Public Document Pack
Argyll and Bute Council Comhairle Earra Ghaidheal agus Bhoid
Customer Services Executive Director: Douglas Hendry
Kilmory, Lochgilphead, PA31 8RT Tel: 01546 602127 Fax: 01546 604435 DX 599700 LOCHGILPHEAD e.mail –[email protected]
5 March 2015
NOTICE OF MEETING
A meeting of the COMMUNITY SERVICES COMMITTEE will be held in the COUNCIL CHAMBERS, KILMORY, LOCHGILPHEAD on THURSDAY, 12 MARCH 2015 at 10:30 AM , which you are requested to attend.
Douglas Hendry Executive Director - Customer Services
BUSINESS
1. APOLOGIES FOR ABSENC E
2. DECLA RATIONS OF INTEREST
3. MINUTES
(a) Community Services Committee 11 December 2014 (Pages 1 - 8)
(b) Special Community Services Committee 12 January 2015 (Pages 9 - 10)
4. ACCOUNTS COMMISSION - SCOTTISH S CHOOL EDUCATION REPO RT Presentation by Audit Scotland and Report by Executive Director – Community Services (Pages 11 - 62)
5. ADDITIONAL SUPPORT N EEDS REVIEW Report by Executive Director – Community Services (Pages 63 - 68)
6. OPPORTUNITIES FOR AL L AND YOUTH EMPLOYME NT Report by Executive Director – Community Services (Pages 69 - 80)
7. INSTRUMENTAL MUSIC S ERVICE POSITION PAPE R Report by Executive Director – Community Services (Pages 81 - 86)
8. PERFORMANCE REPORT F Q3 2014 -2015 Report by Executive Director – Community Services (Pages 87 - 100)
9. EXTERNAL INSPECTION/ AUDIT REPORTING JULY TO DECEMBER 2014 Report by Executive Director – Community Services (Pages 101 - 112)
10. SCHEME OF ASSISTANCE FOR PRIVATE SECTOR H OUSING Report by Executive Director – Community Services (Pages 113 - 138)
11. HOUSING (SCOTLAND) A CT 2014 Report by Executive Director – Community Services (Pages 139 - 146)
12. HEALTH AND SOCIAL CA RE INTEGRATION UPDAT E Report by Executive Director – Community Services (Pages 147 - 152)
13. DIRECT PAYMENTS POLI CY AND PROCEDURAL GU IDANCE FOR STAFF AND MANAGERS 2014 Report by Executive Director – Community Services (Pages 153 - 202)
14. SDS SELF EVALUATION Report by Executive Director – Community Services (Pages 203 - 220)
15. COMPLIANCE WITH CONT RACTUAL CONDITIONS: INDEPENDENT HOME CARE PROVIDERS Report by Executive Director – Community Services (Pages 221 - 230)
16. THE SCOTTISH GOVERNM ENT'S RESPONSE TO TH E CONSULTATION ON THE REDESIGN OF COMMUNITY JUSTICE Report by Executive Director – Community Services (Pages 231 - 282)
17. COMMUNIT Y SERVICES WORKPLAN 2014 -2015 Report by Executive Director – Community Services (Pages 283 - 288)
COMMUNITY SERVICES COMMITTEE
Councillor John Armour Councillor Rory Colville Councillor Robin Currie Councillor Mary-Jean Devon Councillor George Freeman Councillor Anne Horn Councillor Donald Kelly Councillor Alistair MacDougall Councillor Neil MacIntyre Councillor Robert Macintyre Councillor John McAlpine Councillor James McQueen Councillor Aileen Morton Councillor Douglas Philand Councillor Elaine Robertson Councillor Isobel Strong Father David Connor William Crossan William Marshall Alison Palmer
Contact: Fiona McCallum Tel: 01546 604392
Page 1 Agenda Item 3a
MINUTES of MEETING of COMMUNITY SERVICES COMMITTEE held in the COUNCIL CHAMBERS, KILMORY, LOCHGILPHEAD on THURSDAY, 11 DECEMBER 2014
Present: Councillor Rory Colville Councillor John McAlpine Councillor Robin Currie Councillor James McQueen Councillor Mary-Jean Devon Councillor Aileen Morton Councillor Anne Horn Councillor Douglas Philand Councillor Neil MacIntyre William Marshall
Attending: Cleland Sneddon, Executive Director – Community Services Iain Jackson, Governance and Risk Manager Anne Paterson, Education Manager – Learning and Achievement Fiona Campbell, Education Officer – Secondary Morag Brown, Business Improvement Manager Helen Macleod, Development Officer Donald MacVicar, Head of Community and Culture Jim Robb, Head of Adult Care Pamela Macleod, Development Worker Louise Long, Head of Children and Families Brian Reid, Locality Manager, MAKI
Councillor Aileen Morton, Policy Lead for Education, Lifelong Learning and Strategic IT Services, took the Chair at this point.
1. APOLOGIES FOR ABSENC E
Apologies for absence were intimated from Councillors George Freeman, Donald Kelly, Alistair MacDougall, Robert E Macintyre, Isobel Strong, William Crossan and Alison Palmer.
2. DECLARATIONS OF INTEREST
There were no Declarations of Interest.
3. MINUTES
The Minutes of the Community Services Committee of 11 September 2014 were approved as a correct record.
4. ACCOUNTS COMMISSION - SCOTTISH SCHOOL EDUC ATION REPORT
Due to the inclement weather, Audit Scotland was unable to attend the meeting and submitted their apologies.
Decision
It was agreed that the report be brought back to the next meeting of the Committee.
(Reference: Report by Executive Director – Community Services dated 11 December
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2014, submitted)
5. SQA SCHOOL EXAMINATI ON RESULTS 2014
The Committee considered a report which provided an update on the outcome of the 2014 examination diet, outlined the results for pupils entered for formal examinations and shared the successes of Argyll and Bute pupils across wider achievement.
Decision
The Committee:-
1. noted the examination results for pupils in academic year 2013/14;
2. noted and accepted the strategic programme of performance review between schools and education development and improvement of staff as noted at section 7.1 of the report;
3. agreed to continue to support the work of the Education Service in supporting schools to secure continuous improvement in outcomes for Argyll and Bute Learners;
4. requested a further report at the June Community Services Committee considering the national position arising from information released by Insight;
5. noted that a discussion item would be included in the Committee business session arising from the Argyll and Bute information within the Accounts Commission report on Scottish Education; and
6. recognised the work being carried out by teaching staff and thanked them for their efforts in delivering new qualifications and courses, particularly over the past year.
(Reference: Report by Executive Director – Community Services dated 11 December 2014, submitted)
The Committee adjourned at this point to enable the video conference facility to be re- connected.
The Committee re-convened at 11.20 am.
6. SHARED HEADSHIP
Consideration was given to a report which updated the Committee on the progress of the Shared Headships that are in place in Argyll and Bute Schools as agreed by the Executive in 2011.
Decision
The Committee:-
1. noted the benefits of the joint headship initiative;
2. note the advantages of the existing Shared Headships arrangements; and
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3. noted that the Executive Director of Community Services, on the professional advice from the Head of Education and after seeking the views of the respective parent councils, would decide if creating a Shared Headship was more beneficial than advertising for a stand-alone head teacher for any new vacancy that arose in our primary schools.
(Reference: Report by Executive Director – Community Services dated 11 December 2014, submitted)
7. CHANGES TO THE SCHOO LS (CONSULTATION) (S COTLAND) ACT 2010
Consideration was given to a report which detailed the changes being made to the Schools (Consultation) (Scotland) Act 2010 which takes into account the recommendations in the Rural Schools Commission and the subsequent Parliamentary Process.
Decision
The Committee:-
1. noted the changes to the Schools (Consultation) (Scotland) Act 2010 which came into effect from 1 August 2014;
2. noted that a presumption against closure of rural schools and the introduction of a five year moratorium would impact on any future review of the school estate; and
3. agreed that a definitive list of rural schools in Argyll and Bute be issued to Members.
(Reference: Report by Executive Director – Community Services dated 22 October 2014, submitted)
8. LANGUAGE LEARNING IN SCOTLAND: A 1+2 APPR OACH
Consideration was given to a report which informed the Committee of the decision by the Scottish Government to create a new model for language acquisition in Scotland based on the European Union 1+2 model. The model would be designed to ensure that conditions would be created to ensure every child will learn two languages in addition to their own mother tongue.
Decision
The Committee noted:-
1. the requirements for Languages in Scotland: A 1+2 Languages Approach to be delivered in Argyll and Bute Schools by 2020; and
2. the planned approach in taking forward the Argyll and Bute Languages 1+2 Strategy, to be implemented over a 3 year timeline from 2014 to 2017.
(Reference: Report by Executive Director – Customer Services dated 11 December 2014, submitted)
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William Marshall left the meeting at this point.
Councillor Robin Currie, Policy Lead for Community & Culture, and Strategic Housing took the Chair at this point.
9. IONA AFFORDABLE HOUS ING DEVELOPMENT
On 8 May 2014, Members agreed a Rural Housing Development Fund grant of £450k to Iona Housing Partnership (IHP) for the development of five affordable houses on the island of Iona. Despite the award from the Council, IHP were faced with a significant funding shortfall and the development had not been able to proceed. In order to assist and to explore all possible options, which might successfully deliver the affordable housing for the island, West Highland Housing Association were invited to review the scheme. The Committee considered a report which detailed the findings of this review.
Decision
The Committee agreed to approve a reduced grant from the Strategic Housing Fund of £361k towards the development of five affordable houses on Iona by West Highland Housing Association in partnership with Iona Housing Partnership on the basis that:-
• the grant offered by the Scottish Government was confirmed • West Highland Housing Association Approval was confirmed • the Council has full sight of Legal agreements between West Highland Housing Association and Iona Housing Partnership which were to be concluded prior to tender acceptance.
(Reference: Report by Executive Director- Community Services dated 17 November 2014, submitted)
Councillor Dougie Philand, Policy Lead for Adult Care, took the Chair at this point.
10. INTEGRATION HEALTH A ND SO CIAL CARE
An initial report relating to Integration was presented to full Council on 20 March 2014 and to NHS Highland Board on 1 April 2014. A report providing an update on progress with the Integration of Health and Social Care was considered.
Decision
The Committee noted that:-
1. the first meeting of the Shadow Integration Board took place on 10 September 2014 and that Councillor Douglas Philand was appointed Chair and Robin Creelman was appointed Vice-Chair for an initial period of 2 years;
2. the partnership completed the recruitment and selection of a Chief Officer and that Christina West, Acting Operations Manager for Argyll and Bute
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CHP, would take up post in due course;
3. the Integration Scheme had to be signed off by the Scottish Government before 1 April 2015 and that the partnership planned to submit the Integration Scheme to Scottish Government by 5 January 2015 with the draft Integration Scheme being presented to a special Council meeting on 18 December 2014 and NHS Highland Board prior to submission;
4. initial staff information sessions had been completed across Argyll and Bute attended by 470 staff; and
5. sessions were currently being finalised to hold community events during December 2014.
(Report by Executive Director – Community Services dated 11 December 2014, submitted)
11. RECRUITMENT AND RETE NTION OF CARE AT HOM E STAFF AND LOCALITY UPDATE
The recruitment and retention of care staff is a nationally recognised problem. Although this is affecting care provision in a number of our urban localities, it is a particularly acute issue for rural and remote locations. Future demographics are suggesting that this issue will become increasingly critical in the years to come. The Committee considered a report that highlighted the work Adult Care had undertaken to date to address the current issues and its plan for future provision.
Decision
The Committee;
1. agreed that urgent action was required to address the issues regarding the recruitment and retention of Care at Home staff; and
2. endorsed the innovative solutions being explored by Adult Care, as detailed in the report.
(Reference: Report by Executive Director – Community Services dated 4 November 2014, submitted)
12. LEARNING DISABILITY DAY SERVICES
Consideration was given to a report which provided a summary and update on the improvement and development of the Learning Disability Day Services
Decision
The Committee:-
1. noted that it was the intention of the Adult Care service to provide or commission a modern and person centred Day Services based on a framework of providing or developing services that were socially inclusive and provide positive personal outcomes and meaningful activities over the week inclusive of evenings and
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weekends;
2. agreed that a report on the nature of Day Care Services would be brought to a future meeting; and
3. noted the progress in relation to Learning Disability Day Service Inspection gradings.
(Report by Executive Director – Community Services dated 24 November 2014, submitted)
Councillor Aileen Morton left the meeting at this point.
The Committee adjourned the meeting at this point and re-convened at 1.20pm.
13. UPDATE REPORT INDEPE NDENT LIVING FUND (I LF)
Consideration was given to a report which provided the Committee with an update on the forthcoming proposed transfer in respect of the Department of Work and Pensions (DWP) Independent Living Fund (ILF) to the Scottish Independent Living Fund (SILF).
Decision
The Committee noted the content of the report.
(Reference: Report by Executive Director – Community Services dated 3 November 2014, submitted)
14. COMMISSIONING SERVIC ES FOR CHILDREN WITH A DISABILITY AND SEL F DIRECTED SUPPORT
A report outlining changes to funding arrangements for block contract and grant funding for services to children with a disability to support improved choice for parents and carers and in response to the implications of The Social Care (Self Directed Support) (Scotland) Act 2013 was considered.
Decision
The Committee:-
1. agreed that the children and families block/grant funding continue to existing providers until April 2015;
2. agreed that all children and families block funded contracts or grants be replaced by assessment led commissioning from April 2015; and
3. noted the changes to the way social work services would be provided to children with a disability as a result of The Social Care (Self Directed Support) (Scotland) Act 2013.
(Reference: Report by Executive Director – Community Services dated 4 October 2014, submitted)
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15. COMMUNITY SERVICES P ERFORMANCE REPORT FQ 2 2014 -2015
Consideration was given to the Community Services financial quarter two performance scorecard.
Members commented that the informal pre-meeting held to discuss the performance scorecard prior to the meeting had proved beneficial.
Decision
The Committee noted and reviewed performance for the quarter.
(Reference: Report by Executive Director – Community Services dated 2 December 2014, submitted)
16. COMM UNITY SERVICES COMMI TTEE WORK PLAN
Consideration was given to a report updating the Committee on key considerations arising from the Community Services Development Day in August. Committee Work Plan and forward agenda was also presented for review.
Members were informed that Area Managers would be able to provide an update on the progress of any of the recommendations outlined in Committee reports if this was required before the next scheduled meeting of the Committee.
Decision
The Committee:-
1. noted the feedback from the Committee Development Day;
2. reviewed the Forward Plan and agreed that this would be a future standing item on the agenda; and
3. agreed that Members submit topics they wished to see presented at future meetings to Committee Services for inclusion on the Community Services Workplan 2014 - 15, and this would be reported at future meetings.
(Reference: Report by Executive Director – Community Services dated 1 December 2014, submitted)
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MINUTES of MEETING of COMMUNITY SERVICES COMMITTEE held in the COUNCIL CHAMBERS, KILMORY, LOCHGILPHEAD on MONDAY, 12 JANUARY 2015
Present: Councillor Aileen Morton (Chair)
Councillor John Armour Councillor Douglas Philand Councillor Rory Colville Councillor Elaine Robertson Councillor George Freeman William Marshall Councillor Donald Kelly Alison Palmer Councillor Neil MacIntyre
Attending: Cleland Sneddon, Executive Director – Community Services Iain Jackson, Governance and Risk Manager Jim Robb, Head of Adult Care Louise Long, Head of Children and Families Donald MacVicar, Head of Community and Culture Anne Marie Knowles, Head of Education Jane Fowler, Head of Improvement and HR
1. APOLOGIES FOR ABSENC E
Apologies for absence were intimated from Councillors Robin Currie, Mary-Jean Devon, Anne Horn, Alistair MacDougall, Robert E Macintyre, James McQueen and Isobel Strong and from William Crossan, Church Representative.
2. DECLARATIONS OF INTE REST
There were no declarations of interest.
3. SERVICE PLANS 2015 -16
Consideration was given to the proposed Service Plans for 2015-16 for Community Services which were presented by the Heads of Service.
Decision
Agreed to approve the Service Plans for Community Services for 2015-16 subject to some minor adjustments.
(Reference: Report by Executive Director – Customer Services, submitted)
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 th MARCH 2015
ACCOUNTS COMMISSION – SCOTTISH SCHOOL EDUCATION REPORT
1.0 EXECUTIVE SUMMARY
1.1 School education accounts for a significant proportion of local government spending, and a number of important education policy developments have taken place in recent years, such as the introduction of Curriculum for Excellence (CfE). However, there has been no independent evaluation of how much councils spend on education and what this delivers in terms of improved attainment and wider achievement for pupils. The Accounts Commission requested an audit was undertaken and its publication is timely as it provides an assessment of attainment over the last decade and identifies how effectively councils made improvements during this time (See Appendix 1)
1.2 The report outlined nine recommendations for councils which are summarised in the main report at section 4.4 and Audit Scotland are visiting each authority to at tend council committees, to present report findings and engage directly with elected members
Recommendations
It is recommended that the Community Services Committee:
1. note the key findings contained within the Accounts Commission report on Scottish Schools Education.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 th MARCH 2015
ACCOUNTS COMMISSION – SCOTTISH SCHOOL EDUCATION REPORT
2.0 INTRODUCTION
2.1 School education accounts for a significant proportion of local government spending, and a number of important education policy developments have taken place in recent years, such as the introduction of Curriculum for Excellence (CfE). However, there has been no independent evaluation of how much councils spend on education and what this delivers in terms of improved attainment and wider achievement for pupils. The Accounts Commission requested an audit was undertaken and its publication is timely as it provides an assessment of attainment over the last decade and identifies how effectively councils made improvements during this time (See Appendix 1).
3.0 RECOMMENDATIONS
3.1 It is recommended that the Community Services Committee:
1. note the key findings contained within the Accounts Commission report on Scottish Schools Education.
4.0 DETAIL
4.1 The Commission’s audit assessed how efficiently and effectively councils are using their resources to maximise pupil achievement in schools. It examined:
• how much councils spend on school education and what they spend it on • how effectively councils are driving forward improvements in pupil achievement • how efficiently councils are using their resources to maximise pupil achievement.
4.2 As part of the publication of the report, the Commission requested that Audit Scotland visit each council to at tend council committees, to present report findings and engage directly with elected members. A formal impact report will also be prepared with an expected production date of Summer 2015.
4.3 The report recommendations are summarised below:
Councils should:
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a) ensure they fully understand why levels of attainment vary between their schools and different groups of pupils b) develop and implement strategies to reduce the gaps in performance between the highest and lowest performing schools c) continue to work with the Scottish Government and Education Scotland to develop a suite of agreed performance measures which would provide an overall picture of educational attainment and achievement across Scotland d) review the sufficiency of information provided to education committees on attainment at S4-S6, pupil performance between P1-S3 and wider achievement. They should also ensure committees have the time and support to adequately challenge and hold to account education services e) develop more coordinated approaches to gathering and recording information on the range of wider achievement activities offered in schools, including the levels of pupil participation and the outcomes they achieve. This will help councils to scrutinise performance and ensure resources are being used as efficiently as possible f) ensure education strategic documents contain clear priorities and actions that set out what is to be achieved in the short, medium and long term. Performance management arrangements should monitor outcomes and report regularly on delivery against strategic objectives, such as raising attainment among the lowest performing pupils g) consistently use the Scottish Local Government Benchmarking Framework to compare their performance against other councils, and share good practice to improve educational attainment and wider achievement h) fully assess the potential long-term impact on attainment and wider achievement of budget reductions i) monitor and act on the impact of revised working practices and staff reductions across all affected groups (eg, teachers, administrative staff, classroom assistants) on staff wellbeing by, for example, monitoring sickness absence levels, and through specific questions in staff surveys.
4.4 The presentation accompanying the Accounts Commission report to be made by Audit Scotland will highlight the key findings of the report and provide an outline of some key features of education in Argyll and Bute. The paper on SQA Examination Results presented at the Community Services Committee on 11 December 2014 provided more detailed commentary on the Argyll and Bute position and the actions being taken forward by the Education Service picking up on the key findings.
5.0 CONCLUSION
5.1 In 2012/13, councils spent £4.8 billion on education services, of which £3.8 billion was spent on primary and secondary education. Around two-thirds of this expenditure (68 per cent) was on staff costs. Councils’ spending on education fell by five per cent in real terms between 2010/11 and 2012/13, largely as a result of employing fewer staff. Councils’ education services are likely to continue to face budgetary pressures, and they need to be alert to the
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potential impact of increased workloads on remaining staff. Performance has improved against all ten of the attainment measures we examined over the last decade. However, there is significant variation in attainment between individual councils, schools, and groups of pupils; and there is a considerable gap between Scotland and the top performing countries.
5.2 The attached report from the Accounts Commission gives a wealth of information on attainment in Scottish schools which acts as a good prompt for discussion in Argyll and Bute around education standards and the use of resources to support learning and teaching.
6.0 IMPLICATIONS
6.1 Policy – In line with national and council education policy around attainment and achievement
6.2 Financial – No implications arising directly from this report
6.3 Legal – No implications arising directly from this report
6.4 HR – No implications arising directly from this report
6.5 Equalities – the report highlights variations in attainment across schools in Scotland and highlights issues of consistency in opportunity for learners.
6.6 Risk – No implications arising directly from this report
6.7 Customer Service – No implications arising directly from this report
Cleland Sneddon Executive Director of Community Services
Cllr Aileen Morton Policy Lead for Education and Lifelong Learning
12 th March 2015
For further information contact: Ann Marie Knowles, Head of Education, Tel: 01369 708474, email: [email protected]
Page 15 School education
Prepared by Audit Scotland June 2014 Page 16
The Accounts Commission
The Accounts Commission is the public spending watchdog for local government. We hold councils in Scotland to account and help them improve. We operate impartially and independently of councils and of the Scottish Government, and we meet and report in public.
We expect councils to achieve the highest standards of governance and financial stewardship, and value for money in how they use their resources and provide their services.
Our work includes:
• securing and acting upon the external audit of Scotland’s councils and various joint boards and committees • assessing the performance of councils in relation to Best Value and community planning • carrying out national performance audits to help councils improve their services • requiring councils to publish information to help the public assess their performance.
You can find out more about the work of the Accounts Commission on our website: www.audit-scotland.gov.uk/about/ac
Audit Scotland is a statutory body set up in April 2000 under the Public Finance and Accountability (Scotland) Act 2000. We help the Auditor General for Scotland and the Accounts Commission check that organisations spending public money use it properly, efficiently and effectively. Page 17 School education | 3
Contents
Summary 4
Key messages 6
Part 1. School expenditure 8
Part 2. Pupil attainment and wider achievement 15
Part 3. Improving pupil performance 31
Endnotes 44
Appendix 1. The ten measures of school-level attainment used in the report 46
Appendix 2. Membership of the advisory group 47
Exhibit data When viewing this report online, you can access background data by clicking on the graph icon. The data file will open in a new window. Page 18 4 |
Summary
Background
1. Education is fundamental in shaping a child’s life. Getting a good education improves the likelihood of earning a higher income, enjoying better health and living longer. An effective school education system is an important factor in supporting the Scottish Government’s strategic objectives to be a ‘Smarter Scotland’ and a ‘Wealthier and Fairer Scotland’. 1 Better educational outcomes are a strong predictor of economic growth, and success in a global economy means that Scotland needs to keep pace with the best countries in the world.
2. In 2013, there were 665,499 primary and secondary pupils in Scotland being taught by 47,770 teachers in 2,418 council-run schools. 2 Education is compulsory between the ages of five and 16 in Scotland. Children spend seven years in primary school (P1-P7) and at least four years in secondary school (S1-S4). Pupils can then leave school at 16 or stay on for one or two more years (S5 and S6). Pupils undertake a range of qualifications between S4 and S6. These are delivered not only in schools but also through colleges and third sector organisations. Pupil numbers have been declining since the mid-nineties, but started to increase in 2013 and are projected to continue increasing.
3. The main organisations involved in the Scottish education system are:
• The Scottish Government , develops national policy and sets the overall direction of education policy.
• Councils , responsible under the Standards in Scotland’s Schools Act 2000 for providing school education for every child of school age. This includes developing local education policy, and planning and managing resources to improve the quality of school education.
• Education Scotland , works to improve the quality of education, for example by inspecting schools and by developing the curriculum.
• The Scottish Qualifications Authority (SQA) , accredits and awards qualifications at both secondary and college level.
• The Scottish Credit and Qualifications Framework Partnership , manages the Scottish Credit and Qualifications Framework. This sets out the level and type of qualifications that are available.
• The General Teaching Council Scotland , the independent professional body that promotes and regulates all teachers in Scotland.
4. In 2002, the then Scottish Executive set up a 'National Debate on Education' to develop its long-term education policy. A year later, it established a Curriculum Review Group to identify the purposes of education for the 3-18 age range and to determine key principles for curriculum design. The group published its report, A Curriculum for Excellence (CfE) in Page 19 Summary | 5
2004, setting out the aims of education and the principles that should underpin the modern curriculum. 3 Exam performance (attainment) is still an integral part of the system but CfE also aims to ensure pupils develop a range of skills for living and working in the wider world (wider achievement). Pupils receive a broad general education from early years through to the end of S3 and take formal qualifications in the senior phase. CfE was formally implemented in schools in 2010.
About this audit
5. School education accounts for a significant proportion of local government spending, and a number of important education policy developments have taken place in recent years, such as the introduction of CfE. However, there has been no independent evaluation of how much councils spend on education and what this delivers in terms of improved attainment and wider achievement for pupils. 2014 is the first year in which pupils are sitting new qualifications introduced as part of CfE. Comparisons with previous years will not be possible for some time. This audit is therefore timely as it provides an assessment of attainment over the last decade and identifies how effectively councils made improvements during this time.
6. Our audit assessed how efficiently and effectively councils are using their resources to maximise pupil achievement in schools. We examined:
• how much councils spend on school education and what they spend it on
• how effectively councils are driving forward improvements in pupil achievement
• how efficiently councils are using their resources to maximise pupil achievement.
7. The audit focused on primary and secondary school education in Scotland. We did not examine early years, pre-school, or special school education; independent schools; or further and higher education establishments. We also did not look at progress in implementing CfE or the quality of teaching in Scotland. We reviewed how councils deliver education, but did not examine the role of the Scottish Government, Education Scotland or other stakeholders such as the SQA.
8. There is a range of attainment measures used within Scottish education. We have selected ten of these to examine performance across the entire senior phase, S4-S6. The selected measures are closely aligned to the measures that councils report to their own education committees.
9. This report has three parts:
• Part 1 examines how much councils spend on education and how this has changed
• Part 2 assesses exam performance over the last decade for S4-S6 and examines what wider achievement activities are available for pupils to prepare them for life and work
• Part 3 comments on what councils have been doing to improve attainment and wider achievement and how they are targeting their resources to seek improvement.
10. Appendix 1 outlines performance in the ten attainment measures we use in the report. Appendix 2 lists members of our advisory group who provided support and advice throughout the audit. We have also produced a separate checklist of issues (PDF) for elected members to consider when scrutinising education services. Details of our audit methodology are provided in a separate supplement (PDF) . Page 20 6 |
Key messages
1 In 2012/13, councils spent £4.8 billion on education services, of which £3.8 billion was spent on primary and secondary education. Around two-thirds of this expenditure (68 per cent) was on staff costs. Councils’ spending on education fell by five per cent in real terms between 2010/11 and 2012/13, largely as a result of employing fewer staff. Councils’ education services are likely to continue to face budgetary pressures, and they need to be alert to the potential impact of increased workloads on remaining staff. 2 Performance has improved against all ten of the attainment measures we examined over the last decade. However, there is significant variation in attainment between individual councils, schools, and groups of pupils; and there is a considerable gap between Scotland and the top performing countries. Current measures at both national and council level focus on the attainment of secondary pupils at S4-S6 level. There are no comparable measures available at a council and national level on wider achievement, or the performance of pupils from P1-S3. 3 Levels of deprivation have a large influence on attainment. Some schools have achieved better attainment results than their levels of deprivation would indicate, suggesting that the gap between the lowest and highest performing schools cannot be wholly attributed to different levels of deprivation. Closing the gap in performance between schools is likely to be critical to improving overall attainment levels. 4 Councils that have made the most improvements have focused on areas such as developing leadership skills, and improving both teacher quality and systems for monitoring and tracking pupil data. There are also increasing opportunities for pupils to develop a wide range of skills for living and working in the wider world. Councils are starting to target resources to improve both attainment and wider achievement but there is scope to improve strategic planning and strengthen the role of elected members in holding education services to account. Page 21 Key messages | 7
Recommendations
The Curriculum for Excellence represents a significant shift in the way education is delivered in our schools. This has important implications for the economic wellbeing of Scotland, and the future prospects of young people. The recommendations outlined below are intended to support further progress and will involve councils working with key stakeholders.
Councils should:
• ensure they fully understand why levels of attainment vary between their schools and different groups of pupils
• develop and implement strategies to reduce the gaps in performance between the highest and lowest performing schools
• continue to work with the Scottish Government and Education Scotland to develop a suite of agreed performance measures which would provide an overall picture of educational attainment and achievement across Scotland
• review the sufficiency of information provided to education committees on attainment at S4-S6, pupil performance between P1-S3 and wider achievement. They should also ensure committees have the time and support to adequately challenge and hold to account education services
• develop more coordinated approaches to gathering and recording information on the range of wider achievement activities offered in schools, including the levels of pupil participation and the outcomes they achieve. This will help councils to scrutinise performance and ensure resources are being used as efficiently as possible
• ensure education strategic documents contain clear priorities and actions that set out what is to be achieved in the short, medium and long term. Performance management arrangements should monitor outcomes and report regularly on delivery against strategic objectives, such as raising attainment among the lowest performing pupils
• consistently use the Scottish Local Government Benchmarking Framework to compare their performance against other councils, and share good practice to improve educational attainment and wider achievement
• fully assess the potential long-term impact on attainment and wider achievement of budget reductions
• monitor and act on the impact of revised working practices and staff reductions across all affected groups (eg, teachers, administrative staff, classroom assistants) on staff wellbeing by, for example, monitoring sickness absence levels, and through specific questions in staff surveys. Page 22 8 |
Part 1 School expenditure
Key messages 1 In 2012/13, councils spent £4.8 billion on education services, of which £3.8 billion was spent on primary and secondary education. Two-thirds of this expenditure (68 per cent) was on staff costs. Councils’ spending on education reduced by five per cent in real terms between 2010/11 and 2012/13, largely as a result of employing fewer staff. 2 Spend per pupil varied across councils in 2012/13 from £4,433 to £10,821. Factors influencing how much councils spend on school education per pupil include rurality, the proportion of promoted posts and the number of chartered teachers employed. 3 As well as employing fewer staff, councils have adopted other strategies and approaches to reducing their education spending. These include changes to teachers’ terms and conditions, increasing spending classroom teaching time, seeking efficiencies in school transport, and reducing training budgets. Councils’ education services are likely to on school continue to face budgetary pressures, and they need to be alert to the education potential impact of increased workloads on remaining staff. has been reducing, Education is the single largest area of council expenditure largely through 11. School education is mainly funded through the block grant that the Scottish Government provides to councils. The Scottish Government provides indicative councils funding allocations for each of the main council services. Councils then decide employing how best to allocate funding to individual services, based on their own priorities. In addition to the block grant, councils raise funding through council tax and service fewer staff charges. They can also receive funding for specific education programmes and initiatives from a range of bodies including sportscotland, and independent trusts and charities. Schools and parents also contribute through fundraising activities.
12. In 2012/13, councils spent £4.8 billion on education, of which £4 billion was provided through the block grant. 4 Education is the single largest area of council expenditure, accounting for almost a third (31 per cent) of total revenue expenditure in 2012/13. The majority of education expenditure, £3.8 billion (80 per cent), was on primary and secondary school education (‘school expenditure’). The remaining expenditure was on community learning and development, pre-school education, and special schools. Over half of school expenditure, £2.1 billion (56 per cent), was spent on teachers. Councils spent another £470 million (13 per cent) on other staff such as classroom assistants, laboratory technicians and administrative staff (Exhibit 1, page 9) . Page 23 Part 1. School expenditure | 9
Exhibit 1 Breakdown of primary and secondary education revenue expenditure, 2012/13 Over half of council education spending is on teachers.
3% Teachers 3% 2% 3% 4% Other employees 4% Property PFI/PPP payments 4% School meals 56% 8% Support services Supplies and services
School transport
13% Repairs, maintenance and alterations
Other
Note: 1. PFI and PPP stand for Private Finance Initiative and Public Private Partnerships. PFI/PPP charges are made against councils' education and corporate budgets, depending on the nature of the spend. The costs shown here relate only to the school education budget. 2. 'Other' includes parent council funding and expenditure on school textbooks. Source: Audit Scotland analysis of councils' Local Financial Returns and additional information provided by councils, 2012/13
13. Councils spent almost as much on the primary sector as they did on the secondary sector in 2012/13, with £1.8 billion (48 per cent) spent on primary education and £2 billion (52 per cent) spent on secondary education. Spend per pupil across Scotland in 2012/13 was higher in the secondary sector at £6,525 per pupil, than in the primary sector at £4,667 per pupil (see paragraph 17, page 10 for further explanation of spend per pupil).
School expenditure reduced by five per cent over the last three years
14. Between 2010/11 and 2012/13, councils reduced spending on primary and secondary education by five per cent in real terms, that is, taking into account the effects of inflation. The reductions in spending were similar across both the secondary school sector (five per cent reduction in real terms) and the primary school sector (four per cent reduction in real terms). However, the reductions do not fully reflect changes in pupil numbers over the same period. Between 2010 and 2013, the number of secondary school pupils declined by four per cent. In contrast, the number of primary school pupils increased by three per cent. At a council level, changes in school expenditure over the past three years varied widely, ranging from an almost 14 per cent reduction in Clackmannanshire to an increase of almost one per cent in South Lanarkshire (Exhibit 2, page 10).
15. It is important to note that these figures represent a snapshot in time. Councils started making changes to education budgets at different times, so over the period on which we have based our analysis, councils were at different stages in making savings. It is also not possible to compare education expenditure between 2010/11 and 2012/13 with earlier years. This is due to changes in international accounting standards and how councils account for unitary charges for Private Finance Initiatives and Public Private Partnership contracts. 5 Page 24 10 |
Exhibit 2 Changes in school revenue expenditure in real terms, 2010/11-2012/13 Most councils have reduced spending on schools over the past three years.
