies, Agency staff overspend 431 425 (5)Early Years - Staff vacancies problems recruiting enhanced Social Workers 1,196 1,055 (141)Voluntary Organisations - Reduction in payments to Health in CCSF 55 47 (8)

Child Care - Resourcing, Disability, TCAC Total 4,884 4,752 (131)

Day Services - Staffing Underspend due to vacancies.MOW

Comms Centre - Shared costs greater than budget

Ludgate House - relief staff overspendEld Prov Mgt Unit - Underspend in Telecommunications budget.MECS - Post funded by Change Fund

Social Services Performance Report - Appendix 2Budget v Outturn 2 of 3 14/01/201492

Appendix 2

Social Services - Budget v OutturnBudget 13-14 Outturn 13-14 Variance

£'000 £'000 £'000

Child Care - Protection, EEI & Youth JusticeYouth Justice - Staffing Vacancies 289 263 (25)Child Protection - Budget transferred to HUB but staff not in place yet. 92 17 (75)Early Intervention 45 45 0

Child Care - Protection, EEI & Youth Justice Total 426 325 (101)

Criminal Justice ServiceSection 27 Grant - Staffing overspend due to regradings and increments offset by reduction in non core payments (1) 0 1Glenochil Prison - staffing vacancies 0 (20) (20)

Criminal Justice Service Total (1) (20) (19)

Management SupportManagement Team - Overspend due to temporary increase in management team. 422 472 50Facilities Management - Overspend in Telecomms 57 74 16

Management Support Total 480 546 67

Social Services Total 25,919 26,381 462

Social Services Performance Report - Appendix 2Budget v Outturn 3 of 3 14/01/201493

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Social Services Business Plan 2013-14 APPENDIX 1 Quarter 2 Progress Report KEY TO SYMBOLS

PIs Status Short Term Trends Long Term Trends

Compares actual performance with target

Compares actual performance with most recent previous

Compares actual performance with previous over the longer term

Alert Performance has improved Performance has improved

Warning Performance has remained the same Performance has remained the same

OK (performance is within tolerance limits for the target) Performance has declined Performance has declined

Unknown No comparison available - May be new indicator or data not yet available No comparison available

ACTIONS RISKS

Expected Outcome Current Rating = Likelihood x Impact (1 - 5) Status

Meet target/complete within target dates Rating 16 and above

Will complete, but outwith target Rating 10 to 15

Fail to complete or cancelled

Rating 9 and below

The likelihood of a risk occurring, and the impact if it does occur are each scored on a scale of 1 to 5, with 1 being the least likely or the least significant impact. Detailed guidance on scoring is provided in the Risk Management Policy and guidance.

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1 HIGH LEVEL SUMMARY 2 Our communities are more cohesive and inclusive 9 The council is effective, efficient and recognised for excellence

PIs PIs

Actions Actions

Risks Risks

*Please note annual measures have been removed until they are reported on*

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2 DETAILED REPORT Priority Outcome 2 - Our communities are more inclusive and cohesive

Covalent Code ACTION By When Lead Progress Bar Expected Outcome

Icon Latest Note

SOS SSS 025 Develop a strategy for the implementation of new Self Directed Support legislation.

March 2014 Jane Menzies

Recruitment for replacement programme manager has been unsuccessful to date so the service are looking at alternative arrangements to support this development. Assessment and care management staff have been appointed and have been operational to support the implementation of outcomes based practice and pilot working across both council areas.

SOS SSS 013 Consult, agree and implement actions from Older Peoples Joint Commissioning Strategy

March 2014 Jane Menzies

The commissioning plan is complete with substantial stakeholder engagement. Submitted to the Scottish government and progress compares well nationally. This is a live document. RSOPC will lead us into integration, so focus is on partnership and locality engagement. The change fund has been prioritised on the core pathway of adult care i.e. admission, discharge and Intermediate care.

SOS SSS 014 Develop Children's Joint Commissioning Strategy

March 2014 Sheila Graham

A full review of adult and childcare commissioning is underway. This will ensure a strategic approach and a focus on early intervention, family support and best value. Discussion with the third sector is underway but requires to develop into a coproduction relationship.

