Insert Local Authority
Transformation Strategy Workshop
Insert date
This document is part of the personalisation toolkit
www.dhcarenetworks.org.uk/personalisation
Introductions
• Your name and role
• Your current level of knowledge of the transformation agenda and self directed support
Contents
Introduction
What is success?
What changes?
Success revisited
Getting started
Next steps
Objectives
• Gain a shared understanding of the transformation agenda
• Agree what transformation means for INSERT LOCAL AUTHORITY
• Plan what work needs to be done when
• Agree how to approach a pilot
Transformation agenda- What’s it all about? Universal services – Adult social care must provide support for
all adults with social care needs and their carers, including signposting and help in accessing a range of services that are available to all including services outside of adult social care such as transport, leisure, health and education.
Social capital – developing the community and encouraging individuals to make use of all resources available to them in the community, including personal networks (family and friends), community groups, the voluntary sector and other informal support
Prevention and early intervention Helping people maintain good health and independence with
low level support. Identifying people at risk of losing independence and giving
them support early. Helping people get back on their feet after illness, for
example through “enablement”. Choice and control – ensuring people have greater choice and
control over their lives, including through self-directed support.
Citi
zen
ship
Info
rma
tion
Life
styl
e
Pra
ctic
al s
up
po
rt
Ea
rly in
terv
en
tion
En
ab
lem
en
t
Cris
is /
fle
xib
le r
esp
on
se
Inst
itutio
na
l avo
ida
nce
Tim
ely
dis
cha
rge
General population
Complex needs
Substantial needs
Low to moderate
needs
Prevention and Intervention have avital role
There are activities at every stage which can improve quality of life and reduce demand
Benefits of transformation
• Benefits for users– Increased choice and control– A shift in power from the council to the individual– Greater flexibility– Prevention and early intervention improves quality of life
• Benefits for councils:– Increased transparency of resources and budgets– Greater flexibility and equity in provision across all adult groups– Greater awareness of support networks that exist in the community– More efficient process
‘Putting People First isn’t just a vision for social care. It demands that all parts of local government ask some fundamental questions about the types of communities they want to build’
Phil Hope, Minister for Care Services, 2009
Co-production
• Co-production is a key part of this agenda• Real change can only happen by engaging users and carers
throughout • Personalisation means empowering people to develop solutions
that work for them
Putting People First… “seeks to be the first public service reform programme which is co-produced, co-developed, co-evaluated and recognises that real change will only be achieved through the participation of users and carers at every stage. It recognises that sustainable and meaningful change depends significantly on our capacity to empower people who use services and to win the hearts and minds of all stakeholders’, especially front line staff”
No longer IF but HOW
‘Transforming social care’ makes it clear that all local authorities have to change their social care model and that this will involve a significant amount of work.
“We have a long way to go to give everyone more choice and control over the care and support they receive. Local councils are clearly working hard to transform their systems to do this. We need to work together with local communities to ensure this progress continues.”
Phil Hope, Minister for Care Services, May 2009
No longer WHEN but NOW
Councils and partners are working to deliver significant progress by 2011.
“The information given to us from councils indicates very strong progress amongst a number of councils. We are confident that this will become widespread over the coming year”
Jeff Jerome, National Director for social care transformation, May 2009
IBSEN report
The IBSEN review of the individual budgets pilots was published in November 2008, with a carers evaluation published later.
The key findings included:- More people felt in control of their lives- More people taking up direct payments- Many people continued to use mainstream services- Need for better access to support planning and brokerage- Mixed evidence about the early outcomes for some people- Some challenges about making it work for some groups (such as older people) - Mostly positive results for family carers
Transformation framework: summary
Phase 1 Full PotentialSwitch On
Investigation
Blueprint(Develop)
ImplementationPlanning
Implementation
InvestigationBlueprint(Enhance)
ImplementationPlanning
Implementation
Blueprint(Review)
ImplementationPlanning
Implementation
Limited Launch Expanding the new approach to all
Optimising the systems
Monitor & Sustain
Personalisation – what the words mean
Contents
Introduction
What is success?
What changes?
Success revisited
Getting started
Next steps
What counts as a success?
• Success is about service wide transformation - offering a personal budget or increasing direct payments is not enough, but is a key step
• The principle is to offer maximum control and choice while effectively managing risk
• The development of universal services and social capital have an important role to play
• Co-production is a key tool in transformation
• Reducing demand on services through a combination of prevention and early intervention.