2 0 -2 -4 -6 -8 -10
Percentage change Percentage -12 -14 -16
Fife Angus Falkirk Moray Stirling Highland Inverclyde Midlothian Dundee City East AyrshireGlasgow City Renfrewshire East Lothian West Lothian Aberdeenshire Aberdeen City OrkneyNorth IslandsSouth Ayrshire Ayrshire Argyll and Bute Scottish Borders Shetland Islands Clackmannanshire City of Edinburgh Perth and KinrossNorth LanarkshireEast RenfrewshireSouth Lanarkshire West Dunbartonshire East Dunbartonshire Dumfries and Galloway Comhairle nan Eilean Siar
Scotland average
Source: Audit Scotland analysis of councils' Local Financial Returns and additional information provided by councils, 2010/11-2012/13
16. Reductions in education expenditure between 2010/11 and 2012/13 mirror wider reductions in council funding and expenditure. The Scottish Government’s overall block grant to councils reduced by eight per cent in real terms between 2010/11 and 2012/13. 6 Councils' overall expenditure reduced by five per cent over the same period. 7
Spend per pupil varies widely across the country with rural councils spending the most
17. In 2012/13, the average spend per pupil across Scotland was £5,468 (Exhibit 3, page 11) 8 and varied:
• across urban councils, from £4,782 in Renfrewshire to £5,899 in West Dunbartonshire – £1,117 difference
• among councils with a mix of urban and rural areas, from £4,433 in Clackmannanshire to £5,799 in North Ayrshire – £1,366 difference
• across rural councils, from £4,966 in Moray to £6,796 in Argyll and Bute – £1,830 difference
• among the island councils, from £9,005 in Orkney to £10,821 in Shetland Islands – £1,816 difference. Page 25 Part 1. School expenditure | 11
Exhibit 3 Spend per pupil by council, 2012/13 Spend per pupil varies widely across Scotland.
12,000 Urban Mixed Rural 10,000
8,000
6,000
4,000
2,000
0 2012/13 Education Spend per Pupil (£) Pupil per Spend Education 2012/13
Fife Falkirk Angus Stirling Moray Highland Inverclyde Midlothian Renfrewshire DundeeGlasgow City City West Lothian East Ayrshire East Lothian Aberdeen City South Ayrshire North Ayrshire Aberdeenshire Orkney Islands Scottish Borders Argyll and Bute Shetland Islands City of Edinburgh East RenfrewshireNorth LanarkshireClackmannanshireSouth Lanarkshire Perth and Kinross East DunbartonshireWest Dunbartonshire Dumfries and Galloway Comhairle nan Eilean Siar Scotland average
Note: Councils were categorised using the Scottish Government's Urban Rural classification, 2011/12. Source: Audit Scotland analysis using councils' Local Financial Returns and additional information provided by councils, 2012/13; and data from Pupils in Scotland , Scottish Government, 2013
18. Councils with more rural areas, including the island councils, generally spend more per pupil for a number of reasons:
• In general, there is a lower average number of pupils in each school. As a result, teacher costs per pupil are higher. In 2013, there was an average of 113 pupils per primary school in rural councils compared to an average of 265 primary pupils per school in urban councils.
• Because distances are greater and pupils are more widely spread, school transport costs are higher. For example, Aberdeenshire, Argyll and Bute and Highland councils spent six per cent of their total school expenditure on school transport in 2012/13, the highest of all mainland councils. In comparison, school transport accounted for 0.2 per cent of Dundee City Council’s total school expenditure in 2012/13.
• The school estate tends to be larger due to high numbers of small primary schools. This brings increased maintenance and running costs.
• Recruiting both permanent and supply teaching staff can be more challenging for rural councils. As a consequence, employment costs can be higher as councils try to attract staff. For example, Aberdeenshire Council has found it difficult recently to fill teacher vacancies. To address this, the council ran an international recruitment campaign offering benefits such as help with housing to successful applicants. Page 26 12 |
19. In urban councils, differences in spend per pupil are mainly influenced by how much is spent on teachers. Higher proportions of promoted posts in the teacher workforce; more chartered teachers; and greater incidences of salary conservation among teachers (ie, when a salary is protected for a specified length of time) all impact on how much councils spend on teachers. 9, 10 To ensure services are being provided as efficiently as possible, councils must fully understand the factors influencing their spend per pupil, and how this compares to other councils.
Councils have reduced what they spend on school education mainly by employing fewer staff
20. Councils have reduced spending on schools in the past three years largely as a result of employing fewer teachers. Between 2010/11 and 2012/13, spending on teachers reduced by seven per cent in real terms. All councils (except East Lothian which remained the same) reduced expenditure on teachers over this period. This ranged from a two per cent reduction in South Lanarkshire to 19 per cent in Stirling.
21. Overall teacher numbers reduced by 815 full-time equivalent (FTE) (two per cent) between 2010 and 2013 (Exhibit 4, page 13).11 Teacher numbers reduced in the secondary sector over this period by 1,081 FTE (four per cent) and in the primary sector by 190 FTE (one per cent). In contrast, teachers classified as centrally employed increased by 456 FTE (64 per cent) over the same period. These are teachers who may work across more than one school, for example music teachers. However, because of the way data is collected, we are unable to assess the extent to which these changes are a result of:
• councils re-categorising staff from school-based teachers to centrally employed, or
• councils employing additional centrally employed teachers.
22. The biggest reduction is in teachers in their 50s leaving work, either through retirement or voluntary early release schemes. In 2012/13, 29 out of 32 councils used early departure and early retirement schemes to reduce staff numbers. 12 The average age profile of teachers is now 41.9 years, a reduction of 0.9 years since 2010. Twenty-seven councils have reviewed teaching staff formulas in the past three years to help make efficiency savings. 13 Pupil/teacher ratios have remained almost the same in the secondary sector since 2010, increasing by 0.1 pupils per teacher to 12.2 in 2013. In the primary sector, the pupil/teacher ratio increased from 15.8 pupils per teacher in 2010 to 16.5 in 2013.
23. Councils also reduced their spending on other education staff by 11 per cent in real terms between 2010/11 and 2012/13. Reasons for this include:
• councils using Quality Improvement Officers (QIOs) in a more proportionate and risk-based way, encouraging schools to evaluate their own performance. QIOs provide support and challenge to schools to help them improve and those that remain in post are increasingly targeting their efforts only at those schools that need extra support.
• service efficiency reviews and restructurings that have taken place within many council education departments. Page 27 Part 1. School expenditure | 13
Exhibit 4 Changes in FTE education staffing numbers, 2010-13 Reductions have been made across all staffing groups.
Teachers Business managers (school-based and centrally based) (school-based) -2% 2010 2013 Change -22% 2010 2013 Change 48,585 47,770 -815 261 204 -57
Admin and clerical Laboratory assistants Office managers; other admin, professional, and technicians technical and clerical staff (school-based) 2010 2013 Change 2010 2013 Change -12% 1,272 1,122 -150 -5% 5,415 5,162 -253
Classroom assistants Quality Improvement Officers
-2% 2010 2013 Change -22% 2010 2013 Change 5,048 4,944 -104 472 369 -103
Notes: 1. The staff types are those used in the Scottish Government annual census of education staff. 2. Changes to staff are shown in calendar years rather than financial years as the data is gathered through an annual census of education staff carried out in September each year. Source: Audit Scotland, using Teachers in Scotland , Scottish Government, 2010 and 2013
24. Other than staffing, councils have been reducing their education spending in a range of other ways. Examples include:
• Making savings from changes to teachers’ terms and conditions of service, following the 2011 Scottish Negotiating Committee for Teachers pay and conditions agreement. This reduced annual leave for teachers on maternity and long-term sick leave from 66 to 40 days, increased time in the classroom for probationer teachers and introduced changes to supply contracts.
• Reducing the length of secondary school classroom periods from 55 minutes to 50 minutes and increasing the weekly number of periods from 30 up to 33. This has helped maximise teachers' class contact time and reduce the need for supply teachers. In keeping with the aims of CfE, schools also now have more flexibility to provide vocational opportunities and wider achievement activities for pupils.
• Re-tendering school transport when contracts are renewed. Some councils have also reviewed how they provide transport, for example by replacing larger vehicles with smaller ones and reviewing routes to reduce the amount of fuel usage.
• Reducing Continuing Professional Development (CPD) programmes and training budgets to schools and using in-house staff to deliver training instead of external providers. Page 28 14 |
Councils’ education budgets will continue to face pressures
25. Public sector finances will continue to be under pressure for the foreseeable future. An ageing population, changes to the welfare system, and the impact of the recent recession are also increasing demand for many public services. Councils need to allocate limited money, staff and other assets to individual services in line with their priorities and needs. As a result, elected members will need to consider and balance the demand for resources from education services with those of other services.
26. Education services are also likely to face a number of specific challenges that will place increasing pressure on finances. These include:
• increasing demand for teachers and education services, as a result of rising pupil numbers in some areas, especially in the primary sector
• Scottish Government commitments to reduce class sizes, especially for younger pupils in P1-P3
• public and political opposition to proposals to close schools, which may mean councils are unable to make the financial savings that closures could bring
• meeting the requirements of pupils with additional support needs in special schools and classes, and in mainstream schools
• maintaining and upgrading the school estate. Although councils have made significant progress in recent years, 18 per cent of schools remain in poor or bad condition. 14
27. Many of the approaches to reducing budgets have only been introduced in the last two or three years. Given that staff costs comprise over two-thirds of councils’ expenditure, employing fewer staff is an obvious way to reduce spending. However, councils need to be aware of the potential impact on remaining staff. More work is needed to monitor the impact of staff reductions on front-line services and also on the capacity of functions such as central education staff. Pressures arising from additional responsibilities or extra workload could result in increased sickness absence or low staff morale. Councils also need to understand the longer-term effect that budget reductions could have on efforts to raise attainment among pupils.
Recommendations
Councils should:
• fully assess the potential long-term impact on attainment and wider achievement of budget reductions
• monitor and act on the impact of revised working practices and staff reductions across all affected groups (eg, teachers, administrative staff, classroom assistants) on staff wellbeing by, for example, monitoring sickness absence levels, and through specific questions in staff surveys. Page 29 Part 2. Pupil attainment and wider achievement | 15
Part 2 Pupil attainment and wider achievement
Key messages 1 There is a lack of information on overall pupil performance at both a local and national level. Current measures focus on attainment of secondary pupils at S4-S6 level. There are no comparable measures of wider achievement, or the performance of pupils in P1-S3 available at both a council and national level. 2 Attainment in S4-S6 has improved over the last decade. However, it is not clear whether these improvements are greater or less than expected due to a lack of national targets. There is significant variation in attainment between individual councils, schools and groups of pupils, and there is a considerable gap between Scotland and top performing countries. 3 Deprivation continues to have a large influence on attainment. There attainment are significant differences in attainment between pupils from deprived areas and those from more affluent areas. However, some schools has improved have achieved better attainment results than their levels of deprivation over the would indicate, suggesting that the gap between the lowest and highest performing schools cannot be wholly attributed to different last decade levels of deprivation. Closing the gap between schools is likely to be but there is critical to improving overall attainment levels. significant 4 There are increasing opportunities for pupils to participate in activities variation that aim to improve their confidence and help them develop the skills required as they leave school and move into employment, training or between continued education. Schools and councils need to ensure that they councils and can scrutinise the outcomes from these activities to ensure that they meet the needs of pupils. pupils
Pupils' learning experiences have become much broader in recent years
28. Pupils in Scotland undertake a variety of courses and qualifications aimed at ensuring they gain both nationally recognised qualifications and wider employability and social skills. Traditionally, schools were the main providers of courses although learning has always taken place outside the classroom, at home and in the community. However, the range and types of courses available to pupils are now much wider and there is greater opportunity for pupil personalisation and choice (Exhibit 5, page 16). Page 30 16 |
Exhibit 5 Pupil learning in Scotland Pupils learn in a wide variety of ways, with examples shown below.
WIDER ACHIEVEMENT ACCREDITED WIDER SQA QUALIFICATIONS ACHIEVEMENT AWARDS
Employability Dynamic Youth Leadership Duke of Edinburgh Personal John Muir development
PERSONAL VOCATIONAL ACHIEVEMENT QUALIFICATIONS
Volunteering Hairdressing Taking part in sports club Early education and Taking part in music club childcare Caring responsibility Computer skills at home Sports and recreation NON-VOCATIONAL COURSES AND EXAMS
English and maths Geography History
Source: Audit Scotland Page 31 Part 2. Pupil attainment and wider achievement | 17
29. In delivering educational opportunities to pupils, councils are increasingly working in partnership with colleges to provide vocational qualifications. For example, Falkirk Council has had a formal partnership with Forth Valley College for more than a decade, providing pupils with opportunities to attend college during the school day to gain qualifications in a range of vocational subjects. Third sector organisations such as the John Muir Trust are involved in delivering wider achievement awards and programmes.
Existing measures do not fully capture a pupil’s performance throughout their time at school
Measures of attainment focus on pupils in S4-S6 30. Pupil performance in Scotland is measured nationally by the number and level of qualifications passed by pupils in secondary school. There are a range of attainment measures used within Scottish education. We have selected ten of these to examine the range of performance across the entire senior phase (S4-S6) (Appendix 1) . The selected measures are closely aligned to the measures that councils report to their own education committees.
31. The achievements of some pupils who take vocational courses at local colleges are not captured by existing attainment measures. Pupils can complete courses at college but their achievements are not recognised in existing school performance measures. The Interim Report of the Commission for Developing Scotland’s Young Workforce in 2013 recommended that the delivery of vocational qualifications for school pupils should be explicitly measured and published alongside other school performance measures. 15 In addition, pupils can complete groups of units at school or college, without completing the full course. These are also not captured in existing measures.
Some assessment of pupil performance between P1 and S3 is made but it is not possible to compare the results between councils 32. Pupil performance during primary and up to S3 is collected nationally through the Scottish Survey of Literacy and Numeracy (SSLN). 16 Introduced in 2011 to reflect the changes brought about by the Curriculum for Excellence, the SSLN is an annual survey of a sample of P4, P7, and S2 pupils across the country that tests literacy and numeracy skills in alternate years. The SSLN is designed to provide national-level results. Results cannot be used at a council level due to the small numbers of pupils selected to participate in each council.
33. At a council level, there is no consistent approach to tracking and monitoring the progress of pupils from P1 to S3. Twenty-seven councils use some form of standardised testing at council level to assess and track the progress of their pupils from P1 to S3. This involves testing pupils at various stages to assess their progress in literacy and numeracy and comparing this with expected progress. The type of testing used and the extent to which pupils are tested varies across the country. For example, some councils test pupils in P1, P3, P5, P7 and S2 while others test less frequently than this.
There are no comparable performance measures addressing pupils' wider achievement 34. There are no national performance measures on pupils’ wider achievements, for example the number of pupils participating in specific award programmes such as the Duke of Edinburgh. Sixteen councils were able to provide us with data on their pupils’ wider achievements in formal awards and programmes but there is significant variation around what each council collects. Page 32 18 |
35. The Scottish Government is currently working with councils, national education agencies and other partners to develop a new benchmarking tool. The aim is that this tool will include a new set of performance measures that will take some account of pupils’ wider achievement. This new tool is scheduled to be in place by August 2014. We discuss wider achievement in more detail in (paragraphs 56–60) .
Attainment levels have improved over the past decade
36. Nationally, attainment has improved across all ten of the attainment measures we selected over the past decade, although the level of improvement has been mixed (Exhibit 6) . Attainment improved by four per cent for the measures at S4 level between 2004 and 2013. At S5 and S6 levels, attainment improved between five and ten per cent. The vast majority of the improvements in attainment have been made in the past five years.
Exhibit 6 Percentage of pupils achieving each of the ten attainment measures we selected in 2004 and 2013 Attainment has improved across all ten measures in the past decade although to differing degrees.
100
80
60
40 each measure each
20 Percentage of pupils achieving achieving pupils of Percentage 0
1 award at 1 award at 5 awards at 5 awards at 5 awards at 1 award at 3 awards at 3 awards at 5 awards at S6: S6: S4: S4: S5: S5: S5: S6: S6: English and maths level 3 or better level 5 or better level 5 or better level 6 or better level 6 or better level 6 or better level 6 or better level 6 or better level 7 or better at level 3 or better S4:
2004 2013
Note: Appendix 1 explains what each attainment measure means. Source: Audit Scotland, using data from Scottish Government Education Analytical Services Division
37. There are no national targets for exam performance. Therefore it is not clear whether the rate of improvement across the ten attainment measures over the last ten years is above or below what should be expected by councils.
38. The attainment gap between the highest and lowest-performing pupils in secondary education has closed slightly over the past five years. Every level and type of qualification in Scotland has an accompanying points score. The points gained by each pupil are added to create an overall tariff score. In 2012 (the most recent year available at time of reporting), the highest performing 20 per cent of Page 33 Part 2. Pupil attainment and wider achievement | 19
S4 pupils in Scotland had an average tariff score of 298. The lowest performing 20 per cent of S4 pupils had a tariff score of 71. The national average is 187. The gap between the highest and lowest performing 20 per cent of pupils narrowed slightly from 235 points in 2008 to 227 points in 2012.
Nationally, most P4 and P7 pupils are performing well but performance is not sustained into secondary school 39. Results from the Scottish Survey of Literacy and Numeracy show that:
• The majority of P4 and P7 pupils tested are performing well, very well or beyond their expected stage in numeracy and literacy. However, the percentage of pupils performing at this level in numeracy declined by eight per cent for P4 pupils and by six per cent for P7 pupils between 2011 and 2013. Literacy was first tested in the SSLN in 2012 so trend figures are not yet available.
• S2 pupils’ performance in literacy is similar to those of P4 and P7 pupils. However, S2 pupils performed significantly worse against the standard expected than primary pupils in numeracy in both 2011 and 2013. In 2013, 42 per cent of S2 pupils performed well or very well in numeracy compared to 69 per cent of P4 pupils and 66 per cent of P7 pupils. One- third (35 per cent) of S2 pupils in 2013 were not working at their expected level in numeracy compared to only 0.2 per cent of P4 pupils and two per cent of P7 pupils.
There is a considerable gap between Scotland and top performing countries
40. International comparisons show that the academic performance of Scotland’s pupils in recent years is static, after a period of relative decline. As part of its national performance framework, the Scottish Government uses the Programme for International Student Assessment (PISA), run by the Organisation for Economic Co-operation and Development (OECD), to compare how Scotland is performing against other OECD countries. 17 A sample of pupils in each participating country is assessed in reading, maths and science every three years. Between 2000 and 2006, Scotland’s performance in reading deteriorated and between 2003 and 2006 performance in maths also fell. 18 Since 2006, performance in reading, science and maths has remained static. Scotland’s performance has been above the OECD average in reading and science since 2009 and has been similar to the OECD average in maths.
41. Compared to other UK countries, Scotland’s performance since 2006 (the first year that can be compared) has been similar to England and Northern Ireland in most areas and better than Wales. 19 More widely, a number of other countries have continued to improve in recent years compared to Scotland (eg, Poland), while some have seen a relative decline (eg, Australia and New Zealand). Overall, there is a considerable gap between Scotland and the top performing countries (Exhibit 7, page 20). All countries have different education systems and the focus of these will differ according to each country’s national and local priorities. However, it is important that Scotland is able to keep pace with the best performing countries if it is to compete effectively in the global economy. Page 34 20 |
Exhibit 7 PISA scores in mathematics, 2012 There is a considerable gap between Scotland and the top performing countries.
Finland OECD average 494 Sweden 519
Norwayway 478 489 521 Estonia UK Ireland 494 501 518 South Korea Switzerland Poland 55455 4 531 613 439 Bulgaria Shanghai-Chinana
453 Scotland 498 Greeceece 573
England Singapore Wales 468 495
Note: These are mean scores for each country. As with all sample surveys, the values shown are subject to sampling error which means the true value could be slightly higher or lower than that shown. Source: Audit Scotland using PISA 2012 Results in Focus , OECD, 2013
There is significant variation in attainment levels between councils and between individual schools
42. There are wide differences in attainment levels between councils in Scotland across almost all of the ten measures we use in the report (Appendix 1) . Seven of the measures had a gap between the highest and lowest performing councils of 30 percentage points or more. The widest performance gap was in the percentage of S4 pupils achieving five awards at SCQF level five with a gap of 43 percentage points in 2013. In 2013, 28 per cent of S4 pupils in Clackmannanshire and Dundee City achieved five awards at level five, compared to 71 per cent in East Renfrewshire (Exhibit 8, page 21). Page 35 Part 2. Pupil attainment and wider achievement | 21
Exhibit 8 Percentage of S4 pupils achieving five awards at level five in 2013 by council Performance varies widely across the country.
80 70 60 50 40 30 20 five awards at level five level at awards five 10 Percentage of S4 pupils achieving achieving pupils S4 of Percentage 0
Fife Stirling Moray Falkirk Angus Highland Inverclyde Midlothian RenfrewshireWest Lothian East Lothian East Ayrshire Glasgow City Dundee City South AyrshireOrkney Islands AberdeenshireAberdeen City North Ayrshire Shetland IslandsScottish Borders Argyll and Bute East Renfrewshire Perth and Kinross City of Edinburgh North LanarkshireSouth Lanarkshire Clackmannanshire East Dunbartonshire West Dunbartonshire Dumfries and Galloway Comhairle nan Eilean Siar Scotland average
Source: Audit Scotland, using data from Scottish Government Education Analytical Services Division
43. Attainment levels also vary significantly between schools in the same council area. Exhibit 9 (page 22) shows the range and spread of performance across schools in each council using the percentage of S4 pupils achieving five awards at level five in 2013. This is an important measure as S4 is the last year in which all pupils sit national exams. There is similar variation within councils using two other commonly reported attainment measures: the percentage of S5 pupils achieving three awards at level six; and the percentage of S6 pupils achieving five awards at level six.
44. Looking at the percentage of S4 pupils achieving five awards at level five in 2013 in more detail:
• Orkney Islands had the smallest gap between schools in 2013 at 15 percentage points. Aberdeen City and Glasgow City had the widest gap between schools at 74 percentage points. Across all secondary schools in Scotland, the percentage of S4 pupils achieving five awards at level five ranged from:
– no pupils achieving this level in the lowest-performing school in the City of Edinburgh in 2013, to – 81 per cent of pupils achieving this level in the highest-performing school in East Renfrewshire.
• The spread of school performance in individual councils varies across the country. For example, the middle-performing group of schools in Glasgow City were within ten percentage points of each other. In contrast, in the middle- performing group of schools in East Lothian, the percentage of S4 pupils achieving five awards at level five in 2013 differed by 21 percentage points. Page 36 22 |
• The extent of the variation in performance across schools is not fully explained by a council’s size, level of deprivation, or number of secondary schools. In 2013, Scotland’s three largest city councils (Glasgow, Edinburgh and Aberdeen) had the widest gap in performance between schools. However, another four councils (Dumfries and Galloway, Highland, Renfrewshire, and Stirling) also had variations of at least 50 percentage points between their lowest-performing and highest-performing schools. All of these councils have a mix of deprivation levels, rurality, and number of schools.
Exhibit 9 Range and spread of performance between schools in each council in terms of percentage of S4 pupils achieving five awards at level five, 2013 There are wide differences in performance between schools in each council area.
100 90 80 70 60 50 40 30 20 five awards at level five level at awards five 10 Percentage of S4 pupils achieving pupils S4 of Percentage 0 3 8 3 8 5 4 6 6 8171910119 9 8 8 7 9 6 7 17 9 24 9 11 7 16 29 23 12 30
Fife Moray Falkirk Angus Stirling Highland InverclydeMidlothian DundeeEast City Lothian West Lothian East Ayrshire Renfrewshire Glasgow City Orkney Islands South Ayrshire AberdeenshireNorth Ayrshire Aberdeen City Scottish Borders Shetland Islands Argyll and Bute Clackmannanshire South LanarkshirePerth and Kinross East Renfrewshire North Lanarkshire City of Edinburgh West Dunbartonshire East Dunbartonshire Dumfries and Galloway Comhairle nan Eilean Siar Percentage of S4 pupils achieving five awards at level five in the lowest performing school
Percentage of S4 pupils achieving five awards at level five in the highest performing school Range in performance of the middle group of schools in the council
3 Number of secondary schools in each council
Note: 1. One school from Argyll and Bute, two schools from Orkney Islands, and one school from Shetland Islands have been removed from the analysis as they had less than five pupils in S4 in 2013. Source: Audit Scotland, using data from Scottish Government Education Analytical Services Division
Lower-performing councils have made the most improvement in attainment over the past ten years
45. All councils improved attainment in at least four of the ten attainment measures between 2004 and 2013. The majority of councils (21) improved attainment across all of the measures. Within this ten-year period, however, councils’ performance fluctuates. To identify more recent trends in performance Page 37 Part 2. Pupil attainment and wider achievement | 23
and understand how these compare to the longer-term ten-year period, we examined the most recent five years. This showed that of the 21 councils identified above:
• 14 continued to display an upward trend in all ten measures
• seven also displayed an upward trend in at least eight of the measures.
46. There is considerable variation in the scale of improvement among councils. Exhibit 10 shows the level of improvement over the past ten years in the percentage of S4 pupils achieving five awards at level five in each council. There is similar variation in improvement levels across all other attainment measures used in the report. The biggest improvements in attainment have been made, in the main, by councils which were in the lowest-performing third of councils ten years ago. 20 For example, Glasgow City and Dundee City were the lowest- performing councils in 2004 in terms of the percentage of S4 pupils achieving five awards at level five. However, over the last decade, performance improved by six per cent and five per cent respectively in these councils, above the national average of four per cent.
47. Although it is mainly lower-performing councils that have made the most improvements in attainment in the past decade, continuous improvements have also been made by two of the highest-performing councils. Across all attainment measures, East Dunbartonshire and East Renfrewshire were the top-performing councils in 2013, despite already starting this period as high-performing councils.
Exhibit 10 Percentage improvement by council in the percentage of S4 pupils achieving five awards at level five, 2004-13 Improvements in attainment over the past ten years vary markedly across the country.
15
10
5
0
Percentage improvement 2004-13 improvement Percentage -5
Fife Falkirk Moray Stirling Angus Highland Midlothian Inverclyde Glasgow City Dundee City West RenfrewshireLothian East Ayrshire East Lothian South Ayrshire North Ayrshire Orkney Islands Aberdeen City Aberdeenshire Scottish Borders Argyll and Bute Shetland Islands East RenfrewshirePerth Northand Kinross Lanarkshire City of Edinburgh South LanarkshireClackmannanshire East Dunbartonshire West Dunbartonshire Dumfries and Galloway Comhairle nan Eilean Siar Scotland average
Source: Audit Scotland, using data from Scottish Government Education Analytical Services Division Page 38 24 |
48. Councils are slightly more likely to have improved attainment in S5 and S6 than in S4 over the past ten years. For example, 31 councils improved the percentage of their S5 pupils achieving one award at level six (equivalent to Higher-level). This compares to 27 councils that improved the percentage of pupils of S4 pupils achieving five awards at level three (equivalent to Standard Grade Foundation level).
49. Although all councils have improved attainment in at least some of the ten measures, there has been little overall reduction in the variation in attainment between councils in the past ten years. Of the ten attainment measures, the size of the gap between the highest-performing and lowest-performing councils:
• reduced in five
• stayed the same in one
• increased in four.
For example, in 2004 there was a 38 percentage point gap in the percentage of S6 pupils achieving one award at level six between the lowest-performing and highest-performing councils in Scotland. By 2013, this gap had reduced by six percentage points. Conversely, the gap in performance between councils in the percentage of S4 pupils achieving five awards at level five increased by eight percentage points between 2004 and 2013.
The gap in performance between the lowest and highest-performing schools continues to increase in more than half of councils
50. Thirteen councils reduced the gap in performance between their highest and lowest-performing schools in the past ten years in terms of the percentage of S4 pupils achieving five awards at level five. They have reduced the gap largely by improving attainment levels in lower-performing schools, although there has also been a decline in performance among higher-performing schools in some councils. For example, Inverclyde closed the gap in performance between its schools the most between 2004 and 2013 (by 22 percentage points). The percentage of S4 pupils achieving five awards at level five increased from 14 per cent in the council’s lowest-performing school in 2004 to 24 per cent in 2013. However, at the same time, the percentage of S4 pupils achieving the same award in the council’s highest- performing school decreased from 62 per cent in 2004 to 50 per cent in 2013.
51. In 19 councils, the gap between the highest and lowest-performing schools increased between 2004 and 2013. This is mainly because the percentage point improvement in the percentage of S4 pupils achieving five awards at level five was greater over the past ten years in the highest-performing schools than in the lowest-performing schools.
Gender, ethnicity and looked after status all impact on levels of attainment
52. Attainment differs across different groups of pupils (Exhibit 11, page 25).21 Among S4 pupils in 2012, Asian-Chinese pupils were the highest performers, with an average tariff score of 244 (the national average is 187). This is almost five times greater than pupils who are looked after by a council but are living at home under a supervision order. These pupils had an average tariff score of 51. 22 , 23 Page 39 Part 2. Pupil attainment and wider achievement | 25
Exhibit 11 Average tariff scores of S4 pupils by different characteristics in 2012 Attainment varies widely between different groups of pupils in Scotland.
275 250 225 200 Average 175 150 125
Tariff score Tariff 100 75 50 25 0
Male Female African All pupils Refugee Asian-Indian Asian-Other Asian-Pakistan Asian-Chinese Most deprivedLeast deprived White: Scottish Asylum Seeker Not looked after Asian-Bangladesh Caribbean or Black Large Remoteurban areas rural areas Looked after at home
Looked after away from home Note: Looked after children are in the care of the council, either at home under a supervision order from a Children's Hearing, or accommodated away from home (such as a residential unit, foster care, or with relatives). Source: Audit Scotland, using Summary statistics for attainment, leaver destinations and healthy living, No.3: 2013 Edition – Attainment and Leaver Destinations , Scottish Government, June 2013 and data provided by Scottish Government Education Analytical Services Division
53. Overall attainment has improved among each of the different groups of pupils. However, the extent of the improvement varies across and within the groups:
• Improvements in attainment vary markedly by ethnic background. For example, tariff scores of pupils with an Asian-Indian ethnic background decreased by two points in the most recent three years, compared to an increase of 16 points for pupils from an Asian-Pakistan ethnic background. 24
• The average tariff score of pupils looked after away from home improved by 34 points over the past three years, more than double the rate of improvement among pupils looked after at home at 15 points. Pupils looked after at home were the lowest-performing group of pupils in 2010 and remained so in 2012.
Deprivation is a key factor influencing attainment in Scotland but other factors are also important
54. The OECD review of Scottish education in 2007 found that a pupil’s social background mattered more in terms of attainment than in other countries. 25 While the link between deprivation and attainment is not unique to Scotland, deprivation continues to have a major impact upon levels of attainment across the country: 26
• At a national level, tariff score is very closely linked to level of deprivation. In 2008, the average tariff score of pupils in the least deprived areas of Scotland was 106 points higher than pupils in the most deprived areas. Page 40 26 |
The gap has narrowed slightly in the past five years, but there is still a 94 point difference.
• In 2012, around half of the S4 pupils (51 per cent) who were in the lowest 20 per cent of achievers came from the three most deprived deciles in Scotland. 27 Around half (48 per cent) of pupils who were in the highest 20 per cent of achievers came from the three least deprived deciles in Scotland. This has not changed over the past five years.
• The impact of deprivation on pupil performance is also evident among primary pupils. The Scottish Survey of Literacy and Numeracy in 2013 showed that 61 per cent of P4 pupils in the most deprived areas in Scotland performed well or very well at the numeracy level expected. This compared to 75 per cent of pupils from the least deprived areas.
• A Save the Children report in 2012 using data from the Scottish survey Growing up in Scotland found that children born into poverty are twice as likely as other children to face developmental difficulties when they enter formal schooling. 28 , 29
55. Councils with more areas affected by deprivation generally have lower levels of attainment than councils with higher levels of affluence. However, deprivation is clearly not the only factor influencing attainment. For example, Inverclyde and East Lothian have similar levels of attainment in terms of the percentage of S4 pupils achieving five awards at level five (38 per cent and 39 per cent respectively) yet have widely different levels of deprivation. At a school level, deprivation also has an impact on attainment. Using the recognised measure of free school meal registrations as an indicator of deprivation, in general the greater the number of pupils registered for free school meals in a school then the lower the attainment levels (Exhibit 12, page 27). However, as the wide spread of schools shows, deprivation is clearly only one contributing factor in how well schools perform. For example, some schools with higher levels of pupils registered for free school meals have similar attainment levels to schools with much fewer pupils registered for free school meals. We discuss the other factors that influence school performance in Part 3 of the report.
There are increasing opportunities for pupils to develop wider employability and life skills
56. CfE places an emphasis on developing children to be successful learners, confident individuals, effective contributors and responsible citizens. It requires schools to recognise the breadth of pupils’ achievement, and not only their ability to pass exams. Activities that pupils undertake both within and outwith school are more broadly known as wider achievement and these can take many forms (Exhibit 13, page 28).
57. Formal wider achievement programmes have been available in schools for some years. Councils told us that there has been a significant increase in the past five years, in both the types of programme being offered and the numbers of awards pupils are achieving (Exhibit 14, page 28). Pupils taking part in such activities must plan and identify their own personal goals. The programmes are designed to allow pupils to develop skills for life, learning and work, such as self-management, problem solving, teamwork and communication. These are attributes that major employers value when selecting prospective employees (Case study 1, page 29). Page 41 Part 2. Pupil attainment and wider achievement | 27
Exhibit 12 Free school meal registrations compared to the percentage of S4 pupils achieving five awards at level five in all secondary schools in Scotland, 2013 Deprivation (using registrations for free school meals as an indicator) is not the only factor affecting levels of attainment.
100
80
60
40
five awards at level five level at awards five 20 Percentage of S4 pupils achieving achieving pupils S4 of Percentage 0 10 20 30 40 50
Percentage of pupils registered for free school meals
Note: The blue circles represent every secondary school in Scotland. Source: Audit Scotland, using data provided by Scottish Government Education Analytical Services Division and school meals data from Pupil Census , Scottish Government, 2013
Schools are beginning to target wider opportunities to those pupils who would benefit the most, but how this activity is recorded and monitored is variable 58. CfE emphasises the importance of pupils having access to learning opportunities that are personalised and appropriate for them. This ensures that pupils gain the most they can from wider activities and programmes that help them learn life and employability skills. There are examples of schools and councils targeting programmes and activities towards those pupils who would most benefit. For example, Perth and Kinross Council has developed an outdoor programme to engage vulnerable pupils at St John’s Academy and Kinross High School. The programme uses kayaking, gorge walking and climbing to help pupils develop new skills and increase their levels of confidence.