2010/

11 2011/

12 2012/

13 2013/

14 Q2 2013/14 Code Description

Value Value Value Target Value Short Trend

Latest Note Lead

ADC ADA 01a % of people aged 65 and over with intensive care needs receiving services at home

36% 43% 42%

35%

44% This is a short trend improvement on the Q1 figure of 43%. Jane Menzies

ADC ADA 006 Delayed hospital discharges over 4 weeks 0 0 0 0 0

Performance has remained the same as the previous quarter. Q1 0

Jane Menzies

CHC LAC 05d Percentage of looked after children who remain in their communities n/a 88% 82%

90% 78%

Performance had dropped 1% on the previous quarter. This is due to a slight reduction in the number of children looked after at home or related care. Those in agency foster care outwith

Sheila Graham

97

2010/11

2011/12

2012/13

2013/14 Q2 2013/14

Code Description Value Value Value Target Value Short

Trend

Latest Note Lead

their community continues to remain higher than previous years.

Priority Outcomes.- Our communities are safer, Substance misuse and its effects are reduced, Health is improving and health inequalities are reducing, Vulnerable people and families are supported Covalent Code ACTION By When Lead Progress Expected

Outcome Latest Note

SOS SSS 015 New process and procedures embedded to support effective and efficient planning for permanency for looked after children

April 2014 Sheila Graham

Draft permanency procedures have been sent to senior managers and officers for comment and will be finalised in the New Year.

SOS SSS 016

The multi-agency Public Protection Hub is extended to deliver an integrated Child Protection Service across Clackmannanshire and Stirling Council areas

April 2014 Sheila Graham

From 28 October a phased integrated Child Protection Service across Clackmannanshire and Stirling Council areas was put in place. This is being supported by the Intake Team in the short term until the Hub can fully support it with own resources. A proposed staffing structure and business plan to support a fully integrated service is in progress.

SOS SSS 017 Develop a proposal with NHS to lead the service into Health and Social Care integration.

April 2014 Jane Menzies

Discussion continue corporately and politically , considering potential governance structures. Focus remains on client outcomes and a model that best supports this. A number of stakeholder events have taken place to ensure all views are considered. Staff and elected member briefings have also taken place. There is an aspiration to agree a model in early 2014.

SOS SSS 018

Develop priorities with NHS to establish where collaborative advantage can be gained and further integration of value

June 2013 Jane Menzies

Core adult care priorities have been established and agreed. These are driving the future service delivery model and the future role of social care in the wider system. A proposal is being presented to committee in January 14 for the redesign of adult care. Priority is also to identify practice areas for early integration. Progress 90%

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2010/11

2011/12

2012/13

2013/14 Q2 2013/14

Code Description Value Value Value Target Value Short

Trend

Latest Note Lead

CHC SCR 002 % of children requiring supervision seen by supervising officer within 15 working days

100% 100% 80%

100% 40%

The short term arrow indicates a drop in performance from the Q1 figure of 63%. 2 out of 5 children were recorded as having been seen within timescale during the quarter. Checks with allocated workers have established that visits have been undertaken but not recorded within timescales. There is a need to ensure that visits are recorded accurately on the child care case management system and linked to this requirement, to enable accurate collation of the data for this performance indicator. Service manager taking forward this improvement with teams to ensure full and accurate recording of visits.

Sheila Graham

CHC SCR 01a % Reports submitted to the Children's Reporter within 20 working days

60% 64% 48% 75% 77%

Above target but performance for Q2 was less than the Q1 figure of 82%.

Sheila Graham

CHC CPR 078 Children on the Child Protection Register with at least one Core Group in the past month

n/a n/a 80% 90% 89%

Improvement on the Q1 figure of 78%. Sheila Graham

ADP CJS 001 % of Criminal Justice reviews of high risk offenders that took place by scheduled date n/a n/a 100% 100% 100%

Performance remains the same as previous quarter. This figure relates to Mappa Reviews.

Val de Souza

CHC CPR 029 Children on the child protection register visited weekly and seen n/a n/a 100% 100% 100%

Performance remains the same as previous quarter. Q1 100% Sheila Graham

ADC ADA 018 % of Adult Support and Protection investigations that have an outcome of an initial case conference

n/a n/a 12% Data only

33%

There is no target for this indicator it is only a reflection of activity. The quarter 2 figure is higher than the Q1 figure of 0%.

Jane Menzies

ADC ADA 019 % of Adult Protection IRD/planning meetings held within 24 hours of referral

n/a n/a 66%

75% 86%

Performance has dropped since Q1 which reported 100%. However the target continues to be met and an audit is planned with multi-agency partners to take place in early 2014 will provide a more in depth and qualitative evaluation of Adult Support and Protection activity and outcomes for service users.