Defining success for INSERT LOCALAUTHORITY
1) What elements constitute successful implementation of transformation?
2) Which of these can we measure?
3) Can we define success in one sentence?
4) When can we describe transformation as “mainstreamed”?
You need to define what success means in your area
Efficiency?
Genuine choice
and control?
Greater control
over limited
finances?
Less reliance on local authorit
y?
Improve-ment in outcom
es?
Avoiding bad
press?
Evidence of new options in the
market?
Everyone acting as
self-funders?
Inclusion
of more funding streams
?
Maintain/
improve CQC
rating?
Demon-strable culture change?
Various perceptions of success
A new ‘agreement’ with citizens?
Increased
SocialCapital?
More Co-producti
on?
Contents
Introduction
What is success?
What changes?
Success revisited
Getting started
Next steps
initial contact assessment -
advice and signposting
Meet immediate needs and
enableAssess
The Customer Journey
Calculateinitial personal
budgetSupport plan
Authorise&
validate
Universal services and
early intervention
Go liveMonitor &
review
Self-directed supportEarly intervention
How can you help customers stay independent?
First contact - advice and signposting
Meet immediate needs and
enableAssess
Calculateinitial personal
budgetSupport plan
Authorise&
validate
Universal services and
early intervention
Go liveMonitor &
review
Review may suggest enablement
Those not eligible for a package can get further
information
enablement prevents requirement for ongoing support
Continually look for opportunities to enable, signpost or give advice
to increase independence
Encourage to the left, not inevitable drift to the right
Elements of transformation
• On what is there already a INSERT LOCAL AUTHORITY consensus?
• At what stage should other decisions be made in?
BlueprintImplementation planning
Implementation
Breakdown of activities for target operating model
• The following slides demonstrate how the transformation framework can be applied to the self-directed support element of the customer journey
• The principles and questions which are raised for each stage (e.g. blueprint, implementation) can be applied across the transformation agenda.
Breakdown of activities for TOMInitial contact assessmentProvision of information for individuals using or interested in social care services (including self-funders) is essential to allow genuinechoice and control. This covers information available via all channels(web, phone, face-to-face etc) at first enquiry stage and throughout the
process.
• Develop new information resources – print & online• Decide role of Council’s contact centre (e.g. will the council do initial
telephone assessments?)• Explore options for on-line contact• Review appointment system with professional staff• Develop information for self-funders • Training and development for ASC & customer contact staff• Implement procedures to ensure information is consistent across all
channels• Agree how to work with partners (public, provider and voluntary
sector) in the provision of information and other support that people will be signposted to
• Work through and agree the interface with services providing low-level interventions, or enablement services and other ‘fast track-able’ or crisis support
• Review triggers for assessments
Breakdown of activities for TOMAssessmentThe traditional care assessment and management process will need to be redesigned to enable transformation. Assessment includes determining eligibility and the personal budget amount which typically
involvesdeveloping an operational Resource Allocation System (RAS) and defining
the roleof self-assessment. This may have an impact on current role definition
and teamstructure of social worker/care managers.
• Decide on approach to self-assessment & when to make citizens aware of their budget
• Develop assessment questionnaire• Develop Resource Allocation System• Refine financial assessment• Decide how to validate and risk manage assessments• Put appropriate risk management arrangements in place• Ensure integration with other assessments (CAF, other funding
streams etc) - minimum signposting role• Adapt back office systems to support these functions• Define the role of social workers & care managers and changes to role
descriptions and team structure• Develop training plan
Breakdown of activities for TOMIndicative Personal Budget Calculated
At this stage the person is informed about their personal budget and about any appeals process.
• Decide how best to communicate this information• Agree processes for approving indicative personal budget allocations• Decide appeals process• Agree policies for exceptional and transitional allocations • Adapt back office systems to support these functions
Breakdown of activities for TOMSupport planning
The traditional care assessment and management process will need to beredesigned to enable self-directed support. People can use any
combination of resource (third sector, friends, family, social workers, care managers) to
developtheir support plan. The council will retain a role to risk assess and approve support plans.
• Decide maximum and minimum levels of assistance to be offered and by whom
• Utilise existing resources in the community• Develp new support planning approaches to offer genuine choice and
stimulate creativity while managing risk• Consider boundaries for what personal budgets can be spent on• Define the role of social workers & care managers and changes to role
descriptions and team structure• Develop training plan• Adapt back office systems to support these functions
Breakdown of activities for TOMAuthorisation & validation
The council will continue to retain a role in ensuring that support plans will meet the identified needs of individuals and that their legal
responsibilities are met. To do this there needs to be an effective process to agree
support plans.