59. These types of activities are mainly organised at a school level. This means schools can appropriately tailor programmes and activities to their individual pupils. This is reflected in the variation in the range of programmes and awards available to pupils in different schools within the same council area. To ensure that all pupils have access to the most appropriate opportunities, it is important that schools are able to fully capture and record all the activities that are available and the achievements of pupils undertaking such activities. Schools also need to be able to share this information with their council so that elected members can scrutinise performance on pupils’ access to, participation in, and outcomes from the wider activities and programmes on offer within the council area.
60. The new Scottish Senior Phase Benchmarking Tool (‘Insight’) is planned to be introduced across Scotland in August 2014. The tool is designed to help councils, schools and teachers use data to analyse, compare and improve the performance Page 42 28 |
of pupils in the senior phase (S4-S6). By gathering and reporting information on both attainment and wider achievement, the tool should help build up a picture of pupil performance across Scotland. Work is ongoing to determine which programmes will be included. The main criteria are that programmes are SCQF- rated and fit in with the CfE principles.
Exhibit 13 Examples of wider achievement activities Wider achievement can be undertaken in a number of ways.
Types of wider achievement Example in practice Formally recognised awards or The John Muir Award is an environmental award scheme that encourages programmes, such as the Duke of awareness and responsibility for the natural environment. While working towards Edinburgh Award, the John Muir this award, P5/6 pupils at Slamannan Primary in Falkirk Council were trained in Award, and The Prince's Trust. scientific techniques. Working alongside Scottish Natural Heritage and the Royal These all provide opportunities for Society for the Protection of Birds, the children visited the habitat of geese and pupils to develop their potential. studied their migration. The project encouraged pupils in other subject areas such as drama and landscape painting. The pupils' work was highly commended in the Nature of Scotland Awards, Youth and Education category.
Arrangements that do not lead to Pupils from Ellon Academy in Aberdeenshire Council have been involved in an accredited award but which are a number of enterprise initiatives to develop skills for learning, life and work. formally organised, for example This has taken the form of various projects such as raising money for charity, voluntary work, enterprise work introducing fair trade school awards and working with local businesses. Through or leadership roles in the school. engaging in enterprise activities, pupils have gained an awareness of wider global issues and developed positive relationships with the local business community. In 2012, the school won a national award for Enterprise and Employability.
Developing skills through The Instrumental Music Programme within West Lothian Council offers achievements in the school, home opportunities for pupils to develop their music skills, and play instruments in or wider community. For example, orchestras. This helps pupils develop confidence and team-working skills. taking part in sport, the arts, music In 2013, the Schools Wind Ensemble was awarded a Gold plus award at the or activities in the community or Scottish Concert Band Festival. being in a position of responsibility, such as a young carer.
Source: Audit Scotland
Exhibit 14 Number of pupils gaining the most commonly undertaken wider achievement awards, 2008-12
Number of councils 2008 2009 2010 2011 2012 that provided data Duke of Edinburgh Awards 14 1,195 1,153 1,980 2,202 2,994 ASDAN (Award Scheme Development and 9 276 512 1,277 1,417 1,966 Accreditation Network John Muir Award 10 57 454 310 788 3,095
Source: Audit Scotland Page 43 Part 2. Pupil attainment and wider achievement | 29
Case study 1 The Duke of Edinburgh award scheme The Duke of Edinburgh award has benefits for both pupils and employers.
The Duke of Edinburgh award scheme (DofE) is a personal development programme that helps young people learn new skills, work with others, engage with their community and learn how to train and carry out an adventurous journey. It is open to all young people from age 14. There are three levels: bronze, silver and gold and each of these involve completing objectives to learn new skills, trying new activities and volunteering. Each progressive level takes more time and commitment from the participants.
In Scotland, 89 per cent of secondary schools have active DofE groups associated with them. This figure increased from 72 per cent five years ago, and around 15 per cent of participants have additional learning needs or have declared a disability.
Many organisations and companies have a positive view of the DofE. For example, a United Learning Trust survey in 2005 asked employers what activities undertaken in school were most valuable to them in prospective employees, and they rated DofE as the most important. In recent years, Scotrail, Scottish Gas and Northern Constabulary have sought to recruit DofE participants. These organisations support participants as they work towards their gold award. A recent impact study by the University of Northampton noted 82 per cent of participants wanted to continue volunteering after their DofE programme and 74 per cent noted an increase in self- esteem or self-belief.
Source: Audit Scotland
More than half of school leavers go on to higher or further education
61. In 2012, 90 per cent of school leavers went on to what is known as a positive destination, such as higher education or employment. 30 The largest single group of school leavers went on to higher education (36 per cent), while eight per cent of school leavers were unemployed and seeking work. The percentage of school leavers going on to a positive destination increased by six per cent between 2008 and 2012. 31
62. At a council level, the percentage of school leavers going on to a positive follow-up destination in 2012 varied from 95 per cent in East Renfrewshire to 84 per cent in Glasgow City. All but one council has increased the percentage of pupils going on to a positive destination since 2008. Dundee City had the largest increase at 12 per cent, while Shetland Islands had a drop of three per cent. The percentage of school leavers entering employment fell in almost all councils between 2008 and 2012. This was mainly offset by an increase in pupils entering higher and further education.
63. Similar to attainment, the destinations of school leavers are also linked to levels of deprivation. School leavers from the most deprived areas in Scotland were:
• half as likely in 2012 to go on to higher education than pupils from more affluent areas (20 per cent compared to 42 per cent) Page 44 30 |
• twice as likely to be unemployed and seeking work (14 per cent compared to six per cent). 32
64. Glasgow City Council and City of Edinburgh Council have put in place a range of initiatives to improve positive destinations (Case study 2) .
Case study 2 Improving positive destinations
Glasgow City Council's Employment and Skills Partnership Team offers a wide range of programmes to provide pupils with employment-related learning opportunities in a way that is tailored, responsive and flexible to meet their individual needs. It has focused on five workstreams including enterprise, skills and aspirations, and business partnerships. The various workstreams focus on offering pupils a range of tailored opportunities and experiences so that they develop the confidence and skills for living and working in the wider world. These include work experience, participating in school and college vocational programmes, learning in different environments and business mentoring. Between 2008 and 2012, Glasgow City Council increased the number of pupils going on to positive destinations by 6.3 per cent compared to a national increase of 5.5 per cent.
In 2011, City of Edinburgh Council introduced the 'Edinburgh Guarantee'. This is an initiative which aims to ensure young people leave school with the opportunity of a job, training or further education. It primarily focuses on Edinburgh school leavers within the last three years and to date 950 pupils have benefited from the scheme.
Source: Audit Scotland
Recommendations
Councils should:
• ensure they fully understand why levels of attainment vary between their schools and different groups of pupils
• develop and implement strategies to reduce the gaps in performance between the lowest and highest-performing schools
• continue to work with the Scottish Government and Education Scotland to develop a suite of agreed performance measures which would provide an overall picture of education attainment and achievement across Scotland
• develop more coordinated approaches to gathering and recording information on the range of wider achievement activities offered in schools, and the levels of pupil participation and the outcomes they achieve. This will help councils to scrutinise performance and ensure resources are used as efficiently as possible. Page 45 Part 3. Improving pupil performance | 31
Part 3 Improving pupil performance
Key messages 1 Councils that have raised attainment the most over the last decade have focused on specific areas such as developing leadership, and improving both teacher quality and systems for monitoring and tracking pupil data. Increasing pupils’ own aspirations and expectations of what they could achieve after school has also been important. 2 Strategic planning could be strengthened so that plans better identify the most important priorities for improvement. There is scope to strengthen elected members’ role in scrutinising and challenging education performance around both attainment and wider achievement. Councils also need to continue to improve how they engage with parents. 3 Spending more money on education does not guarantee better pupil developing performance. Councils are starting to target resources to the lowest- performing pupils to raise educational achievement, but this could leadership be developed further. In making spending decisions, councils need to skills and fully understand what the most effective ways are to improve pupil performance. improving teacher quality are A range of factors play an important role in improving attainment key to raising
65. Improving attainment depends on a number of factors. There is no one attainment solution and many of the elements are interlinked. There is a wide range of literature on what influences pupil attainment. Aside from deprivation, other key factors that are recognised as playing an important role in improving attainment include:
• improving teacher quality
• developing leadership
• improving systems for monitoring and tracking pupil data
• increasing parental involvement
• developing pupil motivation and engagement. Page 46 32 |
66. Evidence also suggests that a child’s home environment, and the extent to which it is supportive and stimulating to children during their early years, plays a key role in future educational attainment. Public bodies’ early years intervention activities are therefore important in tackling issues which can influence attainment in later years. This is outside the scope of this audit.
Councils that have improved attainment the most have focused on areas such as developing leadership and improving teacher quality 67. As we outlined in Part 2 of the report, 14 councils in Scotland have successfully improved attainment across all of the ten measures of attainment we examined in both the last five and ten years. These councils have focused on some or all of the key factors outlined in paragraph 65, page 31 .
Improving teacher quality 68. Teaching Scotland’s Future highlighted that improving the quality of teaching and leadership is central to improving attainment. 33 Similarly, a 2007 review by McKinsey & Company found that those pupils placed with the highest-performing teachers progressed three times as fast as those with the lowest-performing teachers. 34 Improving teacher quality depends on:
• being able to attract the best candidates
• providing high-quality teacher training
• offering adequate salaries to retain staff
• having effective career development and support.
69. Examples of improvement in this area include:
• Falkirk Council has developed its recruitment process to test the specific competencies of each post and then find candidates who demonstrate the right skills and knowledge. For example, applicants for senior school leaders now take part in an assessment centre and applicants for classroom teachers have their teaching style formally observed and assessed in the classroom.
• Glasgow City Council has improved its approach to supporting and challenging individual schools and teachers. It has strengthened its human resources function and there is a greater focus on addressing poor performance. It offers tailored help and mentoring to teachers who need to improve their classroom practice.
• Fife Council has developed a Teacher Learning Community model. This brings together teachers on a regular basis to improve learning and teaching, and to share good practice. Teachers are encouraged to identify their own development needs and support their colleagues as a group.
70. The Scottish Government has established an implementation board to put in place the recommendations from Teaching Scotland’s Future . These focus on improving the full spectrum of teaching education including an enhanced commitment to career professional learning and development by teachers. Councils must also support all aspiring head teachers in accessing a qualification or professional award in educational leadership. It is too early to determine Page 47 Part 3. Improving pupil performance | 33
whether these changes will realise the intended benefits, but they provide an important framework for councils to deliver improvements.
Developing leadership 71. Effective leadership is crucial to improving attainment. This applies to all central education departments, Head teachers, and individual teachers. Leadership affects a wide variety of other areas, for example teacher development and pupil and parent relationships. Examples of improvement in this area include:
• In 2009, Glasgow City Council reviewed its staff development policy to provide a more systematic approach to planning staff professional development, improving teacher quality and developing leadership. Staff have participated in a range of tailored programmes. Ninety senior managers have completed the Aspiring Heads programme and over 100 teachers have achieved Harvard Leaders of Learning accreditation. These programmes are intended to improve the quality of learning and teaching in classrooms. The council considers that learning and development achieved through these courses has improved classroom practice, with learning widely shared among peers and other colleagues.
• Dumfries and Galloway Council has developed a Transformational Leadership Development Pathway to support succession planning within education. Given its rural context and the challenge of recruitment, the council recognised the need to develop local solutions, build capacity among existing staff in-house and identify at an early stage potential future leaders within schools. The programme is available to all teaching staff from probationer teachers through to Head teachers and focuses on sharing learning and best practice between schools.
• In 2010, South Ayrshire Council set up its own leadership development programme. The council recognised that a number of senior teachers were due to retire in the coming years, and considered that introducing a programme would not only support succession planning but encourage aspiring leaders among teachers to consider a route into headship. The course involves a range of elements including academic study and research, work shadowing in another school, working with peers to learn from each other and sharing best practice. The course allows candidates to learn more about the council's role in delivering education in areas such as budgetary management and strategic planning.
Developing systems for monitoring and tracking data 72. Assessing, monitoring, and measuring performance at school, teacher and pupil level is central to understanding how to improve attainment. Monitoring how pupils are progressing allows teachers and schools to identify:
• if pupils need extra help
• what types of methods the school could offer
• how successful interventions have been in improving the pupil’s learning. Page 48 34 |
73. Examples of improvement in this area include:
• Fife Council has developed its tracking and monitoring systems at both primary and secondary levels through standardised testing and better performance management. Detailed analysis of the data gathered takes place centrally and within schools. Annual performance packs are produced for each school that identifies the school’s performance compared to other schools so that areas of underachievement can be targeted.
• West Lothian Council has developed a standardised testing programme at all stages. The information available through this has been used at an individual school level to target underachievement and identify the best ways to help pupils improve, with a particular focus on those pupils most in need.
Increasing parental involvement 74. The Joseph Rowntree Foundation has found that improving parental involvement in their child’s education contributes to raising attainment. 35 This includes involving parents in the school and in their child’s learning. For example, Falkirk Council is using Information Technology innovatively to improve parental engagement, through for example Twitter, YouTube, interactive school websites and email. The central education department regularly updates an ‘education blog’ containing information on raising attainment. These approaches are intended to assist parents in helping their child learn at home.
Developing pupil motivation and engagement 75. It is widely acknowledged that a successful education system needs to be based within a culture that values education, and where all members of society have high aspirations for pupils. The OECD identified that high-performing education systems have high expectations of every pupil, not just high achievers. 36 Examples of improvements in this area include:
• West Lothian Council has developed nurture groups for pupils at P6/P7 and S1/S2 who face challenges in learning. These provide additional support in literacy and numeracy to ensure pupils remain engaged with school.
• Glasgow City Council has been focusing on increasing pupils’ own aspirations and goals. It has developed a range of employment-related opportunities (Case study 2, page 30), ensuring the courses and programmes are relevant and suitable to pupils' needs. It also provides tailored mentoring and support for pupils who are considering going to university.
• North Ayrshire Council is committed to tackling youth unemployment and has a programme to support pupils in considering all their available options after leaving school. In particular, vulnerable pupils are targeted at an early stage to ensure that support is in place. A named 16+ coordinator in each secondary school works closely with guidance staff and other partners to ensure that pupils are provided with support to make the transition from school into work and equip them with the necessary skills.
76. Overall, improving educational attainment is likely to be achieved by bringing together a number of linked initiatives. As outlined earlier, East Dunbartonshire Page 49 Part 3. Improving pupil performance | 35
and East Renfrewshire have been the top two performing councils in terms of attainment over the last decade. East Renfrewshire Council has continued to improve levels of attainment through having a clear focus on the types of approaches which work best for it (Case study 3) . The council has seven secondary schools and 23 primary schools. In the Scottish Index of Multiple Deprivation (SIMD), 5.8 per cent of the council’s datazones are in the 15 per cent most deprived in Scotland. All seven secondary schools have consistently performed above the national average across the ten attainment measures in recent years.
Case study 3 Raising attainment East Renfrewshire Council has used a range of approaches to continue raising attainment.
East Renfrewshire Council has a clear strategy and planning framework within which its education service operates. Activities to improve quality are central to this approach. There is a well-established and understood annual cycle of activities involving the central education department, quality improvement officers and schools.
Leadership at all levels has been developed to promote the council's vision of 'Inclusion, Achievement, Ambition and Progress for All' and to address succession planning in the teaching workforce. Head teachers are empowered to drive forward improvement within their schools, meet regularly with their peers and share best practice between schools.
CPD among teachers is well established. This involves coaching, and sharing and building knowledge across the council. In a recent survey, 88 per cent of teachers identified that they had good opportunities to participate in CPD activities.
The council carries out baseline assessments of pupils in P1, with standardised testing used again in P3, P5 and P7 and S2. Among other things, this enables pupils who are not performing as well as others to be quickly identified so that schools can give tailored support to individual pupils.
Well-established performance management and reporting arrangements are in place. Detailed analysis of all performance information gathered takes places at both council and school level. This information is used to set targets and improve performance.
All secondary schools operate a 33-period week. This was introduced in 2006 and has allowed the council to maximise teaching time and deliver curricular benefits such as more time for physical education for pupils.
Source: Audit Scotland Page 50 36 |
Some councils lack the key elements that could help schools improve education performance
77. Council education departments play a central role in improving the quality of school education within the schools they manage. This provision is clearly laid out in the Standards in Scotland’s Schools Act 2000. 37 Against this background, we examined how effectively councils’ education structures and systems are being used to help schools raise attainment and promote wider achievement by reviewing:
• education services’ strategic planning
• performance management arrangements
• scrutiny and governance arrangements
• parental engagement
• pupil engagement.
Councils' strategic plans for education contain commitments to improve pupil performance but they could be clearer about their most important priorities 78. Effective education strategies should take account of local priorities and set out what councils aim to achieve over the short, medium and longer term. They should also provide clear objectives and targets to measure progress. Councils use a variety of approaches to set out their strategic priorities and commitments for education services, with the majority developing a three or five-year service improvement plan as the basis of their main strategic planning document. In more than a third of councils, education is encompassed as part of an integrated children's and young persons' service plan, or is included in a plan with other services such as leisure or communities. This reflects the move in recent years towards integrated planning of council services.
79. All councils’ education strategic plans contained some form of commitment or priority centred on raising attainment or improving performance and outcomes for learners, although these differed in how specific they were. The plans also identified a wide range of priorities and objectives that would be used to raise attainment, for example early intervention, developing pupil literacy and numeracy skills and improving teacher quality.
80. Improvements that could be made in the plans we reviewed included:
• Scope to provide clearer links between how these plans complement and support wider council priorities and Community Plans. In around a quarter of the plans, it was not clearly articulated how the education actions and activities contribute to the delivery of the council’s corporate priorities as outlined in the Single Outcome Agreement and Community Plan.
• Setting out the most important priorities within education. Some plans listed numerous priorities and actions but it was not always clear from these which priorities were the most important and intended to be addressed in the short, medium or long term. Page 51 Part 3. Improving pupil performance | 37
• Providing clear statements about how to develop and support wider achievement activities for all pupils. This could include an overview of the wider achievement areas the council intends to focus on and how these will assist in providing pupils with life skills.
Councils are now using pupil tracking and monitoring data more regularly to manage performance 81. Performance management involves gathering, analysing and acting on information to manage and improve services. Education services, both individually and collectively (through the Local Government Benchmarking Framework), have been seeking to improve these arrangements in recent years. All councils across Scotland collect a wide range of information about their education services. Most commonly this includes:
• SQA results
• results from standardised testing of pupils (where this is in place)
• SIMD data for pupils
• attendance and exclusion data
• data on staying-on rates and leaver destinations.
82. Councils are starting to seek ways to use performance information more effectively, such as to:
• challenge schools on performance, for example in focused discussions with individual head teachers on SQA results at school and departmental level
• help schools improve, for example by identifying specific schools that require additional support, such as more visits from QIOs
• set targets, for example, for pupil or school performance in exams.
83. In recent years, councils and schools have been improving how they track and monitor pupil progress and achievement. Developing better performance information has been part of this process. Tracking and monitoring allows longer- term assessments of performance to take place, taking account of a pupil’s individual pace and progress in learning. Tracking is being used to:
• identify groups and individual pupils who are under-achieving
• develop teaching strategies and helping schools target interventions effectively.
Where tracking and monitoring is most developed it takes place at both a school and council level. This allows the council to compare performance between schools, develop interventions and set appropriate targets. Page 52 38 |
Councils are using benchmarking to compare their performance against other councils and are starting to share best practice 84. Improving the use of benchmarking data across the public sector can help identify good practice and potential inefficiencies. Use of benchmarking data allows councils to explore opportunities for improvements, reduce costs and change the way they deliver services with the money they have available. All councils report using benchmarking to understand their education performance in relation to other councils. Most commonly, councils generally benchmark themselves with others that are similar in terms of socio-economic and demographic factors.
85. In March 2013, the Society of Local Authority Chief Executives (SOLACE) launched a new benchmarking framework with the Improvement Service and all 32 councils. The new project is based on 55 indicators across major service areas and includes four indicators that relate to education. The new framework provides an opportunity for councils to explore and understand variations in their practice and share learning.
86. Councils could do more to systematically share effective practice. Education Scotland is leading a new initiative called the School Improvement Partnership Programme (SIPP). The programme involves linking up schools across councils to tackle educational inequality and raise attainment. It aims to encourage staff within different schools to learn from each other, experiment with their practice and monitor and evaluate change.
Elected members could have a more active role in scrutinising, challenging and improving education performance 87. Scrutiny and governance play an essential role in ensuring that councils’ budgets, strategies and plans are credible and readily understandable, and that elected members challenge service performance to help secure improvement.
88. Education committee structures have changed over the past ten years. Most commonly this has been as a result of education services merging with other services such as children and families, housing, social work or leisure. At present, 12 councils have a committee that focuses only on education. The other 20 councils deal with education alongside other service areas. It is for councils to decide what committee structures best meet their needs but in doing this they must ensure that governance arrangements are fit for purpose. Councils also need to ensure that information provided to committees is both concise and relevant so that elected members can scrutinise and challenge council performance.
89. A wide range of education performance information is reported to the relevant committees. Most commonly, performance reporting includes:
• analysis of SQA results and leaver destinations
• school inspection reports by Education Scotland
• capital and revenue budget positions
• updates on the condition of school buildings
• school attendance and exclusion rates. Page 53 Part 3. Improving pupil performance | 39
90. Our analysis of the agendas and minutes of the main committee that deals with education identified that the level of scrutiny and challenge undertaken by elected members varied. We found examples of committee minutes documenting evidence of elected members challenging performance, seeking additional information and requesting updates on areas of work. However, in around 30 per cent of councils, education performance reports were either approved or noted with limited discussion or scrutiny recorded.
91. Committees could play a more active role in raising attainment and developing wider achievement. In particular, elected members could do more to challenge attainment performance to improve consistency between schools and to scrutinise measures to narrow the gap between the lowest and highest-performing pupils. They could also consider the extent to which wider achievement awards and programmes add value and are equipping pupils with the skills for living and working in the wider world. Our review of committee papers in 2013 found that:
• 23 committees received information on specific approaches to raising attainment, for example how strategies and targeted interventions are being used to raise attainment among the lowest performing pupils or to improve levels of literacy and numeracy. The amount and frequency of the information received varied widely among councils.
• 12 committees received information about pupil performance at various stages between P1 and S3, either in the form of standardised test results or the number of pupils meeting expected levels in literacy and numeracy through the CfE framework.
• 18 committees received information about pupil participation in wider achievement that included, for example the type of programmes and activities being offered or the number of pupils achieving a specific award.
92. West Dunbartonshire is an example of a council where the education committee has a strong focus on raising attainment. At each quarterly meeting there is an update on progress on the council’s 2011 strategy to raise attainment and achievement. This report covers progress on issues such as plans for raising attainment and leadership for learning. The committee also considers individual progress reports from each of the five secondary schools. West Dunbartonshire’s attainment has improved across the ten attainment measures we used in the last five years, particularly across S5 and S6.
There are increasing opportunities for parents to be involved in education but they still face barriers 93. Parents can play a key role in improving not only their own child’s educational performance but also that of the school and council more widely. Parental involvement covers a wide range of activities such as helping with homework, attending school events, volunteering in the school, being part of a parent council, and playing a part in school and council governance. The Scottish Schools (Parental Involvement) Act 2006 aimed to help parents become more involved in their child’s education and placed a number of duties on schools, councils and the Scottish Government to make it easier for parents to become involved. Page 54 40 |
94. There are a variety of opportunities for parents to become involved at school and council level. At a school level, these include participating on the parent council (75 per cent of schools in Scotland now have a parent council), fundraising, and volunteering. At a council level, there are opportunities for parents to be involved in developing education strategies, plans and initiatives. This includes opportunities for parents to be involved in monitoring plans and providing feedback after publication. Councils reported using a variety of ways to involve parents in education decisions including consultations, surveys and parent forums and focus groups. Eighty per cent of councils report having a named staff member with responsibilities for parental engagement. However, in around half of councils this accounted for less than 40 per cent of the post-holder’s time.
95. Parents face a number of barriers to becoming more involved. Our survey of parents found that 58 per cent of the parents surveyed would like to get more involved with their school. 38 However, lack of time was identified by parents as the key barrier to further involvement. Other barriers included lack of information on the school, a lack of opportunities to get involved, and not knowing how to get involved.
96. Parents reported that the vast majority of information they receive about education is information from the school on their child’s performance and news about the school, such as school events. Parents felt less informed about how their child’s school is performing as a whole and half had not received any information in the last 12 months on the ways in which their school is working to improve performance. Only a quarter of the respondents had received information on what their council is doing to improve education.
97. Education Scotland is leading a project to bring together the data in Scottish Schools Online, Parent Zone, inspection reports and a range of other materials into a website. It aims to simplify all the existing information and help parents to make sense of the range of material available.
Pupils' own aspirations can sometimes be a barrier to achievement 98. Nearly all councils reported having pupil councils in their schools, as well as a wide range of other opportunities for pupils to get involved in having a say in their school. Examples include eco committees, pupil representatives on education committees and pupil surveys.
99. Pupils’ own aspirations of what they can achieve can be a barrier to raising attainment and reflects the findings from our own focus groups, where pupils in lower-performing schools tended to be less ambitious about their future careers. Teachers from these schools also agreed that some pupils have low expectations of themselves and so limit their ambitions. This was thought to result from local culture and expectations. Councils need to seek ways to improve pupil motivation and aspirations, through, for example, the initiatives outlined in paragraph 75, page 34 . Page 55 Part 3. Improving pupil performance | 41
100. Aberdeenshire Council provides a good example of a council that in recent years has put in place the building blocks required to drive forward improvement and raise attainment (Case study 4) . Its education service has responded to a longer-term situation where, from a period of high attainment levels, SQA results have fallen to around the national average. The council recognised that a refreshed and proactive approach was required to make improvements.
Case study 4 Seeking improvement and raising attainment Aberdeenshire Council has put in place a range of elements to support improvement.
Strategic planning: developing a new strategy to raise attainment and wider achievement. This was developed collaboratively between senior managers and Head teachers, and sets out a clear focus on specific learning and teaching strategies. These include literacy and numeracy, using technology to improve learning, and identifying specific interventions to meet learners’ needs. Head teachers have shared and discussed the approaches with staff, pupils and parents to support positive partnership working.
Performance management: introducing a more robust approach to improving quality. This ensures that schools are provided with the appropriate level of support and challenge they need to improve. This approach is aimed at providing greater consistency and rigour across schools and is underpinned by a new quality improvement framework.
Developing pupil tracking and monitoring: adopting a systematic approach to using standardised assessment evidence at classroom, school and council level. This supports a clear evidenced-based approach for monitoring and tracking progress as well as enabling early interventions. Data is now analysed across every school and used to inform actions plans and self-evaluation of performance.
Scrutiny and governance: opportunities for greater elected member involvement by the Education, Learning and Leisure Committee and six Area Committees, who receive regular reports on attainment in each of the secondary schools in their area. This allows greater scrutiny and challenge by elected members of improvement progress in individual schools.
Raising attainment: an increasing focus on developing leadership across all sectors. A Primary Leadership for Excellence programme has been introduced to support aspiring primary Head teachers, as well as continuing support for staff pursuing the Flexible Route to Headship programme. A Depute Head teachers' group has been established that meets regularly to share learning and best practice. There has been a review of the Head teacher appointment procedures. There are now clear arrangements for effective succession planning across Aberdeenshire and Head teacher induction, building on the new standards required nationally for school leadership.
Source: Audit Scotland Page 56 42 |
Councils are starting to target resources to improve attainment but this could be developed further
101. How councils allocate money and resources both centrally and at a school level is a decision for each council. Evidence from our literature review suggests that it is how councils decide to spend their education budget rather than the overall level of spend which has most impact on attainment levels. 39 The literature also suggests the impact of funding on attainment could be more significant if it was targeted at those schools and pupils where the need to improve attainment was greatest. 40
102. Overall, we found no direct correlation between changing levels of educational spending and increasing levels of pupil attainment. For example, there is a group of seven councils whose spending on education has decreased by more than five per cent in the last three years while their percentage of S4 pupils achieving five awards at level five has increased by more than the national average (four per cent). This matches the evidence from our literature review which identified that increased expenditure does not automatically result in increased attainment.
103. As part of our work we examined how councils are targeting their resources to support improvement and raise attainment (Case study 5, page 43). We found examples of QIOs offering targeted support to schools where it is most required and examples of wider achievement activities being targeted towards pupils who would most benefit. Resources are being directed towards those schools with the lowest performing pupils and where a greater focus around raising attainment is required. This approach could be developed further. Although most councils could provide examples of ways they are targeting resources to raise attainment there is scope for them to make better use of performance information (such as pupil tracking and monitoring data) to help support decisions which have a financial impact, such as the provision of more staff to particular schools with low attainment levels.
104. Looking ahead, it will be important for councils to ensure that all resources including money and staffing are used as efficiently and effectively as possible. This will be challenging as finances continue to come under pressure and significant resources are tied up in areas such as the school estate and teaching costs.
105. In making decisions about how resources are targeted, councils need to fully understand what interventions are the most effective. For example, improving teacher quality and developing leadership are recognised as two important factors in raising attainment. Therefore, it would seem appropriate that resources are targeted towards these. However, as education budgets have been reducing in recent years, many councils have reduced CPD and training budgets for teachers. Councils have reduced the range of courses provided and sought to deliver training in other more cost-effective ways. Councils need to ensure that they fully consider the impact of short-term savings on the long-term impact on attainment and overall pupil learning. Page 57 Part 3. Improving pupil performance | 43
Case study 5 Targeting resources
Aberdeen City Council offers schools three types of support, depending on an assessment of what they need. This assessment covers the school's SQA performance, inspection data, and attendances and exclusions. Those schools that the council considers require the least support receive an annual visit and a keep-in-touch visit. Targeted support involves an annual attainment review meeting and six days' support each year. Intensive support involves an annual review and 12 days of support from the council each year. This ensures QIOs' time is directed towards those schools that need it the most.
To support its raising attainment strategy, West Dunbartonshire Council seconded one secondary school teacher from each of its five secondary schools to become dedicated 'raising attainment teachers'. These teachers work with the lowest- performing pupils, targeting areas for development and supporting improvement. Although the teachers remain in their own schools, they come together as a team to share learning and good practice to try and achieve greater consistency between schools.
West Lothian Council has targeted resources to schools in areas of relative deprivation to set up nurture classes at P6/P7 and S1/S2. Nurture groups have been set up in a range of primary and secondary schools. The aim is to ensure pupils make a successful transition to secondary school and prevent exclusion or low attendance. Staff receive training in a nurturing approach and the young people receive direct support in managing their school experience and further develop their literacy and numeracy skills.
Source: Audit Scotland
Recommendations
Councils should:
• ensure education strategic documents contain clear priorities and actions that set out what is to be achieved in the short, medium and long term. Performance management arrangements should monitor outcomes and report regularly on delivery against strategic objectives, such as raising attainment among the lowest-performing pupils
• review the sufficiency of information provided to education committees on attainment at S4-S6, pupil performance between P1-S3 and wider achievement. They should also ensure committees have the time and support to adequately challenge and hold to account education services
• consistently use the Scottish Local Government Benchmarking Framework to benchmark their performance against other councils, and share good practice to improve educational attainment and wider achievement. Page 58 44 |
Endnotes
W 1 The Scottish Government has five strategic outcomes: to make Scotland Wealthier and Fairer, Smarter, Healthier, Safer and Stronger, and Greener.
W 2 Pupils in Scotland , Scottish Government, 2013; Teachers in Scotland , Scottish Government, 2013. Teacher numbers are primary, secondary and centrally employed teachers.
W 3 A Curriculum for Excellence , Scottish Executive, 2004.
W 4 This is revenue expenditure. We did not examine capital expenditure on school education due to the different timescales involved in councils’ capital expenditure programmes and the different funding approaches taken by councils.
W 5 PFI and PPP are financing arrangements used by councils to fund new school builds. Councils pay an annual charge, the unitary charge, to private firms to build and maintain schools over a set period of time, after which the school becomes the property of the council.
W 6 This is general revenue funding (also known as the General Resource Grant) from the Scottish Government to councils. Scottish Local Government Finance Statistics 2012/13, Scottish Government, February 2014.
W 7 Scottish Local Government Finance Statistics 2010/11 , Scottish Government, 2012; Scottish Local Government Finance Statistics 2012/13, Scottish Government, 2014.
W 8 Spend per pupil is calculated by dividing a council’s gross expenditure (excluding support service costs) by the number of pupils. This is the methodology used by SOLACE and the Improvement Service in the Local Government Benchmarking Framework.
W 9 Chartered Teachers were introduced in 2006 as part of the Teaching Profession for the 21st Century agreement. Chartered Teacher status was intended to recognise and reward the excellence of those teachers who wished to remain in the classroom while continuing to encourage professional development. When they complete their qualification, teachers receive a lifelong salary enhancement. The scheme has since been disbanded.
W 10 Salary conservation occurs when a post is re-graded and the new salary is lower than previously. The post-holder then receives salary protection for a specified length of time.
W 11 This is primary, secondary, and centrally employed teachers. Education staffing numbers are displayed in calendar years as they are collected in the annual staff census in September of each year.
W 12 Scotland’s public sector workforce (PDF) Audit Scotland, November 2013.
W 13 Teaching staff formulas are used by councils to indicate how many teaching staff a school needs. The criteria used in the formulas can include pupil numbers and whether a school is in a deprived area. The criteria varies across the country.
W 14 School estates 2012/13 , Scottish Government, 2014.
W 15 Interim Report , Commission for Developing Scotland’s Young Workforce, 2013.
W 16 SSLN replaced the Scottish Survey of Achievement in 2011. The survey covers literacy and numeracy in alternate years and consists of a set of written and practical assessments and questionnaires for both pupils and teachers. Approximately 11,000 pupils and 5,000 teachers take part across the country.