Jane Menzies

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13

Priority Outcome - The Council is effective, efficient and recognised for excellence

Covalent Code ACTION By When Lead Progress Expected Outcome Latest Note

SOS SSS 019 Service Delivery Plans to be in place across Social Services in line with the outputs from PSIF assessments and wider engagement activity

April 2014 Val de Souza

Plans are now in place across all services as a vehicle for service development and business planning. Service planning ensures accountability at service management level for areas such as finance, absence and staff management. This % progress represents the further work required to embed staff engagement and shared leadership.

SOS SSS 020 Monitoring of implementation of action plans and improvement activity embedded across the service

April 2014 Jane Menzies

These principles are embedded in the service development plans and monitored via the adult and childcare balanced scorecards and associated performance forums. This measure ensures improvement is intrinsic to practice and not running in parallel.

SOS SSS 021 Programme of staff engagement activity in place and embedded across service areas.

April 2014 Jane Menzies

There is an acknowledgement that to tackle morale and absence meaningful staff engagement must take place. Service planning as noted in one means of achieving this. Team leader forums exist as do practitioner forums to discuss specific areas of work. Leadership activities have taken place for service management, team leaders and will be rolled out to all staff in the new year. Improvement events ensuring staff knowledge shapes services have been implemented in child protection, childcare and adult provision. This areas is a key priority for social care, and the % progress is in recognition of its importance.

SOS SSS 022 Review and redesign of children's services to focus on early intervention and prevention

April 2014 Val de Souza

A business plan has been ratified by the programme board. This offers the required direction for the service with family support and prevention at the core. A delivery plan is in development, translating this to tangible objectives, measures of success and the shape of the workforce. To truly achieve this will require a fundamental shift, but in doing so the service should see a reduction in the need for residential care and the need to formally intervene.

SOS SSS 023

Implement rigorous attendance management, workforce planning, Performance Review and Development meetings and provision of learning opportunities.

April 2014 Val de Souza

Human resources are working with the service to develop focussed absence reports to ensures procedures are adhered to. Staff engagement is a priority to ensure role and team clarity to assist in developing positive a identity and improved morale. A number of events have taken place to support staff and ensure expectations are clear, but social care aspires to this being built into all activities on a systematic basis.

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7

2010/

11 2011/

12 2012/

13 2013/

14 Q2 2013/14 Code Description

Value Value Value Target Value Short Trend

Latest Note Lead

SOS CUS 001 Number of complaints received 3 5 3 Data

only 0

Activity remains the same as previous quarter where no stage 2 complaints were also recorded.

Jane Menzies

SOS LAG 027 % staff who feel they have the ability to improve the service their team provides. 61.9% n/a 55%

65% 57%

This annual figure is an increase in the previous year. Information is obtained from the annual Social Services staff survey.

Val de Souza

SOS CUS 002 % Social Services who achieve Care Inspectorate evaluation scores of 4 and above across residential and day services

n/a n/a 94%

95% 36%

This figure is an improvement on the start of the year which was 10% at quarter 1.

3 out of a total of 4 services that have had their inspections published so far this year have failed to reach a grading of good or above from the Care Inspectorate. 1 service is in Adult Care and 2 are in Child Care.

Child Care - Following the inspection of Fostering and Adoption services in June of 2013 an action plan was drawn up and additional support put in place from Celcis to ensure that work progresses to address these recommendations. It should be noted that following the recent inspection considerable progress has been made within the team in relation to obtaining feedback from foster carers, the development of a monthly training programme with crèche facilities at minimal cost to the local authority. In addition, progress has also been made in terms of the development of weekly resource meetings, monthly team meetings and staff supervision. A Foster Care Panel has been developed which will review all existing foster carers by March 2014 as well as assuming responsibility for Kinship Carers reviews. Celcis will meet with the Foster Carers Group to provide information in relation to the work of Celcis, provide feedback following the completion of the foster carer questionnaire and develop a shared understanding prior to new foster carer recruitment activities. Training materials in relation to life story work are being developed by Celcis for foster carers. Adult Care There were 4 Service Inspections in Adult Care in 2013. Only one was rated 3's by the Care Inspectorate (Ludgate Day Care) other grades ranged between 5's and 6's. Ludgate offers 2 services - respite and day care - whilst they have 2 separate registrations, they are managed by same team under same

Val de Souza

101

8

2010/11

2011/12

2012/13

2013/14 Q2 2013/14

Code Description Value Value Value Target Value Short

Trend

Latest Note Lead

policy/procedures. The respite grades remained 5's. The services were inspected by 2 different inspectors offering differing views. The service whose grades were reduced from 5 - 3 was given no improvement requirements and minimal recommendations to create an action plan.