• Agree a process for the authorisation of support plans • Develop guidance for social workers to negotiate changes to support
plans, in line with support planning guidance
• Agree an appeals process if people do not agree with social workers when determining the support plan
Breakdown of activities for TOMGo Live/expansion/optimisation – service implemented and
commenced
In a self-directed support system, citizens can choose to control their personal budget in a variety of ways. There will also be the need to ensure peoplehave the assistance they need to secure the support specified in the support plan.• Agree how to maximise the resource deployment options - direct payment; a
representative, a legal trust, an independent support organisation or a provider manages the funds on their behalf; services provided or procured by the council; or a combination of these methods
• Agree the control mechanisms over each method • Develop processes for supporting these different types of personal budget• Design structure and standard content of contract between the person and the local
authority• Decide which aspects of organising support the council will support and which aspects
it will rely on external providers for role of local authority under self-directed support• Decide what parts of the cost of organising support appear within the personal budget• Identify and consult with current or potential organising support providers• Decide if the cost of organising support should be included in a personal budget• Creation of resource directory• Define the role of social workers & care managers and changes to role descriptions and
team structure• Develop training plan• Adapt back office systems to support these functions
Breakdown of activities for TOMMonitor & review
Quality assurance and review will be different under transformation. This includes the development of outcome based reviews, ensuring
support plans are being delivered and also responsibility for understanding how
personal budgets have been spent. The relationship with monitoring suppliers’ quality will
also be different if this support was commissioned by individuals. • Develop a process to monitor outcomes and a basis for agreeing
individually how often support plans will be reviewed• Produce review forms/templates/guidance documents• Develop risk management framework to help ensure that the level of
scrutiny undertaken on how individuals spend their budget is appropriate to risk
• Decide on level of quality assurance for providers• Define the role of social workers & care managers and changes to role
descriptions and team structure• Develop training plan• Adapt back office systems to support these functions• Collate evaluation information to inform the next phase
Breakdown of activities for TOMUnderstanding needs and commissioning
Under a self-directed support system the council no longer has direct control over where a significant proportion of the adult social care budget is spent. The market will be responding to individuals choosing what services
theyreceive as well as any contracts that the council chooses to put in place. The
roles ofstrategic commissioning, contracting and contract monitoring will
fundamentally change. • Find ways to learn about what people want• Develop better information on needs and future demand including self-
funders• Explore how and how much the council can influence the market and
where it will get its intelligence about what people want to buy from• Map market in area• Consult with providers• Decide what's in house & what's commissioned• Charging policy• Strategy for existing contracts• Adapt financial, care management & back office systems to support
these new functions
Breakdown of activities for TOMBack office services
Allocating spend and procuring services on an individual basis will requirefundamentally different back office processes and systems. This will
include IT facilities as well as auditing, invoicing and payment processing. Assisting individuals in managing their finances, including through third sector
providers will also require different processes. All these processes will need to be
scalable i.e. some processes will work for small numbers of people but will be
impractical for large numbers. In addition, different systems will be required to support
both back office processes and delivery of care services.. • Decide back office processes for supporting different types of personal
budget (e.g. direct payment, provider facilitated, nominal budget for procuring in-house services, combination)
• Refine and simplify direct payments processes• Undertake analysis to better understand current spend, service user
numbers and unit costs• Adapt financial, care management & back office systems to support
these new functions• Develop risk management framework to help ensure that the level of
scrutiny undertaken on how individuals spend their budget is appropriate to risk
Contents
Introduction
What is success?
What changes?
Success revisited
Getting started
Next steps
How do we define the success of the
Transformation agenda?
• Does our definition of the success of transformation need updating?
Contents
Introduction
What is success?
What changes?
Success revisited
Getting started
Next steps
Getting started – defining a limited launch in Phase 1
•Who will be involved in the pilot?– Client group?– Transition / new clients / annual review / all?– Other factor (e.g. locality / type of provision / team)?
•Size?
– How many clients will be involved in the pilot?
•Speed?
– How quickly will clients be brought into the pilot?
•What are the key issues for each of the elements of transformation when running a pilot?
Contents
Introduction
What is success?
What changes?
Success revisited
Getting started
Next steps
Next steps
• Report to DMT
• Move to Blueprint stage
• Communications