W 17 The OECD is a forum enabling governments to work with each other to promote economic growth, prosperity and sustainable development. The OECD established PISA in 2000 to provide reliable, comparative data on the performance of education systems around the world. PISA assesses the competencies of a sample of 15-year-olds in both state-run and private schools in 65 countries and economies in reading, maths, and science. The most recent assessment was in 2012. Page 59 Endnotes | 45
W 18 The assessment methodology used by the OECD changed in 2003 for maths and in 2006 for science. It is therefore not possible to compare performance prior to this.
W 19 It is not possible to compare UK countries before 2006 due to unreliable data.
W 20 To assess comparative performance among councils in 2004, we ranked each council (from 1 to 32) on each of the ten key attainment measures. We then identified how many of their rankings were in the highest-performing third of councils, middle-performing third, and lowest-performing third. Based on this, we then grouped councils into high-performing, middle-performing, and lowest-performing groups.
W 21 Pupil-level attainment data is from 2012 as 2013 results were not available at the time of reporting.
W 22 Summary statistics for attainment, leaver destinations and healthy living, No.3: 2012 Edition , Scottish Government, 2013; Data provided by Scottish Government Educational Analytical Services.
W 23 Pupils who are looked after by a council may be ‘looked after away from home’ (living in foster homes, with relatives, friends or in other community placements, in residential units or schools) or ‘looked after at home’ which means living at home under a supervision requirement from a Children’s Hearing.
W 24 2010 is the earliest comparable year for ethnicity due to changes in census categories. 2010 is the first year of data available on looked after pupils.
W 25 Review of Scotland’s education system, OECD, 2007.
W 26 A wide range of academic and other research, such as the Commission for School Reform, 2013 and Joseph Rowntree Foundation, 2012, shows that deprivation is a common factor affecting levels of attainment in many countries’ education systems.
W 27 These are deciles 1 to 3 in the Scottish Index of Multiple Deprivation (SIMD). Each SIMD decile contains ten per cent of Scotland’s data zones. So, for example, decile 1 is made up of the 651 of the most deprived data zones in Scotland. The least deprived areas are deciles 8 to 10 in the SIMD.
W 28 Thrive at Five , Save the Children, 2012.
W 29 Growing up in Scotland is a Scottish Government-funded longitudinal research project aimed at tracking the lives of several cohorts of Scottish children from their early years, through childhood and beyond.
W 30 Positive destinations are classified by the Scottish Government as higher education; further education; training; employment; voluntary work; and activity agreements.
W 31 The most recent national destinations data available at the time of reporting was the 2012 cohort of pupils.
W 32 Deprived areas are the 15 per cent most deprived in Scotland.
W 33 Teaching Scotland’s Future; A report of a Review of Teacher Education in Scotland , Donaldson G, 2010.
W 34 How the world’s most improved school systems came out on top , McKinsey & Company, 2007.
W 35 The role of aspirations, attitudes and behaviour in closing the educational attainment gap , Joseph Rowntree Foundation, 2012.
W 36 PISA Results in Focus 2012 , OECD, 2013.
W 37 Section 3 (2) of the Standards in Scotland’s Schools Act 2000 states that 'the role of the local authority is to endeavour to secure improvement in the quality of school education which is provided in the schools managed by them; and they shall exercise their function in relation to such provision with a view to raising standards of education'.
W 38 We conducted an online survey of parents of school-age children in February 2014. Four hundred responses were received from 25 council areas.
W 39 Does money buy strong performance in PISA? Results in focus 2012; OECD, 2013; What makes a school successful? Resources , policies and practice Vol.IV , OECD, 2010.
W 40 Does money buy strong performance in PISA? Results in Focus, OECD, 2013; Visible learning: a synthesis of over 800 meta-analyses relating to achievement , Hattie, J, 2008; How the world's best performing school systems come out on top , McKinsey & Company, 2007. Page 60 46 |
Appendix 1 The ten measures of school-level attainment used in the report
Attainment measure Equivalent to Overall % Range in of pupils performance achieving between lowest this level and highest- or better, performing 2013 councils
English and maths at • English and maths at Standard Grade 95 86 - 99 level 3 in S4 Foundation level • English and maths at National level 3 • English and maths at Access level 3
5 awards at level 3 in S4 • 5 Standard Grades at Foundation level 95 92 - 99 • 5 awards at National level 3 • 5 awards at Access level 3
5 awards at level 5 in S4 • 5 Standard Grades at Credit level 39 28 - 71 • 5 awards at National level 5 • 5 awards at Intermediate level 2
5 awards at level 5 in S5 • 5 Standard Grades at Credit level 54 44 - 80 • 5 awards at National level 5 • 5 awards at Intermediate level 2
1 award at level 6 in S5 • 1 Higher 49 41 - 77
3 awards at level 6 in S5 • 3 Highers 29 21 - 60
1 award at level 6 in S6 • 1 Higher 54 45 - 77
3 awards at level 6 in S6 • 3 Highers 38 29 - 63
5 awards at level 6 in S6 • 5 Highers 27 18 - 48
1 award at level 7 in S6 • 1 Advanced Higher 17 10 - 32 • Scottish Baccalaureate
Note: Scottish Government calculates attainment by the end of S5 as a percentage of the S4 year group from the previous year. S6 attainment is calculated as a percentage of the S4 year group from two years previously. Source: Audit Scotland, using data from Scottish Government Education Analytical Services Division Page 61 Appendix 2. Membership of advisory group | 47
Appendix 2 Membership of advisory group
Audit Scotland would like to thank members of the advisory group for their input and advice throughout the audit.
Member Organisation
Donna Bell Scottish Government
Jackie Brock Children in Scotland
Greg Dempster Association of Head Teachers and Deputes in Scotland
Sarah Else and Gordon Wardrope Fife Council
Phil Jackson Educational Institute for Scotland
Joan McKay Education Scotland
Maureen McKenna Glasgow City Council
Moira Niven West Lothian Council
Eileen Prior Scottish Parent Teacher Council
Ronnie Summers School Leaders Scotland
Hayley Wotherspoon COSLA
Note: Members of the advisory group sat in an advisory capacity only. The content and conclusions of this report are the sole responsibility of Audit Scotland. Page 62
School education
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This publication is printed on 100% recycled, uncoated paper Page 63 Agenda Item 5
ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
Community Services 12th March 2015
Additional Support Needs Review
1.0 EXECUTIVE SUMMARY
1.1 The main purpose of this report is to provide information to elected members of the proposed review of Additional Support Needs (ASN) provision by Education Services and to outline the proposed review methodology, timescales and engagement.
1.2 A planned review of key aspects of ASN provision, scheduled to take place between February and June 2015 aims to ensure that a service is in place which effectively and efficiently meets the needs of all learners in a time of severe financial constraint. The council has a responsibility to discharge its obligations in relation to education legislation, as prescribed in both the Standards in Scotland’s schools etc. Act and the Additional Support for Learning Act and in doing so seek to do this to a high standard. 1.3 The Education (Additional Support for Learning) (Scotland) Act 2004 places duties on local authorities, and other agencies, to provide additional support where needed to enable any child or young person to benefit from education.
1.4 All staff within the Education Service have a responsibility to meet additional support needs. A child or young person with additional support needs is defined under the terms of the Education (Additional Support for Learning) (Scotland) Act 2009 as follows:
A child or young person has additional support needs for the purposes of this Act where, for whatever reason, the child or young person is, or is likely to be, unable without the provision of additional support to benefit from school education provided or to be provided for the child or young person.
1.5 In meeting additional support needs, all professionals should also be aware of the provisions within The Equality Act 2010.
1.6 The Children and Young People (Scotland) Act 2014 is the most recent legislation impacting on services directed at meeting additional support needs. Guidance is emerging at present and will require to be considered alongside the legislative context described above.
1.7 There is a high level of inclusion within Argyll and Bute with children and young people with a wide range of complex and challenging needs effectively
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supported within their local schools. At January 2011, only 47 children and young people from Argyll and Bute were educated in specialist day and residential placements out with the authority. Since that time this number has been further reduced by 50% with approximately 23 children and young people placed in external specialist resources at the present time. This number has remained relatively stable over the last 18 months. Parklands School in Helensburgh is the only free standing special school within the authority. 1.8 Until June 2010, centrally funded support teachers were organised in Area Network Support Teams (ANST) and were line managed by area coordinators. Following a review of ANST arrangements, these teams were disbanded and the support teachers came under the line management of Head Teachers. The Area Coordinators were replaced by Area Principal Teachers (APTs). 1.9 To ensure the success of the inclusive approach to meeting needs, significant resources are targeted directly to schools where staff work together to employing creative and flexible approaches to meeting needs.
2.0 RECOMMENDATIONS
2.1 It is recommended that the Community Services Committee:
a) endorse the approach being taken by Education Services in taking forward the review of Additional Support Needs
b) endorse that Education Services progress an ASN review as outlined in paragraphs 5.2 to 5.6, and
c) request that Education Services presents a progress report for consideration at the Community Services Committee meeting of June 2015.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
Community Services 12th March 2015
Additional Support Needs Review
3.0 INTRODUCTION
3.1 A planned review of key aspects of ASN provision, scheduled to take place between February and June 2015 aims to ensure that a service is in place which effectively and efficiently meets the needs of all learners in a time of severe financial constraint. The council has a responsibility to discharge its obligations in relation to education legislation, as prescribed in both the Standards in Scotland’s schools etc. Act and the Additional Support for Learning Act and in doing so seek to do this to a high standard. 3.2 The Education (Additional Support for Learning) (Scotland) Act 2004 places duties on local authorities, and other agencies, to provide additional support where needed to enable any child or young person to benefit from education.
3.3 All staff within the Education Service has a responsibility to meet additional support needs. A child or young person with additional support needs is defined under the terms of the Education (Additional Support for Learning) (Scotland) Act 2009 as follows:
A child or young person has additional support needs for the purposes of this Act where, for whatever reason, the child or young person is, or is likely to be, unable without the provision of additional support to benefit from school education provided or to be provided for the child or young person.
3.4 The 2009 Education (Additional Support for Learning) Act's reference to school education links both the 1980 Education (Scotland) Act and the Standards in Scotland's Schools etc. Act 2000. The 2000 Act requires the education authority to ensure that school education is directed to the development of the personality, talents and mental and physical abilities of the child or young person to their fullest potential. The 2000 Act established, and the 2004 Act built upon, a ‘presumption of mainstream’, that is, a presumption in favour of providing mainstream education for all children.
3.5 In meeting additional support needs, all professionals should also be aware of the provisions within The Equality Act 2010.
3.6 The Children and Young People (Scotland) Act 2014 is the most recent legislation impacting on services directing at meeting additional support needs. Guidance is emerging at present and will require to be considered alongside the legislative context described above.
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3.7 There is a high level of inclusion within Argyll and Bute with children and young people with a wide range of complex and challenging needs effectively supported within their local schools. At January 2011, only 47 children and young people from Argyll and Bute were educated in specialist day and residential placements outwith the authority. Since that time this number has been further reduced by 50% with approximately 23 children and young people placed in external specialist resources at the present time. This number has remained relatively stable over the last 18 months. Parklands School in Helensburgh is the only free standing special school within the authority. 3.8 Until June 2010, centrally funded support teachers were organised in Area Network Support Teams (ANST) and were line managed by area coordinators. Following a review of ANST arrangements, these teams were disbanded and the support teachers came under the line management of Head Teachers. The Area Coordinators were replaced by Area Principal Teachers (APTs). 3.9 To ensure the success of the inclusive approach to meeting needs, significant resources are targeted directly to schools where staff work together to employing creative and flexible approaches to meeting needs.
4.0 RECOMMENDATIONS
4.1 It is recommended that Community Services Committee
a) endorse the approach being taken by Education Services in taking forward the review of Additional Support Needs
b) endorse that Education Services progress an ASN review as outlined in paragraphs 5.2 to 5.6, and
c) request that Education Services presents a progress report for consideration at the Community Services Committee meeting of June 2015.
5.0 DETAIL
5.1 An initial review of provision of additional support needs was held on 5 th and 6th February 2015. The aim of this review is to ensure that a service is in place which effectively and efficiently meets the needs of all learners as required by legislation set out in the Additional Support for Learning Acts 2004 and 2009. The council has a responsibility to discharge its obligations in relation to education legislation and seeks to do this to a high standard.
5.2 It is proposed that the evaluation/review considers both the areas of policy/practice and budget. With an aim of rationalising the ASN policy and practice framework which meets the demands of current legislative and
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national policy requirements and ensures the continued provision of the most effective and efficient service within the Councils budget requirements.
5.3 The Review group will specifically examine the current model of provision and options in the following five areas;
x staffing cover costs for central funded support teachers and ASN assistants; x allocation process for ASN assistants; x the role and remit of area Principal Teacher x Learning Centres, and x Residential and Day placements
5.4 The Review groups will be comprised of a representative sample of teaching staff from all sectors and areas across the authority area. In addition there will be representation from teaching and non-teaching trades unions and from Social Work. Representatives from Strategic Finance and Human Resources will be on hand to provide appropriate information.
5.5 In addition, two working parties will be established to examine current educational policy around staged intervention and more able pupils. It is anticipated that these working groups will develop an updated policy which, after appropriate consultation, will be adopted as Service policy from August 2015.
5.6 The recommendations arising from the review will be presented to the Community Services Committee in June 2015.
6.0 CONCLUSION
6.1 Undertaking this review will allow the service to consider how effective the current system for identifying and allocating levels of support to meet the needs of children and young people with additional and complex needs.
7.0 IMPLICATIONS
7.1 Policy: The report links directly to Outcome 3 in the Argyll and Bute Single Outcome Agreement (Education Skills and Training maximises Opportunities for All).
7.2 Financial: The delivery of additional support to meet the identified needs of children and young people has considerable financial implications which may be unsustainable going forward and therefore require to be addressed during 2015-16.
7.3 Legal: The council has a responsibility to discharge its obligations in relation to education legislation, as prescribed in both the Standards in Scotland’s schools etc. Act and the Additional
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Support for Learning Act and in doing so seek to do this to a high standard.
7.4 Personnel: The service costs are predominantly in relation to staff costs, future recommendations will take full account of all personnel implications.
7.5 Equalities: In meeting the additional support needs of individual children and young people there is a requirement to be aware of the provisions within The Equality Act 2010.
7.6 Risk: Failure to address any issues arising from the completed review presents potential legal, financial, equalities and reputational risks to the council.
7.7 Customer Service: Addressing the terms of the review of Additional Support Needs provision may be perceived as a detriment to the current levels of service and may be contentious.
Cleland Sneddon Executive Director of Community Services
Councillor Aileen Morton Policy Lead for Education and Lifelong Learning 12 th March 2015
For further information contact: Ann Marie Knowles, Head of Service: Education Tel: 013969 708474 email: [email protected]
Page 69 Agenda Item 6
ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
EDUCATION SERVICE 12 MARCH 2015
OPPORTUNITIES FOR ALL AND YOUTH EMPLOYMENT
1.0 EXECUTIVE SUMMARY
1.1 The main purpose of the report is to provide an update to elected members on the initial School Leaver Destinations Report for Argyll and Bute for 2013/2014. (A further update of the Sustained School Leaver Destination Report may alter these current statistics.)
1.2 Skills Development Scotland (SDS) provides annual information on the destinations of school leavers from publicly funded schools to Scottish Government. A school leaver is classed as a young person of school leaving age who left school during or at the end of the school year. SDS school’s year runs from 1 August 2013 to 31 July 2014. 1.3 Skills Development Scotland are also responsible for providing official statistics on the National Training Programme and the characteristics of each local authority’s unemployed and seeking cohort.
1.4 This main statistical data incorporates three areas:
x The initial School Leaver Destination Return (SLDR) for 2013/14, which covers 947 young people making the transition from the 10 publicly funded secondary schools in Argyll and Bute.
Following four years of steady progress: the overall percentage of leavers entering a positive destination for 2013/14 was 91.0%, a decrease of 1.4% points in comparison to 2012/13. This is 1.3% below the Scottish national average of 92.3%.
Argyll & Bute Council ranked 28th out of 32 local authorities for the percentage of leavers entering a positive destination, this is comparable to Angus and Dumfries and Galloway Councils (the current Argyll & Bute comparator authorities are Angus, Dumfries & Galloway, Highland, Scottish Borders and South Ayrshire Councils).
x The National Training Programme (April 2014 to September 2014): 130 local people started on a national training programme in Argyll and Bute during this time scale, with 453 people participating in a Modern Apprenticeship programme.
x Unemployed seeking 16-19 cohort as of December 2014:
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There were 91 young people unemployed and seeking on the 1 st December 2014.
2. RECOMMENDATIONS
2.1 Community Services Committee is asked to:
x Endorse the actions of Education Services and their partners in progressing Opportunities For All and Youth Employment; x continue to support the local authority focus on Opportunities for All in order to increase young people’s participation in post-16 learning, training or employment through appropriate intervention and support; x Continue to offer assistance and support to our young people, particularly those young people who are Looked After and Accommodated (LAAC) and furthest removed cohort, through the provision of appropriate work placements and training opportunities; x Continue their support and endorse of the delivery of the Commission for Developing Scotland’s Young Workforce recommendations in relation to Argyll and Bute young people, and x Agree that a progress report is presented to Community Services Committee in June 2015.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
EDUCATION SERVICE 12 MARCH 2015
OPPORTUNITIES FOR ALL AND YOUTH EMPLOYMENT
3.0 INTRODUCTION
3.1 The main purpose of the report is to provide an update to elected members on the initial School Leaver Destinations Report for Argyll and Bute for 2013/2014. (A further update by the Sustained School Leaver Destination Report may alter these current statistics.)
3.2 Skills Development Scotland (SDS) provides annual information on the destinations of school leavers from publicly funded schools to Scottish Government. A school leaver is classed as a young person of school leaving age who left school during or at the end of the school year. SDS’s school year runs from 1 August 2013 to 31 July 2014. 3.3 Skills Development Scotland are also responsible for providing official statistics on the National Training Programme and the characteristics of each local authority’s unemployed and seeking cohort.
3.4 This main statistical data incorporates three areas:
x The initial School Leaver Destination Return (SLDR) for 2013/14, which covers 947 young people making the transition from the 10 publicly funded secondary schools in Argyll and Bute.
Following four years of steady progress, the overall percentage of leavers entering a positive destination for 2013/14 was 91.0%, a decrease of 1.4% points in comparison to 2012/13. This is 1.3% below the Scottish national average of 92.3%.
Argyll & Bute Council ranked 28th out of 32 local authorities for the percentage of leavers entering a positive destination, this is comparable to Angus and Dumfries and Galloway Councils (the current Argyll & Bute comparator authorities are Angus, Dumfries & Galloway, Highland, Scottish Borders and South Ayrshire Councils).
x The National Training Programme (April 2014 to September 2014): 130 local people started on a national training programme in Argyll and Bute during this time scale, with 453 people participating in a Modern Apprenticeship programme.
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x Unemployed seeking 16-19 cohort as of December 2014: There were 91 young people unemployed and seeking on the 1 st December 2014.
4. RECOMMENDATIONS
4.1 Community Services Committee is asked to:
x Endorse the actions by Education Services and their partners in progressing Opportunities For All and Youth Employment; x continue to support the local authority focus on Opportunities for All in order to increase young people’s participation in post-16 learning, training or employment through appropriate intervention and support; x Continue to offer assistance and support to our young people, particularly those young people who are Looked After and Accommodated (LAAC) and furthest removed cohort, through the provision of appropriate work placements and training opportunities; x Support and endorse the work of the Argyll and Bute Employability Partnership as appropriate, and x Continue their support and endorse of the delivery of the Commission for Developing Scotland’s Young Workforce recommendations in relation to Argyll and Bute young people, and x Agree that a progress report is presented to Community Services Committee in June 2015.
5.0 DETAIL
SCHOOL LEAVER DESTINATION RETURN 2013/14
5.1 The School Leaver Destination Return (SLDR) is a statistical return undertaken by Skills Development Scotland (SDS) on behalf of the Scottish Government. The initial destination information is normally based on the known status of school leavers on the snapshot date of Monday 6 th October 2014.
5.2 The Education Officer (Learning and Achievement) and Skills Development Scotland spent a considerable period of time during October to December examining the initial school leaver cohort. A number of errors were identified by the local authority, including 35 leavers omitted from the initial 2013/2014 cohort.
Rectifying the data errors meant that the actual final SLDR count date for Argyll and Bute was the 16 th December instead of the 6 th October used for the other 31 local authorities. Unfortunately this impacted on a higher number of young people being classified as subsequently unemployed. We were unable to offer information, advice and help to support them into a positive destination due to their unrecorded status. As a consequence a new procedure is currently being developed by Skills Development Scotland to ensure that all future data recorded includes all young people belonging to the leaver cohort.
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The final figure now recorded against Argyll and Bute is a robust and accurate reflection of the 2013/14 leaver cohort and the appropriate information, advice and help is being directed to our unemployed young people through Skills Development Scotland and other key partner agencies.
5.3 The leaver cohort is followed-up by SDS in February 2015 and examines the number of young people who remain in a sustained positive destination 6 months after the initial report. The Scottish Government then utilise the data which is subsequently published in March to report against the National Indicator ‘Increase the proportion of young people in learning, training or work’.
The following information provides an overview of the progress of Argyll and Bute across each of the national measures:
KEY STATISTICAL INFORMATION YEAR ON YEAR DESTINATION PERCENTAGE SPLIT FOR ARGYLL AND BUTE COUNCIL AND SCOTLAND
Destinations Argyll and Bute Council Scotland 2012/13 2013/14 % point 2012/13 2013/14 % point % % change % % change Higher 37.9 40.3 2.4 36.5 38.6 2.1 Education Further 21.4 19.1 -2.3 27.8 26.3 -1.5 Education Training 3.7 3.5 -0.2 5.0 4.1 -0.9 Employment 29.1 26.9 -1.2 20.4 21.7 1.3 Voluntary Work 0.3 0.5 0.2 0.5 0.4 -0.1 Activity 1.0 0.6 -0.4 1.3 1.1 -0.2 Agreement Unemployed 6.6 7.2 0.6 7.1 6.3 -0.8 Seeking Unemployed 0.9 1.7 0.8 1.2 1.1 -0.1 not seeking Unknown 0.0 0.1 0.1 0.3 0.3 0.0 Positive 92.4 91.0 -1.4 91.4 92.3 0.9 Destinations Total Leavers 874 947 52,792 51,876
SUMMARY
x Of the 947 leavers 492 were male and 455 female. 93.6% (426) of females entered a positive destination compared to 88.6% (436) of males.
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67.9% of females continued with their studies post school compared to 51.6% of males and 36.0% of males entered employment or training compared to 24.4% of females. Importantly we know that Males are two and half times (71%) as likely to be unemployed and seeking employment, training or further education compared to females (29%).
x Generally, leavers who live in the more deprived areas are less likely to enter positive destinations on leaving school than those from the less deprived areas – 11% Scottish Index of Multiple Deprivation 2 (SIMD 2) compared to 1% (SIMD 9). Leavers who live in the less deprived areas are more likely to enter higher education in comparison to those leavers who live in more deprived areas – 53% from SIMD 9 compared to 21% from SIMD 2.
x Those young people who leave school at the earliest possible transition point are increasingly likely to enter a negative destination. This is particularly evident for those young people who are statutory winter leavers – who are almost three times more likely to be reported as unemployed seeking (17%) than a post statutory leaver. Despite this they account for only 5.9% of the whole SLDR cohort.
x This year, 40.3% (382) of leavers entered Higher Education and studied a course at Higher National Certificate level or above. This is 2.4 percentage points higher than last year and the highest percentage recorded for Argyll and Bute. The most popular university was Glasgow Caledonian University: 13.1%, followed by Strathclyde University: 12.8%. 6.8% of young people chose to study at the University of the Highlands and Islands. City of Glasgow was the top college with 46.2% and 14.0% opted for Glasgow Kelvin College. West College Scotland, including Clydebank, Reid Kerr and James Watt campuses enrolled 10.8% of our leaver cohort.
x The top subject areas young people chose to study included Arts and Social Science (17.1%), Science and Mathematics (12.5%), Performing Arts (8.4%) and Engineering (7.6%).
x 172 young people have chosen to study a range of non-advanced courses at further education colleges – 27.8% at Argyll College UHI and 35.2% at West College Scotland. The most popular courses included Social, Caring & Advisory (19.2%); Hospitality, Catering & Tourism (11.0%); Hairdressing and Beauty (8.7%), and Animals, Land and Environment (8.1%).
x 255 young people entered employment, with the top occupational areas for males being Construction (22.4%) and Hospitality & Catering (18.4%) while females chose Hospitality & Catering (48.5%) and Retail, Sales and Marketing (20.2%).
x For those who are recorded as “unemployed not seeking” 50.0% are unavailable to work due to ill health, 37.5% are not yet ready to enter
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employment, education or training, and the remaining 12.5% are choosing not to enter employment, education or training. Only 1 school leaver had no known destination at the time of the SLDR.
x Three of the 10 secondary schools recorded lower destination figures than the Argyll and Bute average. These are Dunoon Grammar School (88.2%), Hermitage Academy (88.8%) and Rothesay Academy (90.1%). This position may change following the publication of the follow up statistics scheduled for March 2015.
5.4 NATIONAL TRAINING PROGRAMMES
Individuals in Argyll and Bute are provided with opportunities to access training courses through the Employability Fund at Stages 2, 3 and 4 and through the Modern Apprenticeship Programme. The following data was published by Skills Development Scotland on the 4 th November 2014 and relates specifically to the first two quarters of session 2014/15.
During the period 01/04/14 – 26/09/14, 443 young people from Argyll and Bute participated in a Modern Apprenticeship course – 278 were aged 16-19, 101 were aged 20-24 and 64 were aged 25 or over. There were 121 new starts (58 aged 16-19, 37 aged 20-24 and 26 aged 25+) and 138 leavers (76 aged 16-19, 40 aged 20-24 and 22 aged 25+). From the leaver cohort 69% achieved their Modern Apprenticeship qualification – 70% aged 16-19, 65% aged 20-24 and 73% aged 25+).
Individuals can access the Employability Fund at Stage 2 if they have little or no understanding of the world of work, Stage 3 have had some experience of the world of work, while Stage 4 are looking to develop vocational skills in a specific career area. During the first two quarters Argyll and Bute had 130 individuals start on an Employability Fund programme – 33 at Stage 2, 57 at Stage 3 and 40 at Stage 4.
5.5 UNEMPLOYED 16-19 YEAR OLDS - UNEMPLOYED SEEKING
On 1 st December 2014, 91 young people were unemployed and seeking employment across Argyll and Bute. This statistic can be broken down as follows:
Age Male Female Total Age No % No % No % 15/16 14 74 5 26 19 21 17 19 61 12 39 31 34 18 27 79 7 21 34 37 19 3 43 4 57 7 8 Total 63 69 28 31 91 100
Each young person has their progress from school to post-school destination tracked. This is referred to as the customer journey. Of the 91 young people unemployed at the count date 63 (69%) had secured at least one positive destination since leaving school.
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78% of the group had been unemployed and seeking for 0-3 months, 15% had been seeking for 3–6 months and 6% had been seeking for 6-12 months. No one had been seeking for longer than 12 months.
Our unemployed seeking hotspots are outlined in the table below:
Data Zone No % Dunoon 10 11 Hunter’s Quay 9 10 Campbeltown 8 9 Garelochhead 8 9 Helensburgh North 7 8 Oban South 7 8 Bute 5 5 Greater Lochgilphead 5 5 TOTAL 59 65
6.0 CONCLUSION
6.1 Key partner agencies, including secondary schools, Community Learning and Development (CLD), local colleges, Skills Development Scotland and the third sector, will continue to work together during 2015/16 to ensure young people are able to access appropriate post-16 education, training and employment that meet their needs and supports young people to make an initial, and hopefully sustained, post-school destination.
6.2 The Opportunities for All partner agencies have agreed on the following key actions during 2014/15:
x Support secondary schools to further develop a senior phase curriculum that meet the needs of all individuals and include Skills for Work and Partnership Qualifications; the senior phase curriculum will be referenced to local economic development plans to highlight growth sectors and skill shortages; the senior phase curriculum will include the opportunity for appropriate work placements.
x Continued support and promotion of the Activity Agreement Programme. Activity Agreements (AA) play a vital role in engaging and reengaging young people in learning, to help support them towards and in to work. Young people are supported on their Activity Agreement journey by a Trusted Professional. To date there have been 100 referrals to the AA programme, 73 young people have engaged and we are currently working with 18 clients. Over 61% of the AA cohort receives an Education Maintenance Allowance (EMA), 11% are parents, 28% are Looked After and Accommodated Children (LAAC) or Care Leavers and 28% of the current cohort are experiencing poor Mental Health.
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x Development of Argyll and Bute Council Modern Apprenticeship programme to support young people to complete Modern Apprenticeship training and gain an appropriate qualification. Currently 10 new MA opportunities are advertised with 7 filled.
x Development of summer internship opportunities for Looked After and Accommodated children and young people (LAAC) and those young people furthest removed from the labour market, including the development of appropriate procedures – 2 LAAC young people from Strachur and Helensburgh were involved in the summer 2014 pilot and have moved into positive and sustained post-school destinations.
x Working in partnership with SDS to ensure Argyll and Bute data held on SEEMiS and the national Data Hub is robust and accurate.
x Developing an Argyll and Bute approach to the 39 recommendations identified by the Commission for Developing Scotland’s Young Workforce.
x Further development of the Argyll and Bute Employability Partnership (ABEP membership Appendix 1) Youth Employment Activity Plan (YEAP), a working document that identifies how Argyll and Bute is strengthening the links between education, employment and training to create economic growth.
x Engaging with HubNorth to ensure suppliers and contractors involved in the new school builds will provide training, work experience and jobs for young people through its purchase of goods and services.
7.0 IMPLICATIONS
7.1 Policy : This report links directly to Outcome 3 in the Argyll and Bute Single Outcome Agreement (Education Skills and Training Maximises Opportunities for All).
7.2 Financial : Continued funding from the Youth Employment Fund for work placements for Looked After and Accommodated Young People and for LAC and Activity Agreement clients progressing through the Employability Fund using council based placements is maintained as a priority.
7.3 Legal: None.
7.4 HR: HR support for work placement and modern apprenticeship opportunities.
7.5 Equalities: The Opportunities for All programme and the Commission for Developing Scotland’s Young Workforce recommendations actively seeks to address disadvantage.
7.6 Risk: Failure to support young people into positive destinations will impact on
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the life chances of young people across the local authority area and may result in outward migration of young people.
7.7 Customer Service: this report provides elected members with an overview on Service performance.
Cleland Sneddon Executive Director of Community Services
Councillor Aileen Morton Policy Lead for Education 29 th January 2015
For further information contact: Ann Marie Knowles, Head of Service Education, Argyll House, Alexandra Parade, Dunoon Email: [email protected] Telephone: 01369 7084
APPENDICES: APPENDIX 1 - EMPLOYABILITY PARTNERSHIP MEMBERSHIP
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APPENDIX 1
EMPLOYABILITY PARTNERSHIP MEMBERSHIP
Argyll College Argyll Training Argyll and Bute Council – including representatives from the Economic Development Service (Business Gateway, Employability Team, and Social Enterprise Team), Community Services (Community Learning and Development, Education and Opportunities for All) Highlands and Islands Enterprise (HIE) JobCentre Plus (JC+) Skills Development Scotland (SDS) NHS – Community Health Partnership Argyll and Bute Social Enterprise Network (ABSEN) Argyll Voluntary Action (AVA) Local Business Associations/Groups.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
Community Services: Education 12 MARCH 2015
Instrumental Music Service Position Paper
1.0 EXECUTIVE SUMMARY
1.1 The main purpose of this position paper is to; a) Present an update on the £110k Instrumental Music Service saving which was agreed as part of the budget decisions of Council in February 2011. This decision agreed a reduction in the Instrumental Music Service budget of £110k to be achieved in 2011/12; b) Note the current cost pressure associated with the delivery of the existing level of service and subsequent service challenges in achieving the agreed saving, and c) Seek approval that as part of the planned Service Choices programme further consideration will be given to the longer term level of instrumental music tuition services provision.
1.2 Challenges faced in securing the agreed saving:
As part of the initial budget decision (February 2011) a number of options were explored. One option included the transfer of the music service and all staff to a new social enterprise company. However, following investigation it was concluded that this option was not able to be delivered either financially or sustainably. Steps have been taken since 2012 to achieve the agreed savings. However, due to service constraints the agreed savings have not been achieved. These include: x Existing teaching contractual terms and conditions of the music tutors, which includes a no redundancy policy for teaching staff, and x The set tuition levels for pupils as agreed within the instrumental music tuition policy.
In the absence of the saving, the Education Service has continued to meet the financial pressure within the existing wider service budget. However this has applied pressure to other areas of the Service. Page 82
2.0 RECOMMENDATIONS
2.1 It is recommended that Community Services Committee:
a) Notes the background to the Instrumental Music Service and in particular the approaches previously taken to deliver the agreed £110k savings for the service; b) Notes the current cost pressure associated with the delivery of the existing level of service, and c) Agrees that as part of the planned Service Choices programme consideration will be given to the longer term level of Instrumental Music Tuition Services provision. Page 83
ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
Community Services: Education 12 MARCH 2015
Instrumental Music Service Position Paper
3.0 INTRODUCTION
3.1 The main purpose of this position paper is to: a) Present an update on the £110k Instrumental Music Service saving which was agreed as part of the budget decisions of Council in February 2011. This decision agreed a reduction in the Instrumental Music Service budget of £110k to be achieved in 2011/12; b) Note the current cost pressure associated with the delivery of the existing level of service and subsequent service challenges for achieving the agreed saving, and c) Seek approval that as part of the planned Service Choices programme further consideration will be given to the longer term level of instrumental music tuition services provision.
3.2 Challenges faced in securing the agreed saving:
As part of the initial budget decision (February 2011) a number of options were explored. One option included the transfer of the music service and all staff to a new social enterprise company. However, following investigation it was concluded that this option was not able to be delivered either financially or sustainably. Steps have been taken since 2012 to achieve the agreed savings. However, due to service constraints the agreed savings have not been achieved. These include: x Existing teaching contractual terms and conditions of the music tutors, which includes a no redundancy policy for teaching staff, and x The set tuition levels for pupils as agreed within the instrumental music tuition policy.
In the absence of the saving, the Education Service has continued to meet the financial pressure within the existing wider service budget. However this has applied pressure to other areas of the Service.