SOS LAG 003 % of staff who feel that the annual appraisal system helps them improve the way they do their job

31% n/a 54%

60% 54%

Performance remains the same as previous year and is informed by the annual Social Services staff survey.

Val de Souza

GOV SAB SOS Staff sickness absence throughout social services

n/a Data only

2406.50 n/a Methodology changed from % to annualised days lost.

Val de Souza

ACC BUV SOS Projected variance as % of actual budget

-3.27% -6.66% +0.88%

+/-2.55% -1.18%

The overspend has increased since the Q1 when it was -0.97% although still within target tolerance. The area of greatest overspend is within Adult Assessment and Care Management service. This was an area of increasing overspend however this has stopped and reduced slightly as a result of interventions such as the introduction of a Resource Panel which scrutinises all new or increased provisions based on the Councils eligibility framework. Only those with critical or substantial need are approved.

Val de Souza

SOS IBP 009 Social Services Assessments completed within timescale

71% 78% 71%

75% 72%

An improvement on Q1 67%. The Q2 figure is made up of the following; Child protection reports on time Q2 60% Criminal justice service social enquiry reports to court in agreed timescales Q2 97.5% Adult community care assessments Q2 57%

Val de Souza

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9

Social Services Risk Register 2013-14 Covalent Code Risk Description Status Current Rating 12 Target Rating 4

STP SOS 014 We may fail to work effectively in partnership with NHS Forth Valley

Potential Effect Failure to; meet Scottish Government objectives meet Council objectives deliver the required services

Corporate Management Team meetings STP SOS CMT

Related Actions SOS RIS 001 Joint action plans and commissioning strategies

Internal Controls Health & Social Care Joint Management Team meetings STP SOS JMT

Latest Note Ongoing discussions between the Councils and NHS regarding integration. Managed By Jane Menzies Covalent Code Risk Description Status Current Rating 12 Target Rating 3

STP SOS 015 Lack of a sufficiently robust strategic planning framework across all care groups

Potential Effect Impact on financial expenditure, failure to deliver efficiencies, impact on the sustainability of services and ability to meet future needs

SOS RIS 002 Joint commissioning work plan in place

Joint Commissioning Strategy for Older People STP ADC JCS

Health & Social Care Joint Management Team meetings STP SOS JMT

Shared Social Services Change Programme STP SOS CPP

Related Actions SOS RIS 003

Additional resources in place to progress and deliver on efficiencies in line with strategic objectives for commissioned services.

Internal Controls

Programme for capacity planning and commissioning

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10

activity in place for Social Services for 2013 - 2014.

Latest Note Managed By Jane Menzies Covalent Code Risk Description Status Current Rating 8 Target Rating 2

STP SOS 016 There is a risk that procedures are not up-to-date and easily accessible by staff

Potential Effect

Failure to: meet Scottish Government objectives meet Council objectives deliver the required services

Risk of harm to current or potential service users

Related Actions SOS RIS 004

Work has commenced to develop action plan and allocate resources to review operational procedures and guidance.

Internal Controls Service Plans STP SOS SPM

Latest Note Managed By Jane Menzies & Sheila Graham Covalent Code Risk Description Status Current Rating 4 Target Rating 4

STP SOS 017 Information system may be unavailable due to lack of controls

Potential Effect Negative impact on the smooth running of the service

SOS RIS 015 Review Disaster Recovery and Business Continuity arrangements for shared Social Services Joint IT Governance Group STP SOS IGG

Business Continuity Plans FCS CUS BCP

Related Actions

SOS RIS 016 Develop an implementation plan for the migration to SWIFT from CFIS for Childcare Clacks.

Internal Controls

Shared Social Services Change Programme STP SOS CPP

Latest Note Managed By John Allan

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11

Covalent Code Risk Description Status Current Rating 3 Target Rating 2

STP SOS 018 Criminal Justice Services may fail to meet the outcomes expected by the Community Justice authority, particularly in relation to a reduction in re-offending

Potential Effect Negative impact on the smooth running of the service. Reputational damage

Social Services Business Plan (performance Information) STP SOS BUP CJ Performance Management Group STP CJA CPF

Fife and Forth Valley Community Justice Authority Area Plan 2011-2014 (Performance monitoring Framework) STP CJA ARP

CJ Service Plan STP CJA SRP

Related Actions SOS RIS 005 Service plan to be updated incorporating practice governance. Internal Controls