3.3 The current budget provision for the Instrumental Music Service is summarised as follows: x Excluding the budget saving target of £109,538, the current 2014/15 net budget for the service is £429,158 which includes an agreed charging policy income planned to generate £96,279, plus a management fee income of Page 84
£15,000 from the YMI grant; x With the agreed savings target applied, the net budget is £319,620 (i.e. £430,899 expenditure less £111,279 income); x The majority of service costs are staff related costs. Currently the service employs 15.5FTE music instructors on teachers’ terms and conditions. 2 of these FTE posts, as previously identified, are funded through YMI grant income and the Argyll Piping Trust. The remaining 13.5 posts are funded by the (Education) Instrumental Music Service budget, and x 12.3FTE post holders are permanent employees, with the remaining 3.2FTE currently employed on temporary contracts.
Despite the fall in pupil numbers, uptake in instrumental tuition has increased in the last four years and significantly over the last two years as follows:
No. of Pupils Year Participating 2010/2011 1122 2011/2012 1129 2012/2013 1258 2013/2014 1423/1503* This represents 14% of the young people. *There are 80 children in the Helensburgh Mubu in addition to the schools based tuition.
The Instrumental Music Instruction Service is a popular service with pupils and parents. Addressing the previously agreed budget decision will be perceived as a detriment to the current levels of service and may be contentious. This is not a universal service however and failing to address the budget deficit would have an impact on all pupils in Argyll and Bute.
3.4 Elements of the service are funded through Grant Funding allocated through the Scottish Government’s Youth Music Initiative (YMI). This funds 2 Full Time Equivalent posts (2FTE) to be delivered within Formula Fund Year Guidelines, as directed by Creative Scotland. All funding allocated through the YMI must be used in adherence to strict terms and conditions.
3.5 An Instrumental Music Implementation Group (IMG), formed by Scottish Government in June 2013, published a series of recommendations. These have been either fully or partly accepted. Within Theme 1 of the IMG report, the values and benefits music education and instrumental music tuition are discussed. Furthermore, the group is currently developing a National Vision Statement for music education and the distinctive role it plays.
4.0 RECOMMENDATIONS
4.1 It is recommended that Community Services Committee:
a) Notes the background to the Instrumental Music Service and in particular the Page 85
approaches previously taken to deliver the agreed £110k savings for the service; b) Notes the current cost pressure associated with the delivery of the existing level of service, and c) Agrees that as part of the planned Service Choices programme consideration will be given to the longer term level of Instrumental Music Tuition Services provision.
5.0 IMPLICATIONS
5.1 Policy: The position paper links directly to Outcome 3 in the Argyll and Bute Single Outcome Agreement (Education Skills and Training maximises Opportunities for All).
5.2 Financial: Education Services have an unrealised saving of £110,000 in relation to instrumental music instruction which is unsustainable going forward and needs to be addressed.
5.3 Legal: None.
5.4 Personnel: The service costs are predominantly in relation to staff costs.
5.5 Equalities: None.
5.6 Risk: Failure to address the issues highlighted within this paper presents potential financial, equalities and reputational risks to the council.
5.7 Customer Service: The Instrumental Music Service is a popular service with pupils and parents. This is not a universal service however and failing to address the budget deficit would have an impact on all pupils in Argyll and Bute.
Cleland Sneddon Executive Director of Community Services
Councillor Aileen Morton Policy Lead for Education and Lifelong Learning 12 March 2015
For further information contact: Ann Marie Knowles, Head of Service: Education Argyll House, Alexandra Parade, Dunoon, PA23 8AJ Email: [email protected] Telephone: 01369 708474 Page 86
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 TH MARCH 2015
PERFORMANCE REPORT FQ3 2014-2015
1.0 EXECUTIVE SUMMARY
1.1 This report presents to the Community Services Committee the Community Services Performance Scorecards for FQ3 and asks Members to review performance for the quarter.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 TH MARCH 2015
PERFORMANCE REPORT FQ3 2014-15
2.0 INTRODUCTION
2.1 This report presents to the Community Services Committee the Community Services Performance Scorecards for FQ3 and asks Members to review performance for the quarter.
3.0 RECOMMENDATIONS
3.1 It is recommended that the Community Services Committee review departmental performance for FQ3.
4.0 DETAIL
4.1 Community Services performance scorecards for FQ3 2014-15 is attached for review by the Committee.
6.0 IMPLICATIONS
6.1 Policy: None. 6.2 Financial: None. 6.3 Legal: None. 6.4 HR : None. 6.5 Equalities: None. 6.6 Risk: None. 6.7 Customer Service: None.
Executive Director of Community Services Cleland Sneddon 12 th March 2015
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For further information contact:
Helen MacLeod Executive Support Officer Tel: 01546 604127
APPENDICES
Appendix 1: FQ3 Performance report and scorecards – Community Services
Departmental performance report for Community Services period October to December 2014 Key Successes x Zero older people waited longer than 4 weeks for a free personal care package to be put in place within their own homes. x Decrease in the average number of days between an initial referral and an Adult Protection case conference taking place to 2 days. x Agreement from the Policy and Resources Committee to develop a new children’s home at Dunclutha in Dunoon. x 100% of care leavers with a pathway plan. x 100% of children on the Child Protection Register with a current Risk Assessment. x 63 new affordable specially designed new homes and affordable social sector new builds were built along with 60 empty homes being brought back into use. x Agreement from the Community Services Committee to invest £361,000 towards building 5 new houses for rent in Islay.
The first houses to be built for rental purposes on the island for over 30 years. Page 90 x An increase in the number of adults achieving accredited learning outcomes through community based adult learning from 53 to 173 over the period. x 100% positive HMIE school evaluations for primary schools. x 100% of timescales for Statutory Coordinated Support Plans met. x Cardross Primary School won Microsoft’s Kodu Kup for designing a computer game using Microsoft software. x Excellent results in the recent Mystery Shopping Exercise for Customer Care. x Announcement that 5 projects from Community Services are guaranteed a Bronze award at this year’s national COSLA Awards.
Key Challenges x Progressing the integration of Health and Social Care Services. x Overall numbers of delayed discharge clients are slightly above target due to the increasing number of admissions to hospital and Adults With Incapacity cases that require a court process prior to discharge. x Reducing the number of days lost through sickness absence across Community Services. x Preparation for the Joint Inspection of Older Persons health and social care services. x Implementation of Children and Families Service Review and Education Management Review. x Maintaining the Community Payback Order service within Oban and Mid Argyll given staffing turnover and vacancies.
x Recruitment of foster carers. x Increasing the percentage of children on the Child Protection Register (CPR) with a completed Child Protection (CP) plan, which has remained under target for the last 2 quarters, reflecting the increasing levels of quality assurance activity prior to signing off completed plans. x The success of securing permanent places (adoption) for looked after children has impacted the number of foster families available to take placements. x The percentage of children affected by disability receiving community based support has reduced, this is a reflection of the unexpected trend towards greater numbers of service users choosing residential respite rather than community based support. x Increasing participation in sport and athlete development within restricted budgets. x Delivery of Commonwealth Games Legacy Plan within existing resources. x Monitoring the allocation of Registered Social Landlord (RSL) lets to homeless households. However it is worth noting that this is partly attributable to the increase in the number of new housing completions in the quarter. x Reviewing the implementation of the new National Qualifications. x Meeting the requirements of current and new legislation e.g. Self Directed Support Act, Children and Young People’s Act Page 91 2014, etc. x Recruitment issues for both in house and commissioned care at home services impacting on range of care options available in certain areas x Demographic changes giving rise to growth in service demand. x Achieving target for the completion of PDRs during the quarter. Please note that all teaching staff are now subject to The Professional Update process as part of their professional registration. This process replicates the PRD process for teaching staff and therefore the PRD figures for both Education and the wider Community Services reflects this. Action points to address the challenges x Timescale for integration has been established as April 2015. A body corporate model has been agreed with the scope of the partnership currently being decided. Shadow board to be established imminently, project team established and Chief Officer post appointed. x A development session facilitated by the Joint Improvement Team (JIT) in September 2014 will be followed through with the assistance of the JIT during the first half of 2015. x Continue to work to ensure that return to work interviews are completed for all periods of sickness absence by targeting individual Managers and Team Leaders in the context of performance. Staff to be offered appropriate support in the management of this issue. x Ensuring there is appropriate resource in place for the preparation for the Joint Inspection of Older Persons health and
social care services. x Recruiting and retaining staff who focus on developing consistency and quality. x Continue to work with the Council’s HR service to advertise and recruit into vacant posts within the Oban and Mid Argyll areas. x The Fostering and Adoption service is currently undertaking a recruitment campaign. Preparation for foster carers is being run throughout Argyll and Bute however it will take 6 months before new carers are approved by the Fostering and Adoption Panel. x There are currently 21 families going through the assessment process which will enhance the capacity for foster placements and permanency for looked after children. x Improvement of quality assurance procedures prior to final sign off for Child Protection Plans. Practice Leads will review the quality of plans with frontline staff. x Continue to support service users to express personal choice through the implementation of Self Directed Support. x Discussions being held with COSLA in relation to rural transport costs and 2014 Legacy in relation to athlete development
and support. Page 92 x Ongoing discussions taking place with RSL partners to ensure homeless households maintain priority in relation to future allocations. x Work in partnership with schools, clubs and communities to maximise use of volunteers and resources. x Continue to support work on curriculum design to reflect the new Curriculum for Excellence framework and training on the new secondary benchmarking toolkit. x Produce a programme of awareness and training sessions on the implication of the legislation. Work closely with colleagues in amenity services to produce a plan of action for the implications of Free School Meals for P1-P3. x Working with IRISS along with commissioned care at home providers to better coordinate resources and to improve recruitment into care at home posts. x Ongoing service redesign (all care groups) to try to mitigate growth in service demand. x The Improvement and Organisational Development service will liaise with Education to figure out how the issue mentioned above is best reflected in next year’s scorecard.
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Head of Adult Care Update –FQ3 x Adult Protection activity across Argyll and Bute continues to grow with an increasingly wider range of referral sources which is encouraging as it highlights agreater knowledge of the issues within the community. Anational publicity campaign is presently being run by the Scottish Government and includes information on national television, local and national radio as well as updated leaflets and posters. This is supplemented by local publicity and information on the Council website. Each area has amulti Ͳagency Area Development Forum that drives the agenda from an operational perspective and links with the Adult Protection Committee x The Strategic Home Care Group discussed at December Community Services Committee has met for the first time. It is encouraging that the Independent sector is showing aclear commitment to resolving issues relating to conditions of services, recruitment processes and astrategic approach to service delivery and planning. Home Care waiting list has fallen to atotal of 19 for the first week February compared with the 37 reported for 6th October at the
x Page 95 previous Committee. Each case is subject to a4weekly review and re Ͳassessed as appropriate x Delayed Discharge performance continues to be good in relation to national performance. However, given the continued drive to reduce delays further we are working alongside the Joint Improvement Team in order to improve our performance on an ongoing basis. x The national Change Fund to support the development of Older People’s services in the community has come to aconclusion. This has resulted in adisinvestment in residential and nursing care beds and arecurring investment in community services in partnership with the NHS, Independent and Voluntary sectors and Carer’s Groups of £695k x Joint Inspection of Older Person’s Services across Health &Social Care has been announced for Argyll &Bute. The formal notice was provided on the 4th February. Inspectors plan to be in Argyll &Bute from the 27 th April.
Head of Children and Families Update –FQ3 x Child protection activity across Argyll and Bute varies however, in general, is reducing. Commissioned research to explore why. x Permanence –securing along term home for achild in care. There are difficulties with the process and finding families. x Fostering and adoption –impact of recruitment difficulties on team and implication for services without sufficient care within Argyll and Bute. We may need to go for external foster placements this has significant impact on the budget. x Impact of Children and Young People Act on Council’s statutory duties will be significant, however, elements of finance to support implementation still unknown. Potential risks to Council for kinship, and throughcare in failing to undertake statutory duty. Page 96 x Family Pathway, early intervention strategy in Argyll and Bute offers opportunity for all partners to track and support achild from birth providing additional support as required. It has been piloted Kintyre and the pathway could change how we will deliver services now in the future. x Multi Agency Public Protection (MAPPA) the process to support and manage sex offenders has been extended to high risk violent offenders, there are no additional resource and this impacts on all partner capacity (Social Work, police, housing).
Head of Community and Culture Update –FQ3 x Community Planning Ͳ the Governance of the Community Planning Partnership (CPP) was reviewed and agreed in October 2014. Following this Scottish Enterprise and Skills Development Scotland became members of the CPP Management Committee joining other key partner organisations including NHS Highland, HIE, Argyll College, Police, Fire and the council. x Housing Ͳ The major new build sites at Hermitage and Glenshellach were completed by Dunbritton HA and ACHA respectively and 91 households moved into new affordable housing. x Libraries –preparatory work was undertaken on an application to Macmillan Cancer Support for funding to roll out the MCISS to all remaining libraries (plus 5island locations) over the next 3years. Our application was strengthened by an excellent evaluation report, compiled by UHI, of Phase 1of the project (this report was published in September 2014). As we now know Macmillan Cancer Support has awarded us £300,000 to undertake Phase 2of the project.
Page 97 x Leisure and Sport Services have been working closely with sportscotland and NHS partners to develop anew Framework for Sport and Leisure to replace the existing SPA Strategy 2009 Ͳ2015. Sportscotland are working with all local authority partners to ensure that the strategic planning reflects the outcomes of the SOA and to ensure that as many CPP partners are involved as possible. The draft Framework is now completed and the service is developing appropriate KPIs to tie into Pyramid and SOA reporting. x The Council’s Adult Learning service was asked to be part of aproject sponsored by three Housing Associations and Lottery funding to deliver tutored IT and employability sessions in rural locations. However, the sessions required to be in Council premises for internet safety purposes Ͳ so using rural primary schools as the venue (after school hours) seemed to be best solution; the only work needed being aslight upgrade to the ABC Guest wi Ͳfi. To date, sessions for adults have already been successfully implemented in Rosneath, Bunessan, Ulva, Bowmore and Tobermory primaries, and are about to start in Strachur, Lochgoilhead, Dunbeg, Furnace, Port Charlotte, Port Ellen and Lochnell. Referrals for the Housing Association tenants and Job Centre Plus are apriority, but are open to anyone over 16 who wishes to attend.
Head of Education Update –FQ3 Key Achievements: x Curriculum for Excellence: Implementation of Curriculum for Excellence: very good progress continues to be made in implementing the goals of Curriculum for Excellence. Argyll and Bute schools have in place clear curriculum plans supported with clearly defined curriculum principles and rationale. Secondary schools have successfully implemented New National Qualifications, with Senior Phase pupils (S4 to S6) engaged in abroad range of curricular qualifications, supported to engage in wider opportunities. The outcome of the first diet of New national qualifications was presented to Community Service Committee in December 2014, incorporating anumber of recommendations aimed at further improving outcomes for all learners. x Literacy and Numeracy: Literacy and Numeracy continues to be an area of focused attention for Education Services. The annual assessment of reading, a core component of Literacy, for all P4 pupils (Suffolk Reading Assessments) is demonstrating improvement
Page 98 for anumber of Argyll and Bute pupils. x Pupil Attendance: Overall attendance rates for both primary and secondary pupil’s remains relatively consistent with primary pupil’s attendance at 95.5% while secondary pupil attendance rates are currently 92.4%. x Exclusion Incidents: Incidences of Secondary school exclusion continue to decrease, with 22.9 exclusions per 1000 pupils, down from 37.2 in session 2013/2014. x Positive School leaver Destinations :overall good progress continues to be made in ensuring the all school leavers are actively supported to secure and maintain apositive school leaver destination. The overall percentage of leavers entering apositive destination for 2013/14 was 91.0%, adecrease of 1.4% points in comparison to 2012/13. This is 1.3% below the Scottish national average of 92.3%. x Education Management Team re Ͳstructure :the successful restructuring of the Education Management Team has now been concluded.
Development Areas:
Anumber of priority development areas have been agreed for implementation in the remainder of session 2014/ 2015 and into 2015/2016. These include: x Continue to progress the New National Qualifications across all Argyll and Bute Secondary Schools. Particular attention will be paid to the introduction of the New Highers, and take forward aprogramme of school visits to discuss detailed analysis and predictions for the next examination period; x Secure further improvement across all curriculum subjects through effective working with secondary schools, specifically with subject departments, to develop robust and consistent use of INSIGHT over session 2015/2016; x Further develop the work of the literacy and Numeracy groups, with the specific aim of identifying actions which will assist in further improving literacy and numeracy outcomes for all pupils; x Continue to support the local authority focus on Opportunities for All in order to increase young people’s participation in post Ͳ16 learning, training or employment through appropriate intervention and support; Page 99 x Support and endorse of the delivery of the Commission for Developing Scotland’s Young Workforce recommendations through the work of the Strategic Leadership Development Programme 4(SLDP4) Group and the Employability Partnership, and x Further progress the requirements for Languages in Scotland: A1+2 Languages Approach to be delivered in Argyll and Bute Schools by 2020.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 th MARCH 2015
EXTERNAL INSPECTION / AUDIT REPORTING: JULY TO DECEMBER 2014
1.0 EXECUTIVE SUMMARY
1.1.1 This report provides details of all external inspection / audit reports received within Community Services during the period 1st July to 31 st December 2014.
1.2 There were 13 reports received within Community Services during the period and for these 13 reports, 9 ratings were given by Education Scotland and 47 rating were given by the Care Inspectorate. Of this figure 95% were rated as good or above, this is an increase of 17% from the previous 6 month period within which 78% were rated as good or above.
1.3 It is recommended that the Community Services Committee note the content of this report and appendix 1 attached.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 th MARCH 2015
EXTERNAL INSPECTION / AUDIT REPORTING: JULY TO DECEMBER 2014
2.0 SUMMARY
2.1 This report provides details of all external inspection / audit reports received within Community Services during the period 1st July to 31 st December 2014.
3.0 RECOMMENDATION
3.1 The Community Services Committee are asked to note the contents of this report and appendix 1 attached.
4.0 DETAIL
4.1 A detailed summary of all external inspection / audit reports received for the period July to December 2014 are provided in appendix 1 .
4.2 There were 13 external inspection / audit reports received for the period July to December 2014 and these can be compared on a service basis as follows;
Service Jul – Dec 2014 Adult Care 7 Children and Families 5 Community and Culture 0 Education 1 TOTAL 13
4.3 There were 47 ratings given by the Care Inspectorate over the period, they are as follows:
Rating No. of ratings for % overall No. of ratings for % overall July to Dec 2014 ratings Jan to Jun 2014 ratings Excellent 4 9% Very Good 18 38% 4 100% Good 24 51% Adequate 1 2% Weak Unsatisfactory TOTAL 47 100% 4 100% 2 Page 103
4.4 There were 9 ratings given by Education Scotland over the period, they are as follows; Rating No. of ratings for % overall No. of ratings for % overall July to Dec 2014 ratings Jan to Jun 2014 ratings Excellent 1 2% Very Good 17 42% Good 7 78% 14 34% Satisfactory 2 22% 9 22% Weak Unsatisfactory TOTAL 9 100% 41 100%
4.5 For the period July to December 2014 there were 56 ratings given in total from Education Scotland and the Care Inspectorate. Of these ratings 53 (95%) were rated as good or above, this is an increase of 17% from the previous 6 month period within which 78% were rated as good or above.
5.0 CONCLUSION/SUMMARY
5.1 In summary, a total of 13 external inspection reports were received for the period July to December 2014 and of the 56 ratings given by Education Scotland and the Care Inspectorate 95% were rated as good or above, an improvement of 17% from the previous 6 month period.
6.0 IMPLICATIONS
6.1 Policy: None. 6.2 Financial: None. 6.3 Legal: None. 6.4 HR: None. 6.5 Equal Opportunities: None. 6.6 Risk: None. 6.7 Customer Service: None.
Cleland Sneddon Executive Director
13 February 2015
For further information contact: CS Directorate Community Services 01546 604451
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Appendix 1 – Summary Reports
Adult Care
Report Title: Lochgilphead Resource Centre Inspection Agency: Care Inspectorate Overall Ratings: Quality of care and support 6 Excellent Quality of environment 4 Good Quality of staffing 4 Good Quality of management and leadership 4 Good Main Strengths x The quality of participation and inclusion around care and support in the service is excellent and this is a view that was shared by the people using the service. x The choices, views and ideas of the people using the service is consistently promoted by the provider and the local staff team. x The way that people are empowered and supported with their physical and mental health needs, educational support and social wellbeing was also excellent. Areas for improvement x The quality of the outside of the building used by the service must be improved and problems with the boiler and emergency lighting must be addressed. x The frequency of staff supervision and the content of staff appraisals. x The way that the self-assessment document is completed. Date of Inspection: 29 th August 2014 Lead Officer to take forward improvement: Unit Manager – Ann Anderson
Report Title: Thomson Court Day Care Inspection Agency: Care Inspectorate Overall Ratings: Quality of care and support 5 Very Good Quality of environment 4 Good Quality of staffing 5 Very Good Quality of management and leadership 5 Very Good Main Strengths x Provides a valued service to service users and relatives. x Feedback from service users was very positive and they spoke highly of staff and the friends they had made at the centre. x Staff were found to be enthusiastic and friendly and were knowledgeable of service users’ needs and preferences. Areas for improvement x Some refurbishment and redecoration of the environment would improve the experience for service users. x Care and support planning should be reviewed and updated to reflect the current best practice. Date of Inspection: 23 rd September 2014 Lead Officer to take forward improvement: Unit Manager – Jim Thorpe
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Report Title: Thomson Court Care Home Inspection Agency: Care Inspectorate Overall Ratings: Quality of care and support 5 Very Good Quality of environment 5 Very Good Quality of staffing 5 Very Good Quality of management and leadership 4 Good Main Strengths x Provides a valued service to residents and relatives. x The service has a small homely atmosphere and residents like living here, they were happy with their environment. x Staff and management are committed to providing a quality service. Areas for improvement x The manager and staff could further develop care planning and assessments. x The participation and operational improvement plan continues to require further work to make it more robust. Date of Inspection: 20 th August 2014 Lead Officer to take forward improvement: Unit Manager – Sheila Scott
Report Title: Eadar Glinn Residential Home Inspection Agency: Care Inspectorate Overall Ratings:
Quality of care and support 6 Excellent Quality of environment 4 Good Quality of staffing 6 Excellent Quality of management and leadership 6 Excellent
Main Strengths x The well-established care staff continue to offer excellent care and support to service users and are committed to providing good care while remaining open to change.
Areas for improvement x The care plans sampled contained an excellent level of detail. However, individual strengths and skills could be highlighted more within them.
Date of Inspection: 14 th November 2014 Lead Officer to take forward improvement: Unit Manager – Mary Gardiner
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Report Title: Tigh-a-Rudha Residential Home Inspection Agency: Care Inspectorate Overall Ratings: Quality of care and support 4 Good Quality of environment 3 Adequate Quality of staffing 4 Good Quality of management and leadership 4 Good Main Strengths x The residential home offers a caring, supportive environment for older people on Tiree which is greatly valued by the local community. x The service provides individualised support to service users and each person is involved in the planning and reviewing of their own care. x Staff are very caring in their approach to the people they support and they know their needs and wishes very well. Areas for improvement x The previous inspection showed that some aspects of the service need to be improved. The environmental issues have been dealt with and some areas of the home had been refurbished. Work is ongoing with the development of accountable care plans. Date of Inspection: 20 th October 2014 Lead Officer to take forward improvement: Unit Manager – Liz Griffiths
Report Title: Gortanvogie Residential Home Inspection Agency: Care Inspectorate Overall Ratings: Quality of care and support 4 Good Quality of environment 4 Good Quality of staffing 4 Good Quality of management and leadership 4 Good Main Strengths x The service is greatly valued by the local communities of Islay and Jura. x Staff were caring in their approach and that they understood service users’ needs very well. x Family members and friends are made welcome in the care home and encouraged to be involved as much as possible. x There are good links with health professionals and people’s health needs are well met. x The manager and staff in Gortanvogie have shown high levels of commitment to improving the service. Areas for improvement x The process of updating care plans in ongoing. A more consistent approach to forward planning at reviews would be beneficial to service users and support people to feel more in control of their daily lives. x Although some improvements have been made in the way communal space is used, this could be improved to offer more stimulating lifestyles for service users. Date of Inspection: 11 th August 2014 Lead Officer to take forward improvement: Unit Manager – Shona Hutchinson
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Report Title: Ardfenaig Residential Home Inspection Agency: Care Inspectorate Overall Ratings: Quality of care and support 4 Good Quality of environment 4 Good Quality of staffing 4 Good Quality of management and leadership 4 Good Main Strengths x Ardfenaig offers a positive, supportive environment for older people in the Mid Argyll area which is greatly valued by the local community. x The service has consistently provided good quality care and we found that staff were very caring in their approach to the people they support. x Each person and their next of kin are involved in developing an individual care plan and there is a review process in place. x Staff have developed good relationships with service users and their families. Areas for improvement x Many individuals could benefit from a more individualised approach to lifestyle choices and individual activity and only a few people have access to outdoor activities and fresh air due to staffing constraints. x A more person centred approach to support planning for individuals could improve the quality of life for service users. x The care planning system is being reviewed to improve accountability. Date of Inspection: 26 th November 2014 Lead Officer to take forward improvement: Unit Manager – Nan Anderson
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Children and Families Report Title: St. Joseph’s Primary Learning Centre Inspection Agency: Care Inspectorate Overall Ratings:
Quality of care and support 4 Good Quality of environment 4 Good Quality of staffing 5 Very Good Quality of management and leadership 4 Good
Main Strengths x The staff have created a very friendly and welcoming environment for children and parents/carers. x The children appeared relaxed and co-operated very well with staff. They were interested and actively involved in their play activities. They clearly had fun playing with the range of interesting activities on offer. x The head teacher and staff team are sensitive and respectful in their support of the children and their parents. Staff work well together and appear enthusiastic as they carry out their work. Areas for improvement x The provider should ensure that the areas for improvement and recommendations detailed in this report are addressed. Date of Inspection: 4 th September 2014 Lead Officer to take forward improvement: Alison MacKenzie – Principal Officer Early Years Report Title: Colgrain Primary Pre Five Unit Inspection Agency: Care Inspectorate Overall Ratings:
Quality of care and support 5 Very Good Quality of environment 5 Very Good Quality of staffing 5 Very Good Quality of management and leadership 5 Very Good
Main Strengths x They have established an excellent approach to involving children and their families in the ongoing improvement and development of the service. It was clear they respected their views and valued their opinions. x The children are given good opportunities to grow and develop and be active and independent in their play and learning. Areas for improvement x The provider should ensure that the areas for improvement are addressed and continue to develop in line with their current plans.
Date of Inspection: 16 December 2014 Lead Officer to take forward improvement: Alison MacKenzie – Principal Officer Early Years
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Report Title: Campbeltown Nursery Centre Inspection Agency: Care Inspectorate Overall Ratings:
Quality of care and support 5 Very Good Quality of environment 4 Good Quality of staffing 5 Very Good Quality of management and leadership 5 Very Good
Main Strengths x They have established a very good approach to involving children and their families in the ongoing improvement and development of the service. It is clear that they respected their views and valued their opinions. x Children were given very good opportunities to grow and develop and be active and independent in their play and learning. Areas for improvement x The manager should review their toilet and nappy changing facilities, in consultation with environmental health, to make sure they are in line with current best practice and legislation. x The manager should implement their plans to improve the supervision of children when arriving and leaving the service.
Date of Inspection: 9 July 2014 Lead Officer to take forward improvement: Alison MacKenzie – Principal Officer Early Years Report Title: Adoption Service Inspection Agency: Care Inspectorate Overall Ratings:
Quality of care and support 4 Good Quality of staffing 4 Good Quality of management and leadership 4 Good Main Strengths x Adopters said that staff were skilled, knowledgeable and supportive. x Help was being provided to adopters and children who were in need of support. x Children were benefiting from living in a stable family home.
Areas for improvement x The responses from questionnaires provided by adopters should be collated and action plans put in place. x The service should seek to involve birth parents more in the adoption process. x Clear standards should be put in place to ensure that adopters are provided with life story information about their children from previous carers. x The staffing shortage in the family placement team should be resolved. Date of Inspection: 6 th October 2014 Lead Officer to take forward improvement: Lorraine Prentice – Practice Lead 9 Page 110
Report Title: Dunclutha Children’s Care Home Inspection Agency: Care Inspectorate Overall Ratings:
Quality of care and support 5 Very Good Quality of environment 5 Very Good Quality of staffing 5 Very Good Quality of management and leadership 5 Very Good
Main Strengths x Management and staff have continued to work hard to build positive relationships with young people. x Staff were alert to potential risks for young people and were committed to supporting young people achieve positive outcomes.
Areas for improvement x The continuous learning framework for staff should be progressed.
Date of Inspection: 15 th September 2014 Lead Officer to take forward improvement: Donna McGivern – Unit Manager
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Children and Families / Education Report Title: Oban High School and Glencruitten Hostel Inspection Agency: Education Scotland Overall Ratings:
Oban High School Improvements in performance Good Learners’ experiences Good Meeting learning needs Good Curriculum Satisfactory Improvement through self-evaluation Satisfactory
Glencruitten Hostel Quality of care and support Good Quality of environment Good Quality of staffing Good Quality of management and leadership Good
Main Strengths x Well-behaved, motivated young people who are keen to do well. x The school’s positive climate and the ways young people interact with one another and with staff. x Young people’s achievements in the performing arts and sports supported by the School of Rugby, Traditional Music and Dance. x The role of the clan system in promoting inclusion, equality and achievement.
Areas for improvement x Continue to review and develop the curriculum to better meet the learning needs and improve the attainment of all young people, including through the medium of Gaelic. x Strengthen arrangements for self-evaluation to improve young people’s learning experiences and attainment further. Date of Inspection: 11 th November 2014 Lead Officer to take forward improvement: Peter Bain – Head Teacher at Oban High School and Francesca Bichard – Unit Manager at Glencruitten Hostel
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ARGYLL AND BUTE COUNCIL Community Services Committee
Community Services 12 March 2015
Scheme of Assistance for Private Sector Housing
1.0 EXECUTIVE SUMMARY
1.1. This report is to seek Member’s approval for a revised Scheme of Assistance for private sector housing. Section 72 of the Housing (Scotland) Act 2006 requires that a local authority prepare and make publicly available a Scheme of Assistance for private sector home owners to adapt and repair private housing.
1.2. There is a requirement that the Scheme of Assistance is reviewed periodically. The Council previously approved a Scheme of Assistance in 2010. This revision takes account of the condition of private sector housing in Argyll and Bute; the economic climate and the overarching aim of the Single Outcome Agreement to grow the population and stimulate economic activity.
1.3. Most importantly it reflects the requirements of the Public Bodies (Joint Working) (Scotland) Act 2014 which requires Health Boards and Local Authorities to integrate health and social care services. Responsibility for adaptations will transfer to the new Integrated Body.
1.4 This report summarises the changes from the existing scheme. It provides updated information and advice priorities; proposes changes to the financial assistance available and clarifies the Council’s position on enforcement action.
1.5 RECOMMENDATION
It is recommended that the Community Services Committee approve the revised Scheme of Assistance.
The proposed Scheme of Assistance will be referred to the Shadow Integrated Joint Board for information.
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ARGYLL AND BUTE COUNCIL Community Services Committee
Community Services 12 March 2015
SCHEME OF ASSISTANCE FOR PRIVATE SECTOR HOUSING
2.0 INTRODUCTION
2.1 Legislative requirements . Section 72 of the Housing (Scotland) Act requires that a local authority prepare and make publicly available a Scheme of Assistance for private sector home owners. Section 85 of the Housing (Scotland) Act 1987 states that it is the duty of every local authority to ensure that all houses in their district which do not meet the tolerable standard are closed, demolished or brought up to the tolerable standard within such period as is reasonable in all the circumstances.
2.2 The Public Bodies (Joint Working) (Scotland) Act 2014 which requires Health Boards and Local Authorities to integrate health and social care services incorporates provisions which shift responsibility for adaptations to the new Integrated Body.
2.3 Members will recall that a report to the Community Services Committee in May 2014 highlighted the issues around support to private homeowners who have common repair responsibilities with social landlords. A recommendation of that report was that a future report would bring forward proposals around enforcement action and this has now been incorporated into the revised Scheme of Assistance.
3.0 RECOMMENDATIONS
3.1 It is recommended that the Community Services Committee approve the revised Scheme of Assistance.
The proposed Scheme of Assistance will be referred to the Shadow Integrated Joint Board for information.
4.0 DETAIL
4.1 Strategic Fit. The proposed revisions to the Scheme of Assistance take into account the strategic vision agreed for the Local Housing Strategy 2011 – 2016:
“To realise the potential of our communities, by ensuring that people have access to affordable, sufficient and suitable housing”.
The quality of the built environment in our towns and villages is directly affected by the quality and condition of private housing. This is particularly evident in town centres where there are significant challenges associated with multiple
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ownership and common repair and maintenance responsibilities.
4.2 The revised Scheme of Assistance has been broadened to incorporate Empty Homes Grants and Energy Efficiency Grants. It therefore outlines the actions to be taken to improve the suitability of private sector housing specifically with regard to;
x Adaptations to suit disabled people x Condition, disrepair and regeneration x Empty Homes x Energy efficiency
4.3 There are four Key Elements of the Scheme of Assistance.
4.3.1 Enhanced Information and Advice. Through the implementation of the current Scheme of Assistance it has become evident that good quality information and advice together with an effective communication strategy, is key to changing the culture of home owners to encourage them to take responsibility for the maintenance of their properties. Consequently new priorities have been set for information and advisory activities including a more proactive engagement strategy. Details can be found at page 6 of the Scheme of Assistance appended to this report.
4.3.2 Practical Assistance. The Housing Service and Argyll and Bute Care and Repair provide practical assistance to homeowners and private tenants. Support is provided to establish owners associations; surveying buildings and preparing works programmes to address repair issues. It is also available for energy efficiency and fuel poverty matters from a number of partner agencies which is enhanced by the recent appointment of a dedicated Housing Officer Energy Efficiency and tied into ongoing HEEPSABS (Home Energy efficiency Programme Scotland – Area Based Scheme) activity.
4.3.3 Financial Assistance
Repair Grants . Grants for adaptations and repairs are funded from the Private Sector Housing Grant. Changes proposed for Repair Grants are explained in the table below. The reason for the proposed change to the Repair Grant is because disregarding the first £5,000 of the repair costs is proving to be a barrier to owners to participate in common repair schemes. Also the equity assessment is confusing and prolongs the process. Therefore, based on experience, the proposal is to reduce the grant to 40% of cost of work: 60% to be paid by owners and a upper limit of £10,000 for owners and £7,500 for landlords with strict grant conditions applied to private rented tenancies. See Table 1 below.
Empty Homes . Empty Homes grants are funded from the Strategic Housing Fund and in November 2014 Members identified a sum of £0.5m for empty homes grants and 110k for loans. An alternative approach to grants for long term empty homes is proposed as the uptake on the previously agreed empty homes scheme has been very small with only one proposal currently being developed. There are a number of reasons for this: it requires a long term commitment from owners; legal requirements are protracted and complex and
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proposed schemes have proved unviable for either the RSL or the owner due to the level of repairs required.
Table 1: Proposed changes to financial assistance Existing Scheme of Assistance Proposed Repair Grant First £5000 disregarded Grant of 40% up to £10,000 Type 2 for owner occupiers 50% thereafter up to £10,000 Discretionary grant Grant of 30% up to £7,500 for common repair Hardship assessment on equity, for landlords/business work in tenements savings and income up to 75% premises up to £15,000
Repair Grant New Proposal Grant of 40% up to £10,000 Type 3 for owner occupiers
Discretionary grant Grant of 30% up to £7,500 for empty homes to for landlord/developers be used for owner occupation or let as See appendix III of scheme private rented of assistance accommodation
4.3.4 Enforcement Action Policy
The section on enforcement action, clarifies the case by case analysis which will be followed, when making decisions on whether or not to force owners to carry out work. When considering enforcement action there is a need to balance the need to maintain housing conditions and assist owners with common repair responsibilities against risk for the Council. Such action requires;
x The service of legal notices x The Council paying the cost of works x Recovery of costs, fees and interest from the owner x Recording repayment charges on titles
Enforcement involves an inherent risk that costs incurred by the Council may not be recovered for whatever reason. The costs associated with this type of action can be significant for example; the Council will incur £58,616 expenditure to meet the cost of four owners’ contributions for the recent refurbishment project of 48 flats at Maitland Court in Helensburgh. There are 22 RSL tenants and 26 private owners. Since 2010, including Maitland Court, 12 works notices have been enforced and £104,723 is the balance outstanding.
There is also the risk that small businesses liability for common building repairs could lead to business closure. Enforcement of works is set out as an action of last resort.
5.0 CONCLUSION
5.1 While private homes are the exclusive responsibility of private owners the Council is required to address housing needs and demand in the Local Housing Strategy. Unsuitability of the private stock can have a negative
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impact by increasing demand for alternative housing.
5.2 Ensuring houses are adapted to meet the needs of an ageing population and that the built environment adds to the attractiveness of Argyll and Bute as a place to live, work, and invest, is a key part of the Local Housing Strategy.
5.3 It is also recognised that considerable challenges remain to ensure the private tenement stock continues to provide suitable housing and is not lost through disrepair and dilapidation, creates blight in our towns and villages or adds pressure on Council resources by other statutory interventions e.g. dangerous buildings.
6.0 IMPLICATIONS
6.1 Policy: Creates a comprehensive Scheme of Assistance for private sector housing by combining assistance from Private Sector Housing Grant, Empty Homes and Home Energy funding in the one document.
6.2 Financial: No new funding required to implement the proposals from Private Sector Housing Grant or Home Energy Efficiency Programme Scotland Area Based Scheme. A separate report was submitted in November 2014 extending the Empty Homes funding from the Strategic Housing Fund.
6.3 Legal: Provisions for the Scheme of Assistance and the accompanying actions are set out in the Housing (Scotland) Act 2006
6.4 HR: None
6.5 Equalities: The proposals are consistent with aims and objectives set out in the local housing strategy which has been subject to an EQIA
6.6 Risk: Risks to the Council are anticipated from the failure of owners to act resulting in statutory action required for sub-standard housing, dangerous buildings or similar. Difficulty in recovering costs of enforcement action.
6.7 Customer Service. The revisions will simply and clarify services to the public.
Cleland Sneddon Executive Director of Community Services
Policy Lead – Cllr Robin Currie, Community and Culture and Housing
2nd February 2015
For further information contact: Moira MacVicar 01631 572184
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SCHEME OF ASSISTANCE
For Private Owners and the Private Rented Sector to Adapt and Repair Housing
To realise the potential of communities by ensuring that people have access to affordable, 1 http://www.argyll-bute.gov.uk/housing sufficient and suitable housing in Argyll & Bute Page 120
CONTENTS
PAGE 1. Purpose of the Statement 3
2. Vision and Strategic Context 4
3. Resourcing the Scheme 6 Table 1. Assistance Available for home owners and private sector landlords 7 and tenants
4. Part 1. Adaptation of Properties 8
5. Financial Assistance for Adaptations 9
6. Part 2. Improving Property Condition 10 6.1 Information and Advice 10 6.2 Practical Assistance 10 6.3 Discretionary Financial Assistance 11 Table 2. Repair Grants 2015-16 12
7. Statutory Action, Enforcement and Default 13 7.1 Policy for Identifying Housing Renewal Areas 13 7.2 Below Tolerable Standard 13 7.3 Demolition and Closing Orders 14 7.4 Works Notices 14 7.5 Appeal Process 15
8 Review of Scheme of Assistance 15
9 Appendices Appendix I: Assessment of Living Accommodation Extensions 16 Appendix II: Financial Assessment 16 Appendix III: Empty Homes 19 Appendix IV: Assessment Matrix for Closing and Demolition Orders 20 Appendix V: Assessment Matrix for Enforcement of Works Notices 21
2 www.argyll-bute.gov.uk Page 121
1. PURPOSE OF THE STATEMENT
This statement is the Council’s plan on how to improve the quality and suitability of private sector housing across Argyll and Bute.
Section 72 of the Housing (Scotland) Act 2006 requires a local authority to prepare and make publicly available a Scheme of Assistance for private sector housing.
The guiding principles for this revision remain the same as for our previous statement in 2010 i.e. the Scottish Government’s view expressed in the Housing (Scotland) Act 2006 and accompanying guidance that;
• Grant assistance should be primarily directed at needs assessed adaptations to enable disabled persons to remain in their own homes • Owners of private dwelling houses are responsible for the maintenance and repair of their own properties • Information, advice and practical assistance should be the first step in an authority’s strategy and used to reach people with whom the authority would not in the past have had contact • The use of grant for the general subsidisation of repair and improvement works by owners is generally discouraged.
This revised statement also takes account of The Public Bodies (Joint Working) (Scotland) Act 2014 (the Act) which requires Health Boards and Local Authorities to integrate planning for, and delivery of, certain adult health and social care services. Under this legislation there is a requirement that the following ‘housing functions’ must be delegated to Integration Authorities: -
• Section 71 (1) (b) Housing (Scotland) Act 2006 (assistance for housing purposes) only in so far as it relates to an aid or adaptation. • Section 92 Housing (Scotland) Act 2001 (assistance for housing purposes) only in so far as it relates to an aid or adaptation.
This means that with effect from 1 st April 2015 the new Integrated Health and Social Care Body will have responsibility for disabled adaptations. Consequently the Scheme of Assistance has been divided into: Part 1 – Those sections of the legislation relating to grants for adaptations Part 2 – all other grant funding for private sector housing including, repair, improvement, energy efficiency and empty homes grants.
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2. VISION & STRATEGIC CONTEXT
This Scheme of Assistance, both Parts 1 and Part 2, sit within a hierarchy of aims and objectives at both national and local level.
Scottish Government
outcomes for Housing and
Regeneration
High quality sustainable A well-functioning housing homes system
Homes that meet people’s Socially, physically and needs economically sustainable communities
Community Planning Partnership Argyll & Bute Single Outcome Ag reement
To ensure that housing supports future economic success and a growing population
Argyll and Bute Health and Social Council Care Integrated Housing Services Board Local Housing Integration Strategy Scheme
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The Scheme is set out in two parts and both parts are designed to meet its overall aims:
PART 1 . To meet the assessed needs of people with long term life limiting conditions, who are living in the private sector and require adaptations to allow them to live in their homes as independently as possible for as long as they choose to do so, and
PART 2. To address disrepair in private sector homes by encouraging home owners to recognise that they have the primary responsibility for maintaining their properties. Limited resources will be targeted at properties where there are common repair responsibilities and empty homes.
At a local level the Scheme of Assistance contributes to the following outcomes set in the Argyll and Bute Local Housing Strategy 2011-16
• To lead a cultural change in attitudes to private sector house conditions • To effectively deal with large numbers of sub-standard houses of all types and in all locations • To provide support and assistance, including financial assistance, • To realise the potential of communities. by ensuring that people have access to affordable, sufficient and suitable housing
These aims will be achieved by offering the following types of assistance:
• Advice and Information We will ensure that advice and information on home repairs, maintenance, improvements and adaptations is available to anyone who resides in Argyll and Bute’s private housing sector
• Practical Assistance We will provide, along with key partners, a range of services which offer practical help relating to the repair and maintenance of homes in the private sector, and
• Financial Assistance Mandatory financial assistance will be provided to cover some (or all) of the costs of eligible disabled adaptations to private properties. Discretionary financial assistance may be provided to improve the condition of residential property in circumstances set out in section 6.
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3. RESOURCING THE SCHEME
Argyll and Bute Council’s Housing Service will deliver both Parts 1 and 2 of the Scheme. It will be accountable to the Health and Social Care Integrated Board for Part 1 and to the Council for Part 2. Incorporated within Part 1 will be the management of the contract for Argyll and Bute Care and Repair Services relating to adaptations. The Housing team has staff appointed to act as specialist advisors on a range of housing options including the provision of information and advice to home owners and the private rented sector.
Information and advice is delivered along with the following key partners in their relevant area of expertise. x Argyll & Bute Care & Repair will be the lead partner for elderly and/or disabled householders. x ALIenergy, Home Energy Scotland and local energy advice agencies will be the lead partners for home energy efficiency & fuel poverty. x Mediation Argyll and Bute will be the lead partner for neighbour, landlord/tenant and multi ownership disputes.
Argyll and Bute Council’s Housing Service will
x Create a resource of visual and printed materials to use for public information. x Hold maintenance information days across the council area x Ensure health and social networks used by disabled and elderly households are aware of adaptation grants and assistance. x Ensure repair advice is fully incorporated into the Housing Service Enhanced Housing Option module. x Assist applicants for repair grant assistance to find affordable solutions before applying for grant. x Promote the Home Energy Scotland 0808 808 2282 freephone number for home energy/ fuel poverty advice. x Work with the network of local energy advice organisations to ensure advice is available in all communities across Argyll and Bute x Develop an information programme with RSL partners for mixed ownership property with shared responsibilities. x Work with colleagues in Trading Standards to develop a Buy With Confidence Trusted Traders Scheme x Target information and advice to empty home owners to bring such property back into productive housing use. x Initiate contact with solicitors and estate agents on the following issues o Common repair obligations o Material life of building components o Maintenance and renewal of house components. o Advice for new home owners
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The table below summarises the types of help available and eligibility.
Table 1.Assistance Available for home owners and private sector landlords and tenants Private Private Home Type of assistance Tenant Landlord Owner
Advice and assistance from the Council’s Housing X X X Service to help owners with their repair responsibilities
Information and advice from the Council’s website X X X
Mandatory financial assistance to carry out essential adaptations to a home if you are a person with a X X disability and have been assessed by health and social care
Independent advice from Argyll and Bute Care and Repair including a small repairs service to assist older X X people or people with a disability
Use of enforcement powers to improve housing that is in extremely poor condition but this is subject to a X X X risk assessment
Provision of advice when a statutory notice has been X X X served on a property
Establish Tenement Owners Associations X X
Home Energy and Fuel Poverty advice from Alienergy X X X
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4. PART 1. ADAPTATION OF PROPERTIES
This section outlines the services that are available to people living in the private sector that may need an adaptation within their home. The Health and Social Care Integrated Body has a responsibility to assess a person's needs and to arrange appropriate services and adaptations. However, as funds are limited, we need to ensure that we work with people in the greatest need. To assist us to do this we have developed an assessment process and associated eligibility criteria.
ASSESSING NEED Before we can consider making any funding available, a ‘needs assessment’ has to be carried out by Argyll and Bute Health and Care Partnership. A needs assessment is where an Occupational Therapist helps to establish in discussion with the client: the best way to resolve any difficulties; meet their current needs; and support clients to live independently.
Any assessment will look at the main areas of need which can have an impact on your independence, including the health and safety of yourself and others and your ability to manage personal care and daily routines. If an adaptation to the home is the agreed solution, the Occupational Therapy service will confirm the applicant’s needs, proposed works, and level of priority.
Any permanent adaptation work proposed should, wherever possible, take into account how your needs may change and evolve over the medium to longer term. Not only does this help avoid the need for further applications but it also helps avoid more disruption if additional work becomes necessary at a later date. In private rented accommodation assistance to adapt a property is provided to the tenant, not the landlord, as it is their needs which are being met.
REPEAT GRANTS will be considered for priority assessed disabled adaptations in instances where a condition has worsened leading to the existing adapted accommodation no longer meeting the needs of a disabled person.
ARGYLL AND BUTE CARE AND REPAIR (ABCR) Practical assistance is currently provided by Argyll & Bute Care & Repair who will target households aged over 60 or households with a resident disabled person. Housing Services currently contract with Argyll & Bute Care & Repair to develop and sustain bespoke solutions for disabled clients. ABCR will target services in accordance with the Health and Social Care: Prioritisation of Needs Framework
Clients will be assisted: • to plan for aids and adaptations to suit additional needs • in applying for funding • in preparing works schedules, plans and drawings • in the appointment of contractors and organisation of works • in completing application forms for financial assistance • in contacting the relevant Council service to determine whether approval is required in respect of planning or building standards • with help from the Small Repairs Service
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5. FINANCIAL ASSISTANCE FOR ADAPTATIONS
Adaptation Grant Adaptation grant - Mandatory Type 1 Mandatory To meet assessed priority need for adaptations to suit disabled assistance to occupants; provide adaptations for disabled people. The mandatory level for grant is an automatic 80% for assessed priority adaptations. If the applicant or other relevant Adaptations include person is in receipt of income support, income based most internal jobseeker’s allowance, pensi on guarantee credit or income – adaptations assessed related employment and support allowance the mandatory as necessary by level is raised to 100% Occupational Therapists.
All remaining financial assistance is discretionary, i.e. the Council does not have to award assistance. Every application will be assessed fairly and in accordance with the criteria set out below but any award of assistance will be entirely dependent on the availability of finance at the time of application.
Adaptation Grant Adaptation grant for Living Accommodation Type 2 Discretionary grant To assist disabled owner occupier households with grant for adaptations assistance for living accommodation extensions. Subject to an include all living assessment of the needs of the disabled person and the ability accommodation of the home owner to extend the property without grant, extensions and may (determined by an equity, savings and income assessment), include ground floor grant may be offered up to 80%. See Appendices II, III and IV bedrooms. on the financial assessment. Housing grant will only be awarded following a comprehensive shared assessment of needs and best value by Health, Housing and Social Work.
Appendix I on extensions Appendix II on Financial Assessment
Adaptation Grant Adaptation grant – discretionary Type 3 Feasibility planning Discretionary grant To assist disabled owner occupied households with grant to help meet the assistance to pay professional fees to prepare plans and costs of preparatory estimate costs of different design options prior to work for major application for adaptation grant assistance. adaptations including Fixed grant up to £450. extensions. 9 www.argyll-bute.gov.uk Page 128
6. PART 2. IMPROVING PROPERTY CONDITION
6.1 INFORMATION AND ADVICE
A key aim of the scheme is to encourage home owners to act responsibly and to plan for the maintenance and upkeep of their property.
The provision of high quality information and advice for householders is fundamental to this approach and is available in a range of formats. There is also a range of communication methods adopted to try to maximise access to information and advice: ¾ Online via the Council website including wider Housing Options advice and links to national information resources ¾ Widely distributed information leaflets ¾ Maintenance events ¾ A wide range of third sector advice and service organisations co-ordinate their work with the Council through the Argyll & Bute Advice Network (ABAN).
Through the ABAN referral system clients can be signposted to other agencies which may be able to assist.
6.2 PRACTICAL ASSISTANCE
6.2.1 COMMON REPAIRS If work is required to the common parts of building, all the owners who share responsibility for the maintenance and repair of the building need to work together. It is recognised that reaching agreement can present difficulties and the Housing Service will provide impartial advice and support to establish owners associations to deal with these matters.
Mediation Services can also be provided. This is an informal way of resolving disputes between households or between landlords and tenants. Argyll and Bute Mediation Service will help those involved in a dispute to come to agreement. The service is free of charge and it does not prevent owners or tenants seeking advice from other agencies or prevent legal action being taken if necessary.
6.2.2 EMPTY HOMES Utilising empty property to meet housing needs is a key part of the rational and economical use of the existing stock. The Council is keen to encourage the re-use of empty homes to meet housing needs and this is reflected in this scheme of assistance. Practical advice and assistance is available from the Council’s Empty Homes Officer. Lessons learned in the first two years of the Empty Homes initiative have shown that there would be benefit in the introduction of a simpler model which does not require an RSL partner and does not require 5 or 10 year commitment from an owner. Consequently an additional empty home grant has been introduced which will make the refurbishment of long term empty property an option for households moving from the social rented sector or for first time buyers. Areas with the highest level of housing need will be given priority.
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6.3 DISCRETIONARY FINANCIAL ASSISTANCE
There are currently grants available to assist owners to improve property condition. Primarily these are targeted at property in common ownership and empty property to incentivize multi- owner action and catalyse town centre tenement regeneration. These discretionary grants are used to complement other grant funded schemes such as THI, CARS and HEEPS:ABS. All grants to assist owners to improve property are discretionary and will be dependent on the resources available.
Grant assistance is considered for works of common repair in tenement, and within the tenement stock will be targeted at larger buildings where several owners and major works justify financial assistance. Smaller tenements, for example split villas will be of lesser priority.
Although this Scheme of Assistance sets out the availability of grant for repair work the application and assessment process will reflect the guidance. For further and more detailed information please refer to our information leaflets on;
! Grants for Private Homes ! Empty Homes Funding
GRANT CONDITIONS Grant conditions are recorded on titles and transfer with ownership on the sale of the property. Grant for repair, improvement or adaptation carries 4 statutory conditions. These are
1. The house must be used as a private dwelling, but that does not prevent the use of part of the house as a shop or office for business, trade or professional purposes. 2. The house must not be occupied by the owner or a mem ber of the owner’s family except as that person’s only or main residence 3. The owner of the land must take all reasonable steps to keep it in a good state of repair. 4. The owners of the land or premises must, if required to do so by the local authority, certify that the conditions 1 to 3 are, in so far as they apply, being observed .
Failure to maintain the property for 10 years will result in the grant being reclaimed, with interest. Different conditions apply for empty homes financial assistance. (Appendix III).
There are 6 types of repair grants available and these are outlined in the table below. More detailed information is available on leaflets; the Council’s website and from Housing Services.
¾ Repair Grants Type 1 and 2 relate to common repairs ¾ Repair Grants Type 3 and 4 relate to empty homes ¾ Repair Grant Type 5 relates to amenity ¾ Repair Grant Type 6 relates to Home Energy Efficiency
11 www.argyll-bute.gov.uk Page 130 Table2. Repair Grants Repair Grant Type 1 Tenement Feasibility Study Discretionary grant for To assist owners in sub-standard tenement buildings to preparatory information appoint professional advisors to prepare condition reports, and advice for feasibility studies and other pre-project planning work; tenements a. Grant of up to £250 per unit of shared costs. Repair Grant Type 2 Common Repair Grant Discretionary grant for A grant for owner occupiers of 40% of costs, up to a common repair work in maximum of £10,000. tenements A grant for private sector landlords and business premises of 30% of costs up to a maximum of £7,500.
Repair Grant Type 3 Empty Homes/RSL Grant and/or Loan Discretionary grant For long term empty homes (registered before 1 st April 2012) and/or loan for empty where the owner has an RSL partner willing to take on the homes improved and let property for 10 years (grant) or 5 years (loan) for mid-market to an RSL. rent. a. Grant of up to £20,000 and/or See Appendix III for further b. Loan of up to £20,000 information. Repair Grant Type 4 Empty Homes for Owner Occupation or Private Rented Sector Discretionary grant for For owners of long term empty property, registered for at least empty homes to be used three years before the application, to be used as full time for owner occupation or residential accommodation on completion of repair or let as private rented regeneration works. accommodation a. Grant of 40% up to £10,000 for owner occupiers b. Grant of 30% up to £7,500 for landlord/developers Repair Grant Type 5 Amenity Grant For activity in any clearly defined area (tenement, street, Discretionary grant to estate) or where a community led initiative will lead to improve the amenity of improved amenity to streetscape, open spaces or built an area environment, grant; a. for amenity work at 30% of costs up to a maximum grant of £1,000 per house. Repair Grant Type 6 Private Water Supplies 8 Discretionary grant for For owners with defective private water supplies, grant up to private water supplies £800 to connect to the main
Repair Grant Type 7 Energy Efficiency Grant up to £7,500 is available subject to budget and Home Energy Efficiency geographical limitation and Scottish Government criteria. The Programme (HEEPS) scheme is currently managed on behalf of the Council by Alienergy and focuses on external and internal wall and cavity and loft insulation. It is targeted at households experiencing fuel poverty.
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7. Statutory Action, Enforcement and Default
The service of orders and notices is the first stage of a discretionary process which may or may not lead to works being carried out by the Council. Argyll & Bute Council will always strive to work with owners to find solutions to housing problems.
The Housing (Scotland) Act 2006 includes various statutory powers that the Council may use where it is apparent that owners are failing to maintain or repair their properties. In addition powers remain from the Housing (Scotland) Act 1987.
Housing (Scotland) Act 2006 Section 1 Housing Renewal Area Housing (Scotland) Act 2006 Section 30 Work Notice Housing (Scotland) Act 2006 Section 33 Demolition Notice Housing (Scotland) Act 2006 Section 42 Maintenance Order Housing (Scotland) Act 1987 Section 114 Closing Order Housing (Scotland) Act 1987 Section 115 Demolition Order
7.1 Policy for Identifying Housing Renewal Areas
There are no current intentions to utilise powers for Housing Renewal Areas (HRA). The profile of housing disrepair in Argyll & Bute is such that sub-standard homes are distributed across the whole stock and in all areas. In most cases, including tenemental projects, working with small numbers of owners taking ownership of their own housing repair projects will be preferable to larger scale HRA projects.
The Housing Service participates in area projects, led by Development and Infrastructure Economic Development, as part of THI/CARS regeneration activities.
Demolition notices served under Section 33 of the Housing (Scotland) Act 2006 only apply in HRAs and as such will not be part of this scheme of assistance.
7.2 Below Tolerable Standard Housing - The Repairing Standard
The Council has a duty to ensure that all houses in the area which do not meet the tolerable standard are closed, demolished or brought up to the tolerable standard within such a period as is reasonable in all the circumstances. (Housing (Scotland) Act 1987 Section 85)
Private landlords in a tenancy must ensure that the property meets the repairing standard at the start of the tenancy and at all times during the tenancy. (Housing (Scotland) Act 2006 Section14).
Argyll and Bute Council will address these issues by;
x Periodic house condition surveys in the private sector x Random sample surveys of the private rented sector x Targeted advice and financial assistance for BTS tenement flats x Prioritising BTS in the consideration of enforcement action
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7.3 Demolition and Closing Orders
Demolition and closing orders are served under Part VI of the Housing (Scotland) Act 1987. Both are discretionary and may be served when a house is below the tolerable standard for housing (BTS) and ought to be demolished .
Closing orders are served on houses which cannot be demolished because
x they are part of a building containing other houses which do not fail the tolerable standard. x they are part of a building containing property other than houses x they are subject to listing or preservation orders otherwise demolition orders are served.
Once served the orders prevent occupation and remain in force until the house is either demolished or brought up to the tolerable standard.
Closing and demolition orders give full exemption from council tax.
Demolition and closing orders create empty homes with full exemption from council tax and as such are contrary to the Councils agreed policies on empty homes. There will therefore be a presumption against service unless there are exceptional extenuating circumstances involved. See Appendix IV
7.4 Works Notices
The service of works notices is a discretionary power and once served there is an additional discretionary power on whether or not the notices will be enforced by default action.
Default action means the council will carry out work and recover costs from owners. This carries risk of non-recovery.
Works notices may be served in the following circumstances:
a. Where there is an emerging possibility of defaulting owners preventing other owners from carrying out necessary works of repair or renewal. b. Where there are serious issues of tolerable standard failure and no indication of remedial works being undertaken. c. As part of Area Property Action Group co-ordinated action.
Notices will be preceded by a letter of intent fully informing owners of the consequence of inaction.
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Any enforcement of a works notice carries risk for the Council and the owner. Some of the most serious risks are: x costs committed will not be recovered or tied up in a repayment charge for a considerable period of time x unless the claim is pursued at regular intervals the entitlement to recover is lost under the period of prescription x owners accrue personal debt which they cannot afford to repay x small businesses fail due to high levels of debt for repairs.
For these reasons action to enforce notices or orders served as a result of common repair defects will only be initiated as a last resort and will be dependent on;
x the resources available to the Council for enforcement action. Enforcement is funded from Private Sector Housing Grant which reduces capacity to provide grants x an assessment of the risk to the Council of being able to recover expenditure on private property from private owners.
Each project will be assessed on the circumstances of each case. The matrix at Appendix VIII will be used to assess when enforcement will be considered.
Note: An administration charge of 10% will be levied in all cases where the Council has to instruct work and recover costs, Emergency works to dangerous buildings which will require immediate attention come under the remit of Building Standards.
7.5 Appeal Process
Where an applicant for assistance is dissatisfied with any decision in relation to their eligibility or entitlement to financial assistance, they may request a review within 14 days of the decision being issued. The request for a review should be addressed to the relevant Head of Service, Kilmory, Lochgilphead PA31 8RT. A review will then be carried out by a senior manager who wasn’t involved in the original decision. The applicant will be notified in writing of the decision reached on review within 28 days of the request for review being received.
If an applicant is still dissatisfied following a review as above, they have the right to refer the matter to the Scottish Public Services Ombudsman.
Orders and notices can be challenged in court with the time limit for appeal being part of the notice given.
8. Review of Scheme of Assistance
The implementation of the Scheme of Assistance and the impact on meeting the Council’s objectives will be monitored and reviewed as part of the Local Housing Strategy monitoring. Any future amendments to the Scheme of Assistance will be subjected to appropriate consultation.
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9. Appendices
Appendix I Assessment of Living Accommodation Extensions
Owners extending houses to provide living accommodation will be required to consider any available lending options should they be necessary. All alternative housing options will be considered as part of the assessment process. A house being adapted for a living extension should not be recently bought except in exceptional and unforeseen circumstances. Any living accommodation extension must be for accommodation which is not available in the existing house.
Appendix II Financial Assessment of Equity relating to Adaptations
Three aspects are considered as part of the financial assessment which will determine eligibility for grant - Equity, Savings and Income.
Equity is the value of a house, on completion of works, less any mortgage or other debt held against it. If there free equity in a house it is expected a percentage should be realised by further borrowing before any public funds are invested in the way of grant assistance.
A. Estimated value of improved house (from valuation survey) £
B. Amount outstanding mortgage (verified by lender’s letter) £
C. Amount of free equity (A - B) £
D. Free equity to invest (C x 20%) £
Free equity to invest will be deducted from the total cost of work before calculating any grant.
Savings Owner savings over £10,000 will be taken into consideration when calculating eligibility for any grant
Income
This ready reckoner will give a rough estimate of grant rates for living accommodation extensions in terms of a percentage of the cost of works. An exact figure can only be provided on submission of a formal application for a grant. The assessment includes any partner and any joint owners and their partners.
A. Earnings, after tax and NI contributions £
B. Occupational and private pensions £
16 www.argyll-bute.gov.uk Page 135 C. Any other significant income (an amount less than £1000 is unlikely to make a difference to this estimate) £
D. Total income: A+B+C £
E. Mortgage or rent payments £
F. Allowances: £
x £2444 for each child who was under 16 or under 21 and in full-time education for the whole year x £2184 for each child who was registered blind or receiving DLA for the whole year x £1820 if you are registered blind or disabled and single
Total applicable income Grant (percentage of cost) £0 to £5,800 80% £5,801 - £7,000 Between 75% and 70% £7001 to £10,000 Between 70% and 60% £10,001 to £13,000 Between 60% and 50% £13,001 to £16,000 Between 50% and 40% £16,001 to £19,000 Between 40% and 30% £19,001 to £24,000 Between 30% and 20% £24,001 to £32,000 Between 20% and 10% Over £32,000 no grant x £2600 if you have a partner and you and/or they are registered blind or disabled
G. Total deductions: E+F £
H. Total applicable income: D-G £
17 www.argyll-bute.gov.uk Page 136 Appendix III Empty Homes Funding
Utilising empty property to meet housing needs is a key part of the rational and economical use of the existing stock. The Council is keen to encourage the re-use of empty homes to meet housing needs and this is reflected in this Scheme of Assistance.
Registered Social Landlords (RSL) Where a RSL is willing to take on the lease of an upgraded empty house and thereafter sub-let at mid-market rent, grant and loan is available at the levels indicated in section 6.3.
Houses must meet the requirements of the Scottish Housing Quality Standard as far as is reasonably practicable. Leases must be for 5 years if loan funding is offered and 10 years if grant is awarded.
Owner Occupation
Empty homes requiring significant upgrades offer a potential low cost option for entry into the housing market. Grant for owner occupation will be considered in all cases but if funding cannot meet demand, it will be targeted;
a. Where the property is in an area of high housing needs. b. Where an RSL property is vacated thereby creating both a new home and an RSL social renting opportunity. c. Where a household is entering the owner occupied market for the first time.
The targeting criteria apply to people currently resident in Argyll & Bute and to properties which have been registered empty for at least three years prior to application.
Private Rented Sector
Grant will be considered to bring empty houses into the private rented sector. Landlords must be registered with Argyll and Bute Council and will be required to submit leases, equal opportunities policies, tenant information packs and other housing management documentation for assessment prior to application. Rent levels for grant assisted property will be required to be equal to the Local Housing Allowance.
Additional Condition for Empty Homes grants
Grants are discretionary and factors which will be taken into consideration include local housing need; available resources and a geographical distribution across Argyll and Bute. Applicants will be eligible to apply for funding for no more than six properties.
Major works will require a professional agent to specify, tender and supervise works.
If the house is sold or ownership transferred within 5 years of completion of work any grant paid will be reclaimed with interest. The award of grant will be recorded on property titles.
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Appendix IV Assessment Matrix for Closing and Demolition Orders
CLOSING AND DEMOLITION ORDERS Housing Issues Risk Factors
Serious BTS housing quality failures and Private Rented Tenant at risk and Landlord Registration – no action appropriate or successful and Agreed at APAG Loss of Council Tax. No incentive/expense on owner to improve or demolish
Higher Higher probability of service Another empty home/loss of amenity
Minor BTS housing quality failures Tenement deterioration hastened by empty home Owner occupation Potential for dangerous building expense
Lower Lower probability of service
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WORK NOTICES Improvements to Housing Risk Factors
Common repair responsibilities Majority of private owners agree to and can pay for works Serious housing quality failures Individual unit default costs <50% being remedied or avoided estimated equity. Structural instability <1/3 all units defaulting Considerable dampness Default costs under £15K per unit. Public safety Defaulting owners co-operating but can’t Part of SHQS programme and afford Serious failure of SHQS Agreement on extent of works Agent appointed by owners Urgent repair needs Defaulters likely to have funds for immediate one off recovery, e.g. Part of a wider regeneration project landlords, major businesses THI, CARS Owners association operating with all Higher Higher probability of enforcement owners signed up Majority of tenement units housing Owners signed up to factoring (and up to date with factoring fees)
Individual repair responsibilities Minority private owners interested in works Work desirable but not affecting Majority owner HA and no private internal living conditions owners in agreement Disagreement over extent of works No urgent repair requirement but No co-operation from defaulting owners components reaching end of Individual unit default costs > 50% equity material life Individual default costs over £15K per unit Majority of units businesses Shops affected are small traders in fragile retail locations and/or carrying an unrealistic burden of common repairs Likelihood of stage repayment or recharge orders. Lower probability of enforcement No owners association or limited owner involvement No factoring
20 www.argyll-bute.gov.uk Page 139 Agenda Item 11
ARGYLL AND BUTE COUNCIL COUMMUNITY SERVICES COMMITTEE
Community & Culture 12 March 2015
Housing (Scotland) Act 2014
1.0 EXECUTIVE SUMMARY
1.1 The main aim of this report is to inform Members of the content and implications of the Housing (Scotland) Act 2014 which was approved in August 2014 and will be implemented in stages over the next two years. Apart from the abolition of the Right to Buy there is no timescale set for implementation.
In summary, the key points of note for the council relate to:
x Abolition of the Right To Buy (RTB);
x The Allocation of Social Housing and Tenancy Management;
x Private Rented Housing;
x Regulation of Letting Agents;
x New Powers for Local authorities to Improve the Condition of Homes in the Private Sector;
x Licensing of Mobile Home Sites; and
x Miscellaneous and general provisions.
1.2 The main implications for the council will relate to our Private Sector Scheme of Assistance and the potential resource implications if the new discretionary powers to support improvements in private stock are to be utilised . Further guidance from the Scottish Government on these aspects of the legislation is anticipated and will help to clarify our approach over the next year or so. In the meantime a revised Scheme of Assistance is the subject of a separate report to the Committee.
1.3 RECOMMENDATION
Members of the Community Services Committee note the contents of this report.
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ARGYLL AND BUTE COUNCIL COUMMUNITY SERVICES COMMITTEE Community & Culture March 2015
Housing (Scotland) Act 2014: A Briefing Note.
2.0 INTRODUCTION
2.1 The Housing (Scotland) Act 2014 received Royal Assent on 1 st August 2014 and individual measures are being implemented over the next two years. The Act introduces a number of legislative changes to safeguard consumer interests, support improved quality and deliver better outcomes for communities.
2.2 The measures set out in the Act are specifically intended to enhance housing conditions, retain much needed social housing for the people of Scotland, and safeguard social and private tenants. Specifically, it covers the following :-
x Abolition of the Right to Buy (RTB); x Social housing allocations and tenancy management including additional powers for tackling antisocial behaviour; x Private rented housing, including changes to the repairing standard and the introduction of a new Housing Tribunal; x Regulation of letting agents; x Licensing of mobile home sites with permanent residents; x New powers for local authorities to improve the condition of homes in the private sector; and x Miscellaneous and general provisions including greater powers for the Scottish Housing Regulator (SHR) to transfer the assets of registered social landlords under certain circumstances.