MAPPA guidance STP CJA MPA

Latest Note Managed By Stuart Landels Covalent Code Risk Description Status Current Rating 12 Target Rating 6

STP SOS 019 We may fail to have full contract monitoring procedures and compliance in place for Social Services

Potential Effect

Pressure on contract compliance staff Paying for services not provided Non compliance with statutory reqs Critical services may not be supplied

Corporate Procurement Strategy STP SOS PRO

Related Actions SOS RIS 006 Strategy service redesign to provide additional capacity for contract management and monitoring. Internal Controls

Shared Social Services Change

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12

Programme STP SOS CPP

Corporate Contract Standing Orders STP SOS CSO

Latest Note Additional temporary resources allocated to address contract compliance for Social Services. Managed By Jane Menzies Covalent Code Risk Description Status Current Rating 8 Target Rating 3

STP SOS 020 Failure to meet targets on processes, requirements and service standards including administrative processes

Potential Effect We may fail to deliver the required services Risk of harm to current or potential service users

Social Services Business Plan (performance Information) STP SOS BUP

Related Actions SOS RIS 007 Review of key processes is in progress Internal Controls

Senior Social Services Management Team STP SOS SMT

Latest Note Managed By Val de Souza Covalent Code Risk Description Status Current Rating 12 Target Rating 6

STP SOS 021 We may fail to have sufficient staff capacity to undertake core duties

We may fail to deliver the required services

Lack of effective support to staff Risk of harm to current or potential service users Potential Effect

We may fail to meet statutory requirements

Recruitment & retention policy STP SOS RTP

SOS RIS 008

Focussed interventions in service areas i.e. recruitment, attendance, support, supervision and PRDs.

Attendance Support Policy STP SOS ASP

Supervision policy STP SOS PRD

Related Actions SOS RIS 009

Increased focus on Workforce Planning and Workforce Development

Internal Controls

Business Continuity Plans FCS CUS BCP

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13

Latest Note Managed By Val de Souza Covalent Code Risk Description Status Current Rating 12 Target Rating 3

STP SOS 022 We may fail to have competent, confident staff and managers to undertake core duties

Potential Effect

Failure to deliver the required services and meet statutory requirements. Lack of effective support to staff Risk of harm to current or potential service users

Corporate health & safety policies FCS GOV H+S

Clacks Supervision policy STP SOS PRD

SOS RIS 010

Risk Assessment and Risk Management Training Programme

Learning & Development Strategy STP SOS LDS

Staff engagement plan STP SOS SEP

Integrated Children's plan - FV GIRFEC agenda STP CHC ICS

FV risk assessment model - child & adults STP SOS RAM

Child protection procedures STP CHC CPP

MAPPA guidance STP CJA MPA

Related Actions

SOS RIS 011

Performance Forums in place across all service areas

Internal Controls

Workforce Learning & Development Strategy, Plan & Framework (Clacks) STP SOS WLD

Latest Note Managed By

107

14

Covalent Code Risk Description Status Current Rating 8 Target Rating 3

STP SOS 023 Failure to meet standards and deliver action plan improvements in line with Care Inspectorate requirements for internally and externally commissioned services

Potential Effect Potential for service closure Reputational damage to Service & Council

Care Inspectorate Improvement Plan STP SOS CIP

Performance Forum STP SOS PER

Annual Plan for Audit Activity STP SOS AUD

Related Actions SOS RIS 012

All services to have service specific forums focused on performance management Internal Controls

PSIF programme STP SOS PSF

Latest Note Planning and Commissioning team monitoring externally commissioned services to ensure adherence with required standards. Managed By Jane Menzies

108

15

Covalent Code Risk Description Status Current Rating 12 Target Rating 6

STP SOS 024 Instability in the external care home market

Potential Effect Potential for service closure Deterioration in service standards Reputational damage to service

SOS RIS 013

Contingency Plans in place. Related Actions

SOS RIS 006 Strategy service redesign to provide additional capacity for contract management and monitoring. Internal Controls

Contracts Monitoring Framework STP SOS CMF

Latest Note Managed By Jane Menzies

Covalent Code Risk Description Status Current Rating 6 Target Rating

STP SOS 025 Industrial relations may deteriorate

Potential Effect Disruption to service delivery. Negative impact on Employee Morale, Risk of harm to service users or potential service users

Industrial relations meetings. STP SOS INR

Related Actions Internal Controls Staff engagement plan STP SOS SEP

Latest Note Managed By Val de Souza

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