3.0 RECOMMENDATION
3.1 That the Community Services Committee note the contents of this report.
4.0 DETAIL
4.1 The Act as passed covers the following areas of housing policy:-
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4.1.1 Abolition of the Right to Buy (RTB)
Scottish Ministers made an Order on 20 November 2014 to provide that, under sections 1(1) of the Act, right to buy will end for all tenants of social housing in Scotland on 1st August 2016, unless they submit a valid application to purchase before that date. Any such applications will be progressed in the usual way, but after the date no application can be made. The requirement for local authorities to collect information on right to buy sales and the number of tenants eligible for right to buy under sections 145 and 146 of the Housing (Scotland) Act 2010 remains in force until 1 July 2017. The abolition of right to buy means that there will be a change to the tenancy conditions of those tenants who have a right to buy at present.
4.1.2 The Scottish Government will continue to support affordable home ownership aspirations by alternative means that do not involve the loss of further social rented sector stock, such as: LIFT shared equity schemes (Low-cost initiative for first time buyers); the new Help To Buy (Scotland) shared equity scheme which was launched in September 2012 with a budget of £220m up to 2015; and financial backing for Homes for Scotland’s mortgage indemnity scheme.
4.1.3 Comment – In recent years RTB sales in Argyll & Bute have dwindled significantly and Pressured Area Designation (PAD) already precludes further substantial losses across most of the authority area. The RSL stock has started to increase after decades of decline and new-build completions currently outweigh RTB sales. Nevertheless, this proposal was welcomed by the council and the housing sector in general. Emerging evidence at a national level suggests that many RTB properties end up in the private rented sector (PRS) (in certain areas up to 43% of local housing allowance PRS claims are for ex-RTB properties) – and as housing benefit claims from the PRS are higher than in the RSL sector, the cost to the public purse has been substantially higher than it would have been if these properties had remained in social landlords’ ownership. ACHA is the only local RSL with any significant number of eligible RTB tenancies remaining, and it might be anticipated that they will experience a spike in RTB applications during the two-year grace period prior to the implementation of the legislation. Current estimates suggest that around 2,560 tenants in Argyll and Bute could technically exercise their RTB between now and the 1 st August 2016, however, it is more likely that the actual number of RTB sales will be closer to 60-80 over this period.
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4.2 Increased Flexibility in the Allocation and Management of Social Housing
4.2.1 The provisions in the Act are intended to provide better outcomes for communities by:
x Increasing landlords’ flexibility when allocating houses; x Allowing landlords to make the best use of social housing; x Giving landlords more tools to tackle antisocial behaviour; x Providing further protection for tenants, particularly tenants with Short Scottish Secure Tenancies(SSST), by strengthening their rights in a number of ways; and x Clarifying existing legislation on how SSSTs operate.
4.2.2 Specific measures include:
x Replacing prescriptive priority groups with a broader framework that gives landlords and their communities more local flexibility; x Allowing landlords to consider any property that a social housing applicant already owns when allocating housing; x Introducing a qualifying period before succession to a tenancy following the death of a tenant; x Allowing a minimum period to be put in place before antisocial tenants are eligible for the allocation of social housing; x Introducing a new right for tenants to appeal a landlord’s decision to suspend them from being allocated a property; x Allowing landlords to give Short Scottish Secure Tenancies to applicants and tenants with a history of antisocial behaviour; x Simplifying eviction procedures for tenants convicted of a serious offence.
4.2.3 The Act amends the categories of persons to whom social landlords must show “reasonable preference” in allocating their properties. The amended categories cover:
x Homeless persons or persons threatened with homelessness who have unmet housing needs
x Persons living in unsatisfactory conditions who also have unmet housing needs
x Tenants of social landlords who are considered by the landlord to be under-occupying.
4.2.4 Social landlords will continue to be able to specify additional groups who will be given reasonable preference in response to local circumstances. They must consult on changes to allocation policies and a new duty requires all RSLs to take account of the Local Housing Strategy. This is
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important particularly in relation to partnership working between the council and RSLs to ensure access to suitable housing for homeless people. Equally, the community-based associations will expect the council to respect their role in meeting housing needs in their local communities. In Argyll and Bute, the council continues to have full partnership involvement with Home Argyll RSLs and was fully engaged in the latest allocation policy review.
4.2.5. Comment – These changes are unlikely to have a significant impact on social housing allocation policies in Argyll and Bute. The greater flexibility should allow landlords to take greater account of a wider range of pertinent factors and respond to housing needs of local people more effectively.
4.3 Reform of the Private Rented Sector
4.3.1 Following on from the launch of the Scottish Government’s national strategy for the Private Rented Sector in 2012, this Act establishes a new dedicated PRS Housing Tribunal which will provide more efficient, accessible and specialist access to justice for both tenants and landlords. Local Authorities will also be given new discretionary powers to make application to the Private Rented Housing Panel with regards to breaches of the Repairing Standard. Supplementary legislation will also allow local authorities to make an application to Scottish Ministers for additional powers to target enforcement action on areas characterised by poor conditions through an Enhanced Enforcement Area (EEA). Related to this, improving new discretionary powers in relation to private sector housing will give local authorities more tools to use in tackling poor standards of owner occupied as well as privately rented housing. Regulation of the letting agent industry will also include a new Letting Agents register and statutory code of practice, which will promote high standards of service and levels of professionalism as well as provide landlords and tenants with easy access to a mechanism that will help to resolve disputes where these arise. There is no timescale set for the implementation of these provisions.
4.3.2 Comment – The positive focus on improving and developing the PRS reflects the findings of our own local research and will help to support our own strategic approach to the sector. Allowing local authorities to approach the PRHP will be helpful in cases where the tenant may not have the knowledge or skills to make a case themselves, or where the tenant feels they may be penalised by their landlord for approaching the PRHP. Local authorities will also be able to approach the PRHP independently of the tenant. There will be resource implications for local authorities as preparing a case for the PRHP can be a lengthy process. Consultation on the operation of EEAs ended in December 2014 and will inform specific regulations to be implemented. Regulation of the private lettings agents is seen as a positive move.
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4.4 Private Housing Conditions
Members and local communities may welcome the greater enforcement powers for local authorities to require owners to repair and maintain their properties but, although these new powers are discretionary, this could prove onerous to administer and will require to be adequately resourced if they are to be used effectively. The Act updates the Tenancy Management Scheme (TMS) (within the Tenements (Scotland) Act 2004) to allow local authorities to cover the cost of a missing share where the majority of owners have agreed to carry out a common repair but one or more owners cannot be located or cannot cover their share of the work. The local authority can then recover the costs directly from the missing owner through repayment charges. Previously, under the TMS, if the local authority had to cover a missing share, the cost would be split between the remaining owners who would then have to pursue the absent owner for their share. The Act also makes amendments to repayment charges which previously had to be recovered in 30 equal annual instalments. Local authorities will now be given the power to determine a reasonable repayment period of between five and 30 years. Where a period of less than 30 years is proposed, the owner will have the right to appeal.
4.4.1 Comment - Allowing local authorities to cover the cost of a missing share can help to facilitate common repairs where the majority of owners have agreed to carry out work but are being prevented from progressing by a minority of owners. However this could potentially have significant resource implications for the Council if it chose to use these discretionary powers. It may help to prevent further deterioration of common areas and avoid potentially dangerous situations and the need for emergency interventions. RSLs have similar powers to recoup expenses for works carried out in mixed tenure blocks, which may aid local housing associations to meet their SHQS requirements in situations where an unwilling owner is blocking progress with joint works. Again timescales for the implementation of these powers have not been set.
4.5 Mobile Homes Sites with Permanent Residents
Provisions in the Act aim to modernise and strengthen the current site licensing system for mobile homes. The changes will give local authorities tools to ensure mobile home sites meet acceptable standards, and that licences can be managed and revoked as required. The proposed changes will apply to the licence system for mobile home sites with permanent residents, and will not apply to mobile home parks which are only used for holidays.
4.5.1 Comment - There are 92 mobile home sites across Scotland, with over 3,000 mobile homes spread across 22 local authority areas. However, the sites are concentrated mainly in 6 particular local authorities, and
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Argyll & Bute is one of these. An increasing number of people, many of whom are elderly, live permanently in mobile homes or park homes. The existing powers that local authorities have provide insufficiently strong tools and penalties to deter and tackle poor sites. Therefore, the measures set out in the Act should be particularly welcome within this local authority and will hopefully not prove onerous or costly to administer for the relevant service section.
5.0 CONCLUSION
5.1 Different parts of the Act will be implemented at different times and in most cases we do not yet know the timetable for this, other than the abolition of RTB. Overall, the main policy and financial implications of the Act, for the council, are likely to relate to our Scheme of Assistance for the private sector. Further guidance from the Scottish Government on these aspects of the legislation is anticipated and will help to clarify our approach over the next year or so.
6.0 IMPLICATIONS
6.1 Policy – As this council no longer has a landlord function, the main policy implications of this legislation will relate to the Private Sector Scheme of Assistance which is being revised in 2015. In addition, we will need to ensure that the next Local Housing Strategy (and associated aspects of the Single Outcome Agreement) is fully aligned with the requirements of the Act.
6.2 Financial - It is not yet clear what the financial implications may be for the council in relation to the new discretionary powers in respect of EEAs and private sector stock condition. The outcome of the recent consultation on supplementary regulations should clarify this matter.
6.3 Legal – In the case of this local authority, the new legal powers are primarily discretionary rather than mandatory.
6.4 HR – Nil.
6.5 Equalities – Nil.
6.6 Customer Service - Nil
Cleland Sneddon Executive Director Community Services Cllr Robin Currie – Policy Lead Community and Culture and Housing
13 January 2015
For more information please contact: Moira MacVicar 01631 572184
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12th MARCH 2015
HEALTH AND SOCIAL CARE INTEGRATION UPDATE
1.0 EXECUTIVE SUMMARY
1.1 This report provides the Community Services Committee with an update of the progress achieved by the Council and NHS Highland in taking forward the arrangements for the integration of health and social care services as required by Public Bodies (Joint Working) (Scotland) Act 2014. The report provides summary detail of the work undertaken by the Joint Project Team as directed by the Argyll and Bute Shadow Integration Joint Board (IJB).
2.0 RECOMMENDATIONS
2.1 It is recommended that the Community Services Committee note the contents of this report
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 TH MARCH 2015
HEALTH AND SOCIAL CARE INTEGRATION UPDATE
3.0 INTRODUCTION
3.1 This report provides the Community Services Committee with an update of the progress achieved by the Council and NHS Highland in taking forward the arrangements for the integration of health and social care services as required by Public Bodies (Joint Working) (Scotland) Act 2014. The report provides summary detail of the work undertaken by the Joint Project Team as directed by the Argyll and Bute Shadow Integration Joint Board (IJB).
4.0 RECOMMENDATIONS
4.1 It is recommended that the Community Services Committee note the contents of this report.
5.0 DETAIL
5.1 The Joint Project Team developed a detailed project plan that is being implemented through a series of 13 thematic workstreams. The following key areas of progress have been reported to the Shadow Integration Joint Board:
a) Preparation of the Integration Scheme – All health and social care partnerships are required to develop and submit an Integration Scheme to the Scottish Government for approval. The Scheme is largely a technical document that sets out the arrangements for integration and is completed using a standard template designed to promote consistency across all partnerships. Following a period of consultation during December 2014, the draft integration scheme was updated with comments received from stakeholders and from the Scottish Government and was submitted for formal approval on 28 th January 2015. It is understood the Argyll and Bute scheme is one the earliest submitted and the Partnership anticipate receiving formal approval by 1 st April 2015.
b) Communication Update – Project newsletters were issued in December and January and were distributed widely to staff, community organisations, council and NHS service points and electronically through both organisations’ websites and the health and social care integration website hosted by Argyll Voluntary Action which went live week in November 2014
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(www.healthytogetheraryllandbute.org). A further newsletter issue was released in February 2015.
A detailed communications plan has been agreed by the Shadow Integration Joint Board – the following sections give some examples of this work
c) Staff Communication – The project team established an Integration Blog which is live on the Council/CHP websites for staff. A total of 1640 views of the Blog had been recorded by the end of January 2015.
Additionally the Communication and Public Involvement work stream and the Operations work stream have been working in partnership with the Trade Unions and the second round of staff information sessions will be concluded by mid February 2015. The filming of local examples of integrated working by Argyll and Bute staff has also been completed. This work will be used at staff sessions to help them explore what better integrated working will mean in their everyday working life. The approach of using local examples should stimulate the debate on exactly what integration will mean for staff undertaking their daily roles and ultimately what it will mean for service users/ patients.
d) Communication/ Engagement/ Involvement with Communities - Conversation café events are being organised in localities throughout 2015, these are being organised in partnership with the Scottish Health Council. The first round of these events took place during December and January 2015. In addition there will be a series of events which will be led by local managers to discuss with members of the public the plans for taking forward integration across Argyll and Bute.
e) Shadow Integration Joint Board Development – The development of the members of the Shadow Integration Joint Board was identified as critical the success of the governance and scrutiny arrangements for the health and social care partnership. The development of a partnership between two organisations needs to address the needs of differing cultures and perspectives. A development session for Shadow Board members and senior staff took place on 19th December 2014 which will be followed up with further work to address identified development needs for members individually and collectively.
f) Trade Union/Staff Side Joint Forum – The engagement of trade union and staff side representatives is also critical to the success of the integration process. A trade union/ staff side Forum has been established and is meeting on a regular basis with trade union/ staff side representatives attending the Programme Board and the Shadow Integration Joint Board.
5.2 It is understood that resources cannot legally be delegated to the Integration Joint Board until a 3 year strategic plan is agreed. The 3 year plan effectively sets out the priorities for health and social care in Argyll and Bute, what those outcomes will be, how they will be delivered and how resources will be used. The strategic plan will also be supported by the development of locality plans
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that reflect local needs and aspirations. It is our understanding that no formal scrutiny of the strategic plans has been put in place by the Scottish Government at this time. The Scottish Government are currently consulting on guidance related to the preparation of the 3 Year Strategic Plan which we anticipate will help guide the design of process for its development and related consultation.
5.3 As part of the integration process, Community Health Partnerships are removed from April 2015 therefore there is a need to look at transitional arrangements for the NHS governance and scrutiny in the period prior to the agreement of the 3 year strategic plan. NHS Highland have agreed proposals for a Health Governance Committee in Argyll and Bute which will fulfil that function.
5.4 During the interim period, the terms of reference for the Community Services Committee remain unchanged and it will continue to exercise its governance and scrutiny of social work services.
5.5 Key Actions
The following key activities are planned over the early part of 2015: 1. Develop an outline plan for the completion of the 3 year Strategic plan. Timescales for completion to be agreed. 2. Roll out the next set of staff sessions in partnership with the Trade Unions which proceed during 2015. 3. Finalise the development plan for members of the Shadow Board by March 2015. 4. Take forward the work relating to the senior management framework around the Chief Officer to ensure this is in place timeously and without delay.
6.0 CONCLUSION
6.1 Overall the project timeline and key deliverables remain on track with key work progressing to the satisfaction of the Joint Project Manager.
7.0 IMPLICATIONS
7.1 Policy The integration of health and social care is being taken forward in compliance with the Public Bodies (Joint Working) Scotland Act 2014
7.2 Financial None
7.3 Legal None
7.4 HR Social work staff will remain employees of Argyll and Bute Council
7.5 Equalities None
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7.6 Risk There is a detailed risk register prepared for health and social care integration and is monitored by the Shadow Integration Joint Board
7.7 Customer Service The partnership has committed to engaging and consulting with all stakeholders throughout the integration process
Cleland Sneddon Executive Director of Community Services
Policy Lead – Councillor Philand
For further information contact: Jim Robb, Head of Adult Care Tel. No. 01369 708627 Email: [email protected]
6 February 2015
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 th MARCH 2015
DIRECT PAYMENTS POLICY AND PROCEDURAL GUIDANCE FOR STAFF AND MANAGERS 2014
1.0 EXECUTIVE SUMMARY
1.1 The purpose of this report is to provide Community Services Committee with an update on progress made in relation to managing Option 1 (Direct Payments) of the Social Care (Self-directed Support) (Scotland) Act 2013.
1.2 It is recommended that Community Services Committee note the updated Direct Payment Policy and Procedures which reflects new regulations which is being presented to Policy and Resources Committee on 19 th March 2015.
1.3 The amendments made include information on Self Directed Support and how to apply the four options inclusive of requirements as detailed in the Self-directed Support (Direct Payment) (Scotland) Regulations 2014. 1.4 The layout of the proposed document has been broken down into two parts; (A) Policy and (B) Procedure, this is to allow staff to reference the legal requirements and how to apply them according to Argyll and Bute Councils requirements.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 MARCH 2015
DIRECT PAYMENTS POLICY AND PROCEDURAL GUIDANCE FOR STAFF AND MANAGERS 2014
2.0 INTRODUCTION
2.1 The purpose of this report is to provide Community Services Committee with an update on progress made in relation to managing Option 1 (Direct Payments) of the Social Care (Self-directed Support) (Scotland) Act 2013.
2.2 The Social Care (Self-directed Support) (Scotland) Act 2013 which came into force on 1 April 2014, makes legislative provisions relating to the arrangement of care and support (“community care services” and “children’s services”) in order to provide a range of options to supported persons as to how they are to be provided with their support. For example:
x Option 1 – Direct Payment; x Option 2 – The supported person directs their own support; x Option 3 – Services arranged for the supported person by the Local Authority; x Option 4 – Mixture of the three above.
2.3 This report refers to Option 1 – Direct Payment. This is a payment which is made to a supported person which can be used to buy support. The supported person can do this on their own or get help from family, friends and support organisations.
2.4 Due to the changes with the introduction of The Self-directed Support (Direct Payments) (Scotland) Regulations 2014, existing guidance has been updated to reflect these, such as;
x Ability to consent with further guidance for staff (Ability to Consent checklist appendix 3 of guidance) x Ability to make decisions with further guidance, guidance in legislation with regards to family members being employed as Personal Assistants and the exception to the family rule. x Further guidance has been added where the supported person lacks capacity.
2.5 To keep in line with guidance from the Scottish Government’s Personal Assistant Handbook, the policy developed requires evidence that the
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status of the Personal Assistant is self-employed and they are registered with HMRC to provide Care and Support in the client’s home.
3.0 RECOMMENDATIONS
3.1 It is recommended that the Community Services Committee note the updated Direct Payment Policy and Procedures which reflects new regulations is being presented to Policy and Resources Committee on 19 th March 2015.
4.0 DETAIL
Option 1 (Direct Payments) Update
4.1 The Social Care (Self-directed Support) (Scotland) Act 2013 repeals Section 12B of the 1968 Act (the duty to offer and provide direct payments). In its place the 2013 Act provides a new, enhanced duty to offer the direct payment option and to “give effect to” the person’s choice of a direct payment.
4.2 Alongside the 2013 Act the Self-directed Support (Direct Payments) (Scotland) Regulations 2014 came into force in April 2014. This is applicable to all direct payments arranged after 1 st April 2014.
4.3 For existing Direct Payments arranged before the 1 st April (as long as they were legally competent), they are not affected by the new regulations as Article 5 of The Social Care (Self-directed Support) (Scotland) Act 2013 (Commencement, Transitional and Saving Provisions) Order 2014 makes a saving provision in relation to a direct payment which has already been offered under Section 12B of the 1968 Act before 1st April 2014 and accepted.
4.4 Sections 12B and 12C of the 1968 Act (which make provision in relation to direct payments in respect of community care services) continue to apply in respect of that payment despite their repeal in section 25 of the 2013 Act as long as they are legally competent.
4.5 Argyll and Bute Council’s current Direct Payments Policy & Procedures (Appendix 1 of report) have been revised by Finance, Legal Services and Social Work staff and now require endorsement. The new policy and procedures reflect the new regulations and terminology of the 2013 Act. As part of this process there have been areas for improvement identified which will assist supported people choosing Option 1 (Direct Payment) and staff with understanding and being able to manage a direct payment such as:
Information Pack for supported people Template Letter of refusal of DP’s, in accordance with Part 4 and 5 of the new Regulations Checklist of Capacity; Capacity to Consent
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4.6 The Scottish Government Self-directed Support Policy Team have advised they are working on further guidance in relation to Section 9 of the Regulations in respect to exception to the family members rule. Further information in this regard will follow. This may require a further amendment to our policy and procedures.
4.7 Self-Directed Support Direct Payments Option 1 Policy and Procedure will be reviewed on an annual basis by SDS Officer.
5.0 CONCLUSION
5.1 The Policy and Procedures have been updated in partnership with Finance and Legal Services. They will require endorsement prior to circulation to all Social Work staff.
5.5 There have been significant changes made to Argyll & Bute Council’s Self Directed Support Option 1 Direct Payments Policy and Procedural Guidance for Staff and Mangers with regards to Self Employed Personal Assistants. A simple flow chart is being prepared for staff guidance in conjunction with the policy and procedure.
6.0 IMPLICATIONS
6.1 Policy Updated Self-directed Support Option 1 Direct Payments Policy and Procedures reflecting changes in legislation and regulations.
6.2 Financial None
6.3 Legal Complies with all legislation and regulations as detailed within report.
6.4 HR None.
6.5 Equalities None.
6.6 Risk As identified within report.
6.7 Customer Service None.
Cleland Sneddon Executive Director of Community Services
Policy Lead Councillor Douglas Philand 14 October 2014
For further information contact: Pamela MacLeod
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Project Manager – Self-Directed Support Tel: 01631 572948
APPENDICES Appendix 1 Self-directed Support Option 1 Direct Payments Policy and Procedures
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SELF DIRECTED SUPPORT DIRECT PAYMENTS OPTION 1
POLICY AND PROCEDURAL GUIDANCE FOR STAFF AND MANAGERS
Part A Argyll and Bute Council Option 1/Direct Payment Policy
Part B Argyll and Bute Council Operational Guidance
Version 1.4 August 2014 Date for Review: April 2015
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PART A
OPTION 1
DIRECT PAYMENT POLICY
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CONTENT
PART A Legal Background
1. Introduction Page 5
x Introduction to Social Care (Self-directed Support) (Scotland) Page 5 Act 2013 x The Self-directed Support (Direct Payments) (Scotland) Page 6 Regulations 2014
POLICY
2. Eligibility Criteria Page 6 . 3. Use of Direct Payments Page 8
4. Safe & Effective Recruitment Page 8
x Employing Close Relatives/Family Members as PA’s Page 9 x Self Employed PA’s Page 11 x Employing Migrant Workers Page 11 Page 11 x PVG Scheme Membership Page 13 x Purchasing Agency Services
5. Financial Arrangements Page 21
x Payment Rates Page 13 x Exceptional Circumstances Rates Page 13 6. Monitoring, Evaluation and Development of Direct Page 14 Payments
x Financial Monitoring Page 14 x Direct payment user’s Information Page 14
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1. INTRODUCTION
DIRECT PAYMENT POLICY AND PROCEDURAL GUIDANCE
1.1 The purpose of this policy is to reflect the provisions of The Self-directed Support (Direct Payment) (Scotland) Regulations 2014 which came into force on the 1 st April 2014 following the enactment of the Social Care (Self-directed Support) (Scotland) Act 2013. This Act repealed sections 12B and 12C of the Social Work (Scotland) Act 1968. The previous regulations in relation to direct payments have been revoked.
1.2 The policy will inform the procedures (Part B) applicable to all Social Work service users (“direct payment user”) and should be adopted by all staff. This document should also be read in conjunction with the Direct Payment procedures (Part B) and all supporting documentation which is available on the Social Work SharePoint site.
INTRODUCTION TO THE SOCIAL CARE (SELF DIRECTED SUPPORT) (SCOTLAND) ACT 2013
1.3 The Social Care (Self-directed Support) (Scotland) Act 2013, https://sharepoint.argyll- bute.gov.uk/sites/swproceduresandtemplates/Personalisation%20Self%20Directed%20Support/ Policies,%20Procedures%20and%20Guidance/Statutory%20Guidance%20and%20Procedures/ The%20Social%20Care%20(Self-directed%20Support)%20(Scotland)%20Act%202013.pdf
which came into force on 1 April 2014, makes legislative provisions relating to the arrangement of care and support (“community care services” and “children’s services”) in order to provide a range of options to supported person’s as to how they are to be provided with their support. For example:
x Option 1 – Direct Payment; x Option 2 – The supported person directs their own support; x Option 3 – Services arranged for the supported person by the Local Authority; x Option 4 – Mixture of the three above.
1.4 This policy refers to Option 1 – Direct Payment. This is a payment which is made to a direct payment user which can be used to buy support. The direct payment user can do this on their own or get help from family, friends and support organisations.
1.5 The Self-directed Support (Direct Payments) (Scotland) Regulations 2014 came into force on 1 April 2014. These regulations form the legal basis for this policy and are effective for all new Direct Payments from 1 April 2014. https://sharepoint.argyll- bute.gov.uk/sites/swproceduresandtemplates/Personalisation%20Self%20Directed%20Support/ Policies,%20Procedures%20and%20Guidance/Statutory%20Guidance%20and%20Procedures/ Direct%20Payment%20Regulations%202014.pdf
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1.6 Any Direct Payments arranged before the 1 April 2014 under the Community Care (Direct Payments) (Scotland) Amendment Regulations 2007 continue to apply (as long as they previously met legal requirements) in respect of that payment despite their repeal .
1.7 All existing Direct Payments will continue to be subject to review under Section 12A(1)(b) of the Social Work (Scotland) Act 1968.
Self-directed Support (Direct Payments) (Scotland) Regulations 2014
1.8 There are five parts to the Self-directed Support (Direct Payments) (Scotland) Regulations 2014.
Part 1 relates to the introduction of the regulations from 1 st April 2014 Part 2 details the calculation, payment and termination of Direct Payments Part 3 details the position re the provision of support by family members Part 4 details persons ineligible to receive Direct Payments Part 5 detailed the circumstances in which local authorities are not required to give the opportunity to a person choose a Direct Payment.
1.9 Throughout this document, the policy will be linked to the relevant part of the regulations as noted above.
2. Eligibility Criteria
2.1 In terms of Regulation 10 the persons who are ineligible to receive Direct Payments are persons who Argyll and Bute Council are arranging or providing residential accommodation or residential accommodation with nursing care for a period in excess of four consecutive weeks in any period of twelve months.
2.2 In terms of Regulation 11, Argyll and Bute Council are not required to give a person the opportunity in certain circumstances to choose a Direct Payment.
These circumstances are where Argyll and Bute Council has
(a) previously terminated a Direct Payment made to the person or (b) where the making of a Direct Payment is likely to put the safety of the person to whom support is to be provided at risk.
2.3 The statutory guidance issued by the Scottish Government https://sharepoint.argyll- bute.gov.uk/sites/swproceduresandtemplates/Personalisation%20Self%20Directed%20Support/ Policies,%20Procedures%20and%20Guidance/Statutory%20Guidance%20and%20Procedures/ SDS%20-%20Statutory%20Guidance%20-%20April%202014%20-%20V1.0.pdf states that there may be specific circumstances where in the authority’s considered judgement it is simply impossible for the direct payment option to meet the needs of the supported person and at the same time be assured that the person’s safety is not being further jeopardised by the direct payment:
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Examples where Argyll and Bute Council will use this discretion are as detailed in the guidance namely:
x Where the child’s safety will be put at risk by having a Direct Payment because it is clear that the money will not be used to purchase the support the child needs x Where the assessment is conducted at an acute point of crisis to the extent that the person’s safety would be further jeopardised by the provision of a Direct Payment. x Where the adult is defined as an adult at risk under the Adult Support and Protection (Scotland) Act 2007 with a Protection Order in place and there are specific circumstances that give rise to concerns about the person’s safety
Further examples of when the Council will use this discretion are:
x When it is premature to make an assessment about a person’s longer term need for support, typically before every attempt has first been made to maximise their capability e.g. through re-ablement. x When it is necessary to arrange support ahead of more considered planning to meet future needs e.g. to facilitate discharge from hospital. x When a person’s outcomes can best be achieved through a relationship with a practitioner, across to universal services or x Where appropriate legal powers are not in place.
2.4 Argyll and Bute Council will consider the balance in relation to our duty of care considerations between when it is or is not appropriate to refuse Option 1 due to duty of care concerns, for example:
x It would not be appropriate for Argyll and Bute Council to refuse a Direct Payment simply because the person’s disability means that it is a challenge (even a significant challenge) for them to manage the Direct Payment option. x It would not be appropriate for Argyll and Bute to refuse to provide a Direct Payment simply because the person has dementia, learning disability or any other disability which may require them to need extra support to make the Direct Payment options work; for further guidance please see Part B, Section 9 page 20.
2.5 In the circumstances where it is considered that the supported person is ineligible to receive Direct Payments, Argyll and Bute Council will notify the person/attorney/guardian/parent in writing in line with section 5 (3) (a) & 6 of the 2013 Act of the following:
x The reason why the authority considers that the supported person is ineligible. x That the decision will be reviewed where a material change in their circumstances has occurred.
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x That the supported person can request a review at a later date in order to review the initial decision. x The authority is required to give the supported person the opportunity to choose one of the other Options under the Social Care (Self-directed Support) (Scotland) Act 2013 with the exception in part of Option 4 in respect of direct payment.
3. USE OF DIRECT PAYMENTS
3.1 Argyll and Bute Council will ensure direct payment users are willing and capable of managing the Direct Payment (with or without support). The direct payment user must agree to use the money to meet their agreed outcomes as identified within their assessment and support plan.
3.4 Direct Payments may be used to:
x Directly employ Personal Assistants; x Engage an agency to provide support; x Purchase short term respite (short breaks). If periods in respite care (short breaks) are less than 4 weeks apart they will be added together to make a cumulative total. If the periods are more than 4 weeks apart they will not be added together. x Purchase aids and adaptations; x Purchase Children’s Services under Section 22(1) 1995 Act; x Purchase services from any Local Authority. x Purchase Housing Support Services (for disabled people including children ) x Purchase equipment/items to meet agreed outcomes
3.5 Direct Payments may not be used to:
x Purchase permanent residential care, or, periods of respite beyond 2 weeks in any 6 week period (this includes adults and children) x Purchase any alcohol or cigarettes, x Be used for gambling or x Be used for any illegal activity.
4. SAFE AND EFFECTIVE RECRUITMENT
4.1 Argyll and Bute Council expect the direct payment user to apply safe and effective recruitment and employment processes Argyll and Bute Council require direct payment users as Personal Assistant employers to have the following arrangements in place:
x A Protection of Vulnerable Groups (PVG) membership statement to be carried out on all Personal Assistants prior to their employment start date x Employers Liability and indemnity Insurance
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x References obtained x Staff induction and appropriate training (if required) x Probationary periods of employment. x Holiday entitlement etc. x Pension Scheme if applicable
Employing Close Relatives/Family Members as Personal Assistants
4.2 Argyll and Bute Council’s policy in relation to employment of close family relatives as personal assistant is directed by Regulation 8
4.3 In terms of the regulations a family member may only provide support to which a direct payment relates in the following circumstances namely
(a) the family member, direct payment user and local authority agree to the family member providing the support (b) the family member is capable of providing the support, and (c) any of the factors detailed below
There is a limited choice of providers: “limited choice” refers to instances where the direct payment user’s choice is narrowed by specific circumstances such where the direct payment user lives. The choice is limited in that while there may be a very small number of providers who meet the minimum requirements to provide care in the area, the range of choice is not sufficiently wide to meet the direct payment user‘s needs and their own preferred form of support. For example, due to a direct payment user living in a rural location the choice of provider that can meet their specific range of needs is narrowed to one provider with a presence in the direct payment user‘s area and the direct payment user is not content to choose that provider. The direct payment user has specific communication needs which make it difficult for another provider to meet their assessed needs x The family member will be available to provide support at times when other providers would not reasonably be available The intimate nature of the support makes it preferable to the direct payment user that the support is provided by the family member The direct payment user has religious or cultural beliefs that make the arrangement preferable to the direct payment user. The direct payment user requires palliative care The direct payment user has an emergency or short-term necessity for the support - this refers to instances where the employment of a family member would constitute a bridging solution until another care and support solution is found. An example would be where Argyll and Bute Council conducts an assessment of the direct payment user‘s needs and the direct payment user also has a relative who provides unpaid care to them from time to time. The direct payment user would prefer to find a third sector provider who will meet their needs. While the relative has been happy to help out up to this point, all parties agree that it would be more appropriate for the relative to
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do so on a formal basis until the direct payment user can find a suitable third sector provider who can fit into their life. x There are any other factors which make it appropriate, in the opinion of Argyll and Bute Council, that the family member provides the support.
Argyll and Bute Council can agree to a direct payment user employing a close relative or family member where appropriate. This flexibility is important as it provides the opportunity for such arrangements where it is the best or only solution to meeting the personal outcomes and needs for the direct payment user. This is in line with the general principles of the 2013 Act and the aims and intentions behind self-directed support which are to provide creative and effective solutions for supported people.
4.4 Argyll and Bute Council can agree or disagree to the employment of a family member. This decision will be made on the basis of whether the arrangement will or will not meet the agreed outcomes of the direct payment user and not on the basis of assumptions or a general policy stance against employing family members.
4.5 In terms of the Direct Payment Regulations, family member means the spouse or civil partner of the direct payment user, a person who lives with the direct payment user as if their spouse or civil partner, the direct payment user’s parent, child, brother or sister, aunt or uncle, nephew or niece, cousin, grandparent, grandchild, the spouse or civil partner of any of the above and a person who lives with any person listed above as if their spouse or civil partner. All other relationships fall out with the scope of the Direct Payment Regulations.
4.6 In terms of Regulation 9 a family member is not permitted to provide support if Argyll and Bute Council determines that either the family member or direct payment user is under undue pressure to agree to the arrangement or the family member is a guardian, continuing attorney or welfare attorney for the direct payment user. These two inappropriate circumstances apply – regardless of whether any or all of the appropriate circumstances apply.
4.7 The key factor is that in all cases Argyll and Bute Council can only fund the formal support arrangement up to the level that they would ordinarily support as per the assessed needs and agreed outcomes for the direct payment user.
4.8 Argyll and Bute Council will approach each request to employ a family member on a case by case basis. If Argyll and Bute Council does not agree with the employment of a family member it will explain its reasoning to both the direct payment user and the prospective personal assistant employee. It will inform both parties of additional support and information services and, where appropriate, their right to advocacy with respect to the decision. It will give the direct payment user an opportunity to query their decision with reference to the circumstances set out in the Direct Payment Regulations.
4.9 Full details of provision of support by family members can be found in Part 3 of the Self Directed Support (Direct Payments) (Scotland) Regulations 2014
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Self Employed Personal Assistants
4.10 Argyll and Bute Council will not support the recruitment of self-employed Personal Assistants unless the self-employed Personal Assistant can provide written confirmation from an HMRC Status Inspector that the work they are agreeing to undertake e.g. care and support has been approved as self- employed.
Employing Migrant Workers
4.11 Argyll and Bute Council retains no responsibility to ensure the Personal Assistants have the appropriate legal documentation to work in the UK.
PVG Scheme Membership
4.12 The Protection of Vulnerable Groups (Scotland) Act 2007
Argyll and Bute Council will develop effective arrangements to ensure that all prospective personal employers are aware of and able to discharge their responsibilities in relation to safe and effective recruitment under the PVG scheme.
4.13 For detailed guidelines on the relationship between the two frameworks Argyll and Bute Council have consulted the Scottish Government‘s best practice guidance on the interaction between PVG and self-directed support (published 2011). http://www.scotland.gov.uk/Publications/2011/08/04111811/0. This statutory guidance draws out some of the key points from the 2011 best practice guidance. Argyll and Bute Council has a range of legal duties and powers in relation to Child and Adult Protection. Argyll and Bute Council will take steps to support their staff to discharge those duties and powers alongside their duty to provide choice, control and flexibility to both adult social care users and children and families.
4.14 Argyll and Bute Council will make the direct payment user aware of their responsibility under the PVG scheme to decide whether or not a prospective employee performing a particular role is doing regulated work and should be a member of the PVG scheme. Argyll and Bute Council will identify and implement an effective process that informs local protocols and complies with the Protection of Vulnerable Groups (Scotland) Act 2007 and other relevant statutes.
4.15 Argyll and Bute Council will ensure that the direct payment user, along with anyone who may provide additional support to the direct payment user is made aware that the PVG Scheme allows personal employers to satisfy themselves that an individual to whom they are offering regulated work is not barred from doing that type of regulated work.
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Argyll and Bute Council will ensure that the direct payment user is made aware that scheme membership on its own does not mean that the individual is suitable to provide support.
Argyll and Bute Council is not entitled and cannot seek access to PVG scheme membership records for personal assistants but will ensure that the personal employer understands the importance of scheme membership, the rules on seeking and sharing information and the risks of employing an unsuitable person.
4.16 Argyll and Bute Council will not and cannot refuse a Direct Payment on the grounds that they do not have access to scheme membership statements.
4.17 Argyll and Bute Council will ensure that it develops the appropriate detail about PVG and safe and effective recruitment within their direct payment user/user agreements. As a matter of good practice the agreements will require the direct payment user to confirm their knowledge of PVG and their acceptance of the responsibility for managing any risk arising from their failure to access the available information.
4.18 Where the direct payment user employs a PA or several PAs through a Direct Payment Argyll and Bute Council will ensure that the direct payment user support plan is reviewed to assess how well their outcomes are being met. If Argyll and Bute Council has doubts about the ability of the direct payment user (or third party such as a guardian) to act as an employer or to manage risk then the Council may consider whether the Direct Payment is the appropriate mechanism to deliver agreed outcomes and can at any time request a review of the person‘s support needs.
4.19 A personal employer cannot make a referral directly to Disclosure Scotland. However, it is important that if a direct payment user has concerns about someone who is working for them, or who has worked for them, then they should raise the issue with Argyll and Bute Council. The Council will make the direct payment user aware of this at the outset, and as part of direct payment user/user agreement. The police can also be notified directly.
4.20 Argyll and Bute Council will also make the direct payment user aware of the Disclosure Scotland helpline on 0870 609 6006 and Disclosure Scotland website www.disclosurescotland.co.uk
4.21 For further guidance on the interaction between Direct Payments/ employment of personal assistants and PVG Argyll and Bute Council will consult the Scottish Government‘s document Guidance on the interaction between Self-Directed Support and Protecting Vulnerable Groups Scheme http://www.scotland.gov.uk/Publications/2011/08/04111811/0
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Purchasing Agency Services
4.22 Where a direct payment user wishes to purchase an agency service, Argyll and Bute Council will recommend that they contact the Care Inspectorate to obtain information on the quality of services provided.
4.23 Argyll and Bute Council will take steps to promote the availability of the options for Self Directed Support and will take active steps to promote a variety of providers of support.
5. FINANCIAL ARRANGEMENTS
Calculating Direct Payments
Payment Rates
5.1 Argyll and Bute Council has approved rates for individuals in receipt of a Direct Payment.
5.2 The current approved Personal Assistant Rate is £10.20 per hour. This rate enables the individual to pay the employee up to £8.00 per hour thus leaving sufficient funds within the hourly rate to cover payroll, holiday pay, tax and national insurance.
5.3 The rate provided is sufficient to cover the current national living wage of £7.65. This rate is reviewed on annual basis. This rate does not cover Statutory Sick Pay. Argyll and Bute Council will consider any claims for additional funding to cover Statutory Sick Pay on a case by case basis.
5.4 Argyll and Bute Council will not advise what rate of pay a Personal Assistant Employer should pay however the Council will ensure the PA employer understands that they are responsible for complying with the National Minimum Wage and all employer obligations such as Tax and National Insurance.
5.5 Argyll and Bute Council will confirm the approved Agency rate on a case by case basis taking into consideration the Best Rate Available for the type of support required and location.
Exceptional Circumstances Rates
5.6 Argyll and Bute Council will consider on a case by case basis situations where exceptional circumstances which require the approved rate to be varied, these are:
1. In very rural areas of Argyll and Bute where neither option 2 or 3 is available to the direct payment user and 2. The direct payment user has been unable to attract either an agency or employ a personal assistant at the current Council approved rate.
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5.7 Argyll and Bute Council will only consider such situations where the above criteria has been met and evidence of processes followed i.e. where post advertised, responses (if any) received have been provided.
5.8 All requests for exceptional circumstances rates must be authorised by Service/Locality Manager.
6. MONITORING, EVALUATION AND DEVELOPMENT OF DIRECT PAYMENTS
Financial Monitoring
6.1 Argyll and Bute Council will take account of the relevant CIPFA guidance on financial monitoring of Direct Payments.
6.2 Argyll and Bute Council will be transparent with the direct payment user in relation to the monitoring arrangements for Direct Payments. For example the Council will discuss the information the direct payment user will be expected to provide and the way in which monitoring will be carried out.
6.3 Argyll and Bute Council will monitor the take up of Direct Payments and evaluate on an ongoing basis.
Direct payment user’s Information
6.4 Argyll and Bute Council will provide all supported people considering Option 1 (Direct Payments) with an information pack. Prior to application Argyll and Bute Council will meet with the direct payment user/representative to explore the nature and effect of Option 1.
6.5 Argyll and Bute Council will ensure that the direct payment user is provided with a formal direct payment user/user agreement when they set up the Direct Payment. The use of such agreements can provide a safe and proportionate framework. They will demonstrate that a comprehensive explanation of safeguarding responsibilities has been given to the direct payment user in an appropriate format, and they confirm the direct payment user‘s understanding and acceptance of this.
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PART B
OPTION 1
DIRECT PAYMENT PROCEDURAL GUIDANCE
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PART B DIRECT PAYMENT PROCEDURAL GUIDANCE
PART B Direct Payment Procedural Guidance
7. Process Stages Page 18
8. Ineligibility Page 20
9. Ability to Consent Page 20
x Assistance with Understanding and/or Making Decisions Page 21 x Parental Consent Page 22 10. Managing Direct Payments Page 23
11. Third Party Direct Payments Page 23
12. Contingency Plans Page 23
13. Purchasing Criteria Page 25
x Employing Personal Assistants Page 25 14. Financial Arrangements Page 25
x Payment Arrangements Page 26 x Start Up Payments Page 26 x Means testing for Direct Payments Page 26 Page 27 x Seeking Repayment Page 27 x Surplus Funds Page 27 x Changes/Amendments to Direct Payments
15. Safe & Effective Recruitment Page 28
Employing Close Relatives/Family Members Page 28 Self Employed Personal Assistants Page 29 Employing Migrant Workers Page 30 PVG Scheme Membership Page 31
16. Health Services Page 31
17. Respite Page 31
18. Agreement Page 32
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19. Monitoring and Review Page 32
x Monitoring, Evaluation & Development of Direct Payments Page 32 x Initial Review Page 33 x Monitoring Matrix Page 33 Page 34 x Review Page 34 x Financial Monitoring Page 35 x Charges Incurred Retention of Financial Paperwork Page 35 x Page 35 Audit x Page 35 x Health Monitoring
20. Discontinuing Direct Payments Page 36
x Circumstances Where Direct Payments May be Terminated Page 36 x Withdrawal due to Financial Monitoring Paperwork Issues Page 37 x Suspending Payments Page 38 Page 38 x Hospitalisation Page 38 x Redundancy
Appendices
1. Memo to Service/Area Manager re Ineligibility for SDS Option 1 Page 40 Direct Payment.
2. Letter to Direct payment user regarding Ineligibility for Direct Page 41 Payment
3. Capacity to Consent Checklist Page 42
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7. Process Stages
7.1 Not all the options available under Self- directed Support will suit everyone as increased choice and control results in increased responsibility. However Direct Payments if constructed and developed on a sound basis carry the greatest level of flexibility as well as responsibility. Therefore, if a direct payment user is thinking about choosing option 1 (Direct Payment) these procedures gives the information needed to ensure the direct payment user understands what a Direct Payment is, how it might be used and help them to decide whether this is the right option for them.
7.2 The process of referral, determining eligible needs, support plan agreement and review are as per departmental processes and procedures for assessment, care management and eligibility criteria. https://sharepoint.argyll- bute.gov.uk/sites/swproceduresandtemplates/Assessment%20and%20Care%20Planning/Polici es%20and%20Procedures/Assessment%20and%20Care%20Planning%20-%20V1.doc
7.3 The care planning process is a series of linked activities:
x Setting priorities x Emphasising what people can do and their capacity for self-care x Defining service requirements (using generic terms) x Reviewing existing services or support arrangements x Assessing financial means x Discussing options / establish preferences for achieving outcomes x Exploring the resources of the direct payment user and carer – outlining what family and other carers are willing and able to do, and the needs that carers have in carrying out this role, including the support they need for their own health and well-being x Agreeing service objectives in relation to outcomes x Requesting that the department considers the request for service against other demand and resources x Co-ordinating the plan – have a description of the level and frequency of the help that is to be provided, stating which person or agency is providing that service x Setting a review date
7.4 Support plans must include as a minimum:
x a note of the assessed needs, associated risks, and how these will be managed; x the preferred outcomes of service provision; x details of the services to be provided; and x a review date.
7.5 However, when producing a support plan for a person who has opted to receive Direct Payments, the following additional information should be included:
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x which of the assessed needs has the direct payment user opted to receive a Direct Payment for. x Is there any AWI issues that need to be addressed if so complete Ability to Consent checklist (Appendix 3) and see para 11 for further actions. x Explanation of the Direct Payment Agreement and that advice can be sought from a lawyer, friend, advocate, support service. x Confirm that the person’s needs for those services be met by means of a Direct Payment. x How the person will secure the appropriate services. x Explanation of their requirements set within the ’start up’ for their Direct Payment. x What variations to the way the Direct Payments are used should be notified to the care manager before change. x What arrangements will be made to cover emergencies? x Who is providing support? x The value of the Direct Payment, how often and in what form it will be paid. x The value of the direct payment user contribution and how this is to be paid into the Direct Payment account. x What, if any, conditions are attached to the Direct Payment (e.g. if employing a relative who lives in the same house, when will this be reviewed, what attempts at recruiting should continue.) x Review date. x What the direct payment user should do if they are not managing or do not want to continue to receive Direct Payments.
7.6 The Care Manager should confirm that the services a direct payment user intends to arrange would meet the assessed needs, without being constrained by existing patterns of service provision. Direct payment users should be encouraged to identify alternative ways of meeting their assessed needs in a way more suited to their own lifestyles and preferences. Assessors will need to be able to translate the assessment into a Direct Payment package without diminishing the flexibility, which allows direct payment users to control their own support arrangements.
7.7 Direct payment users will need to consider how Direct Payments may work for them, to explore the options and set up suitable arrangements.
7.8 If a direct payment user decides not to accept Direct Payments, services will be arranged through the Council’s in-house arrangements, (this may involve external providers that have been commissioned to provide services to the council through a block contract or framework agreement). A direct payment user cannot be forced to agree to a Direct Payment.
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8. INELIGIBILITY
8.1 In the circumstances where it is considered that the direct payment user is ineligible to receive Direct Payments it is a requirement in terms of section 5 (3) (a) of the 2013 Act that the direct payment user/attorney/guardian/parent should be notified of:
• The reason why the authority considers them to be ineligible. • That the decision will be reviewed where a material change in their circumstances has occurred. • That the person can request a review at a later date in order to return to the options. • The authority must give the person the opportunity to choose one of the other options under self-directed support with the exception in part of Option 4.
Should this situation arise the allocated worker should complete appendix 1 requesting approval from Service Manager/Area Manager. On receipt of appendix 1 the allocated worker should complete and send appendix 2 to the direct payment user/attorney/guardian/parent.
9. ABILITY TO CONSENT
9.1 Within Direct Payments, the ability to consent must be considered. Not everyone will be willing to take on Direct Payments, or able to consent to a Direct Payment.
Prior to any application being made the authority should satisfy themselves that the person has the ability understand and consent to Direct Payments. Please complete Ability to Consent checklist (appendix 3).
9.2 Ability to consent should not be confused with ability to manage.
9.3 Practitioners need to explore the implications of capacity with regards to Direct Payments and a part of this consideration will involve an understanding of the person’s natural supports and the level of understanding that the person has about the choices and their implications. Clearly a Direct Payment involves additional responsibilities.
9.4 Under Section 6 and 17 of the 2013 Act the authority must take reasonable steps to facilitate assistance which will help the direct payment user to play a full part in their assessment, to understand the various choices available to them and to decide how and what ways they would like to arrange their support. This is to support reasonable, practicable steps to maximise the choice and control available to the direct payment user. The relevant provisions within the 2013 Act are not intended to impose assistance on the direct payment user. Neither are they intended to create the opportunity to develop alternative proxy decision-making powers.
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9.5 Assistance with Understanding and /or Making Decisions
The direct payment user may find it difficult to make a decision on their own. However, with some additional support they may be able to make the necessary decisions regarding the provision of their support. Where Argyll and Bute Council believes the direct payment user would benefit from further assistance, consideration will be given to the full range of decisions that a direct payment user will have to make such as:
• the range of reactive or management decisions that come with the on-going day to day provision of the support; and • any further decisions about needs, outcomes and plans associated with the review of a direct payment user’s needs.
9.6 Argyll and Bute Council will take reasonable steps to enable the direct payment user to make the relevant decisions. The authority should exercise judgement in deciding whether the direct payment user requires such assistance.
9.7 Assistance with communicating decisions
Assistance to make decisions and assistance to communicate decisions are two distinct forms of assistance, and they are treated as such by the 2013 Act.
9.8 Where the person requires assistance to communicate decisions the direct payment user may require some additional support from, for example, an interpreter or a speech and language therapist, or from a family member or friend. Argyll and Bute Council will take all reasonable steps to identify people who can help the direct payment user to communicate their decisions. The direct payment user’s agreement will be obtained before assistance is arranged.
9.9 Guidance where the direct payment user lacks capacity
Only guardians or attorneys appointed under the relevant legislation have the power to give consent and make decisions on another direct payment user’s behalf. A case manager should request a copy of the POA/guardianship order to confirm they have the relevant powers to allow them to consent to a direct payment.
9.10 Where the direct payment user has a guardian or attorney and where that proxy has the necessary powers Argyll and Bute Council will support the guardian or attorney to make the relevant decisions in relation to the person’s assessment, the support plan, the provision of choice in relation to the person’s support and the support itself. Argyll and Bute Council will ensure that the proxy is:
x fully involved in the assessment; x supported to collaborate with the professional; and x supported to make informed choices about the direct payment user’s support.
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9.11 On certain occasions it may be reasonable to predict that the direct payment user’s condition will deteriorate over time such that they will lack capacity to make decisions. Argyll and Bute Council will take steps to make the direct payment user and their family aware of the option to grant a power of attorney in these circumstances.
9.12 Argyll and Bute Council may have doubts or questions about a direct payment user’s capacity. If so the relevant professional should seek assistance from a Mental Health Officer. Where the authority concludes that an application for guardianship would be appropriate they should discuss this with the direct payment user’s family or others who may have an interest in the direct payment user’s care and support. The authority can also apply to the court for a guardianship order if no application has been or is likely to be made and a guardianship order is necessary.
9.13 Argyll and Bute Council should not make decisions about an individual’s capacity to consent to Direct Payment on the basis of the individual’s capacity to give consent in other areas of his or her life. If the individual does not have capacity to consent to a Direct Payment then the individual’s attorney or guardian, if they have relevant powers, can accept and manage a Direct Payment on their behalf. If no one has relevant powers a Direct Payment cannot be given until someone with relevant powers is appointed by the court.
9.14 Argyll and Bute Council will only make payments to an attorney or guardian once it is satisfied that he or she appreciates and accepts the responsibilities they have to the individual receiving the service and also to the local authority.
9.15 If a person cannot choose the Direct Payment, or cannot manage their support under the Direct Payment even with additional support, then Argyll and Bute Council retains its duty to provide services under option 3 – local authority selects and arranges services/support required.
Parental Consent
9.16 A parent or person with parental rights and responsibilities for a child or young person aged under 16 may give consent to receive Direct Payments to meet the assessed needs of the child or young person. .
9.17 At the age of 16 , the young person becomes the responsible person with regards to the Direct Payments arrangements At the age of 16, Argyll and Bute Council must seek consent from the young person ensuring that he or she has the support required to help him or her make the decision. If they lack capacity to consent to Direct Payments, no-one else can consent on their behalf without obtaining relevant powers through the Adults with Incapacity Act 2000. Parents will only be able to consent on behalf of their child aged 16 or over if they have a guardianship order with the relevant powers .
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10 . MANAGING DIRECT PAYMENTS
10.1 Direct payment users may receive as much assistance as they require managing their funds and their support; however they remain accountable for the way money is spent. They may ask carers, family, friends, and their circle of support or other third parties to help them manage. There is no restriction on who may help the recipient.
10.1 If they choose, they can delegate financial management to a third party. Both the direct payment user and the third party need to agree to this arrangement and complete a mandate (appendix 4) delegating financial responsibility.
10.2 If this is the preferred arrangement, the direct payment user should retain control over how the money is spent and the service secured. They may express a preference about how a service should be provided and leave the details to the third party; however they should always retain the power to overrule any decision made by the third party. Argyll and Bute Council must be satisfied that the relationship between the direct payment user and the third party has been agreed prior to Direct Payments starting.
11. THIRD PARTY DIRECT PAYMENTS
11.1 The local authority may pay all or part of a Direct Payment to a person other than the Direct Payment user (a “third party”) The Self-directed Support (Direct Payments) (Scotland) Regulations 2014 section 5; if—
(a) the Direct Payment user asks the local authority to make the payment to the third party; and (b) the local authority is satisfied that the Direct Payment user retains total control over how the Direct Payment is spent. In terms of regulation 5, a direct payment user can ask for their Direct Payment to be paid to a third party and administered on their behalf. Under a third party payment Argyll and Bute requires to take reasonable steps to ensure that the direct payment user remains in control of the payment and the direct payment user remains responsible for the Direct Payment.
11.2 It is important that the role of both the direct payment user and the third party are made clear to the direct payment user and that there is evidence that all parties understand their responsibilities e.g. signed mandate or user agreement. This can help in the event of problems occurring at a later stage
12. CONTINGENCY PLANS
12.1 For each application contingency and anticipatory care plans should be agreed in advance of the Direct Payment being made.
12.2 Argyll and Bute Council will ensure that it has the necessary systems and processes in place to ensure continuity of funding during times of crisis. For
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example, where the person uses their payment to employ their own staff the authority should take steps to fund Personal Assistant (PA) employer packages during short stays in hospital, where appropriate. This will enable the direct payment user to continue to pay employees for the initial four weeks of any hospital stay. The Council will encourage PA employers to include arrangements for hospital admission within the employment contract and terms and conditions. In all circumstances the statutory requirements governed by employment legislation must be applied.
12.3 Argyll and Bute Council’s Care Manger will discuss what arrangements the direct payment user wishes to make for emergencies. If the Council becomes aware that the person is unable to secure support to meet their needs, then the Council’s responsibility to arrange emergency support for that person is the same as if the direct payment user chooses Option 2 or 3 under the 2013 Act. The Council may decide to step in, albeit temporarily, and arrange the necessary services, but it should first consider providing assistance to enable the person to continue to manage their own support. Examples might include making arrangements with independent agencies for emergency cover or recruiting personal assistants who are prepared to work additional shifts at short notice when necessary. Where difficulties arise that were not anticipated it is helpful if the person knows they can contact a named individual in Argyll and Bute Council or a local support service whom they can ask for help. Such contingencies should form part of the user agreement.
12.4 Emergencies can occur for example when a PA being unavailable due to sickness, adverse weather conditions etc. However, in the event of the direct payment user becoming unwell and it is not possible in particular circumstances to make such contingency arrangements, then the Council is responsible for arranging services for the service user. This may include home care, or other appropriate service, arranging emergency cover if requested to do so.
12.5 Prior to each application being processed, as part of the support plan the Care Manager should discuss with each potential recipient the arrangements he/she will make for emergencies.
12.6 Each direct payment user should have a contingency plan however if the usual service breaks down and the contingency plan fails, Social Work and Health will respond as it would with any other service user.
12.7 Contingency plans may include:
• Arrangements with an independent agency provider for emergency cover and/or • Recruitment of Personal Assistants who are prepared to work additional shifts at short notice if necessary.
12.8 Should difficulties arise, areas of consideration are:
• Have the person’s needs/outcomes changed? • Is the amount of money sufficient to secure the relevant services?
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• Is the person still able to manage Direct Payments?
• Does the person wish to continue receiving Direct Payments? • Has all the money been spent on the service for which it was intended? • Have services for which the person has paid been received? • Has the money been spent wisely?
13 PURCHASING CRITERIA
13.1 Direct Payments must be used to meet the outcomes identified on the individual’s Support Plan.
13.2 Options include:
x Employing a Personal Assistant; x Purchasing services directly from a private provider or agency; x Purchasing respite x Purchasing equipment VAT exempt, ownership, insurance, replacement, client contribution etc.
Employing Personal Assistants
13.3 Employing Personal Assistants can increase choice and flexibility of the support package however the role of employer carries greater responsibilities. It is important that direct payment users have good advice and assistance to enable them to meet their obligations as an employer. Argyll and Bute Council will provide an information pack for all prospective Employers to assist with employing a personal assistant; Scottish Government’s Personal Assistant Handbook 2014. 13.4 Payroll services are provided by a variety of sources and the support agency can advise the service user on accessing these or for information on carrying out their own. A small charge is made for payroll services which will be covered in the Direct Payment package costs.
14. FINANCIAL ARRANGEMENTS
14.1 The hourly rate/s for Direct Payments recognises the recipient’s responsibilities as an employer to pay National Insurance, tax, payroll, and holiday cover. A contingency fund is also included which allows the service user to provide cover for their Personal Assistant/s annual leave, and other arranged benefits.
14.2 It should be noted that a pension amount will not be included in the gross hourly rate until it has been proven that the employee is paying into a pension scheme. The service user should obtain confirmation of this from their Personal Assistant – mandatory by 2014.
14.3 The direct payment user must enrol into the scheme for all workers who:
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• are aged between 22 and the State Pension age (dependant on date of birth) • earn at least £10,000 a year • work in the UK.
Payment Arrangements
14.4 The direct payment user will require a separate bank account for the sole purpose of Direct Payments, this must be an account that will not be used for personal business and must be a current account with monthly statements and a cheque book.
14.5 Payments from Argyll and Bute Council will be made to the account by BACS 4- weekly, in advance as per the payment schedule. A start up payment will be paid with a start date to allow the necessary administration such as insurance etc. to be paid for.
Start Up Payments
14.6 Any Direct Payment user who chooses to employ their own Personal Assistant/s will incur administration costs and such costs will be provided as a start-up payment. The list below details the expenses the payment can accommodate.
x Employer Liability Insurance x Payroll services x Recruitment costs i.e. advertising, and interviewing facilities x Training
14.7 The start-up payment will be paid to the direct payment user’s Direct Payment bank account once the agreement is signed, this will allow the service user to apply and pay for relevant insurance policies for potential Personal Assistants. In exceptional circumstances the Service Manager can authorise the commencement of the Direct Payment with confirmation in writing.
14.8 After the initial expenses, the contingency fund will cover the cost of insurance renewals etc, however if further administration monies are required, this will be considered.
Service User Charges
14.9 Means Testing for Direct Payments
(1) A local authority may assess a Direct Payment user’s ability to contribute to the costing of securing the support to which a Direct Payment relates (“a means test”) (2) If the authority carries out a means test, the authority must carry it out either- (a) Before the Direct Payment is made; or (b) As soon as possible and not later than one year after the Direct Payment has been made.
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(3) Having considered the means test, the authority may require the Direct Payment user to contribute to the Direct Payment (4) If the means test happens after the Direct Payment has been made and the authority decides that the Direct Payment user should contribute to the Direct Payment, the authority may require the Direct Payment user to repay either- (a) Part of the Direct Payment to reflect that contribution; or (b) Some lesser amount
Seeking Repayment
14.9 Argyll & Bute Council in terms of section 16 of the Act have the right to seek repayment in the following circumstances namely. If the Council is not satisfied that some or all money paid out has been used to secure the provision of the support it relates to, or if the recipient has not met the conditions imposed, The Council may require the person to repay a sum equal to the direct payment or such part of the direct payment as the authority considers appropriate
14.10 Argyll & Bute Council will consider how to recover unspent budget if the recipient dies. For example, if someone wishes to pay an agency in advice for its services, the Council will bear in mind that it may be difficult to recover money paid for services which were not in fact delivered. Argyll & Bute Council will consider that before their death the direct payment user might have incurred liabilities which should legitimately be paid for using the budget. For example, if they had received services for which payment had not been made at the time of death. There may also be occasions where additional funding is required to settle liabilities in full.
Surplus Funds
14.11 The Social Work Finance Team will review bank balances prior to the end of the financial year, or at any reasonable time, and may seek to reclaim excess funds. See Finance.
Changes/Amendments to the Direct Payments
14.12 Payments may be amended if the following situations arise:
x The payment rate and/or charging policy is adjusted; x The agreed outcomes change x The assessed needs increase and additional funds are agreed; x The assessed needs decrease resulting in a reduction of funds required.
14.13 Any change in provision, requires an authorised Community Based Charging policy and renewed support plan.
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15. SAFE AND EFFECTIVE RECRUITMENT
15.1 Safe and effective recruitment and employment processes are expected to be applied. Argyll & Bute Council expect Personal Assistant employers have the following arrangements in place:
x Protection of Vulnerable Groups (PVG) membership statement to be carried out on all Personal Assistants prior to their employment start date x Employers Liability Insurance x Taking up references x Staff induction and training (if required) x Probationary periods of employment. x Holiday entitlement etc. x Pension Scheme
Employing Close Relatives/family members as personal assistants
15.2 Argyll and Bute Council’s policy in relation to employment of close family relatives as personal assistant is directed by the Regulations.
15.3 Under the Regulations Argyll and Bute Council will agree to a direct payment user employing a close relative or family member where appropriate. This flexibility is important as it provides the opportunity for such arrangements where it is the best or only solution to meeting the personal outcomes and needs for the direct payment user. This is in line with the general principles of the 2013 Act and the aims and intentions behind self-directed support which are to provide creative and effective solutions for supported people.
15.4 The Direct Payment Regulations provide a clear framework for such decisions, providing appropriate and inappropriate circumstances for the employment of family members. This framework involves the Council as a party to any decisions. This means that Argyll and Bute Council retains the power to either agree or disagree to the employment of a family member, though this should be on the basis of whether the arrangement will or will not meet the assessed needs of the direct payment user and not on the basis of assumptions or a general policy stance in opposition to employing family members.
x The direct payment user has specific communication needs which make difficult for another provider to meet their assessed needs
The family member will be available to provide support at times when other providers would not reasonably be available
x The intimate nature of the support makes it preferable to the direct payment user that the support is provided by the family member
x The direct payment user has religious or cultural beliefs that make the arrangement preferable to the direct payment user
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The direct payment user requires palliative care
x The direct payment user has an emergency or short-term necessity for the support - this refers to instances where the employment of a family member would constitute a bridging solution until another care and support solution is found. An example would be where Argyll and Bute Council conducts an assessment of a person‘s needs and the person also has a relative who provides unpaid care to them from time to time. The direct payment user would prefer to find a third sector provider who will meet their needs. While the relative has been happy to help out up to this point, all parties agree that it would be more appropriate for the relative to do so on a formal basis until the direct payment user can find a suitable third sector provider who can fit into the person‘s life.
x There are any other factors which make it appropriate, in the opinion of the authority, that the family member provides the support.
15.5 The creation of an employment relationship results in a formal employer/employee relationship. An important condition underpinning the employment of family members is the requirement for all three parties (the Council, the direct payment user and the carer) to agree to the employment of a family member in order for the arrangements to be put in place.
15.6 In terms of Regulation 9 a family member is not permitted to provide support if Argyll and Bute Council determines that either:
x the family member or direct payment user is under undue pressure to agree to the arrangement or x the family member is a guardian, continuing attorney or welfare attorney for the direct payment user.
These two inappropriate circumstances apply – regardless of whether any or all of the appropriate circumstances
Self Employed Personal Assistants
15.6 Argyll and Bute Council will not support the recruitment of self-employed Personal Assistants unless the self-employed Personal Assistant can provide written confirmation from an HMRC Status Inspector that the work they are agreeing to undertake e.g. care and support has been approved as self- employed.
15.7 In the former instance, it is the individual who receives a Direct Payment who takes on the employer’s responsibilities for the PA’s Tax, National Insurance etc. This is because most individuals will want to decide who the person is that they see, how they work, and when they work. This cannot be guaranteed if a PA is self-employed, as they can send a substitute for themselves to do their work.
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15.8 There may be instances where a user wishes to have a PA who is already self- employed. A PA cannot be asked to be self-employed to avoid the individual who has a DP taking on employer’s responsibility such as paying tax and national insurance. It is essential that self-employed PA’s provide proof from the HMRC that they are regarded as self-employed for tax purposes. The minimum required evidence for this is written confirmation from HMRC Status Inspector. Details of the criteria the HMRC apply to determine if a worker should be classed as self-employed are given at the HMRC website. www.hmrc.gov.uk
15.9 If a direct payment user decides to contract a self-employed worker, the self- employed worker is responsible for:
x Funding their own training, including ensuring that they are trained to carry out the service they are offering x Providing a written statement that they have appropriate insurance indemnity cover, and x Undertaking and meeting the costs of a PVG check. x Providing equipment to do the contracted work e.g. gloves, hoists etc.
15.10 Buying services from a self-employed PA means that the user has some additional responsibilities. For example, they should ensure that the PA’s self- employed status relates to performing caring functions, and seek evidence of appropriate training undertaken by the self-employed PA. They must also arrange emergency cover for any periods of absence the self-employed worker may have from the contracted work. The self-employed PA is not able to arrange this cover unless they are registered with the Care Inspectorate (Care Commission) as an agency, otherwise they are effectively sub-contracting. Only registered agencies are able to provide cover as part of their service agreement. If the local authority thinks that someone is acting as agency and is not registered, the Care Manager must report this concern directly to their Line Manager who would have a duty to report this to the Care Inspectorate. If there is any doubt about whether the terms and conditions under which a worker is carrying out their duties are those of a self-employment, then the individual Direct Payment user must seek advice from the HMRC or a professional Employment Lawyer.
15.11 Argyll and Bute Council advises against contracting with a self-employed PA, except in exceptional circumstances following discussions with your Care Manager. Where Care Managers need further assistance they should seek advice from the SDS Officer.
Employing Migrant Workers
15.12 The direct payment user has a responsibility as the employer to ensure the Personal Assistants have the appropriate legal documentation to work in the UK. The support Service should assist service users requiring assistance to do this.
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PVG Scheme Membership
15.13 Where individuals employ a Personal Assistant directly, the Personal Assistant should obtain/have Protection Vulnerable Groups check. The support service will be able to facilitate this and the cost should be paid initially from the recipient’s Direct Payment, and recouped from Personal Assistant’s wage at an agreeable amount.
15.14 Argyll and Bute Council’s Self Directed Support Officer or the Care Manager should also make the direct payment user aware of the Disclosure Scotland helpline on 0870 609 6006 and Disclosure Scotland website www.disclosurescotland.co.uk .
16. HEALTH SERVICES
16.1 Direct Payments monies cannot be used to purchase health services, however relevant NHS bodies have the power to delegate making payments to the local authority and funds can be provided for this purpose.
16.2 In addition, where a package of support includes jointly commissioned services with health, arrangements with NHS partners to provide a jointly funded package can be considered; Clinical Assessment Tool for People with Complex Needs (CAT-CN) requires to be agreed by all parties and submitted to the NHS Care Funding Allocation Group for approval.
17. RESPITE
17.1 Direct Payments cannot be used to purchase long-term residential accommodation.
17.2 These are various options available to the direct payment user if they have been assessed as requiring respite.
17.3 Not all direct payment users will want to use Direct Payments for residential respite. Some may choose to go on holiday and use their funds to take Personal Assistants with them or arrange for an agency to provide support whilst they are away as per their assessed need. Once PA remuneration has been met along with subsistence, NI etc further funds may be put towards accommodation, receipts must be provided. (if additional funds are required these must be provided by the DP recipient)
17.4 If a direct payment user opts to use their Direct Payments to purchase residential respite, they must ensure that respite periods are more than 4 weeks apart, the periods would be added together to make a cumulative total. The cumulative total should not exceed 4 weeks in any 12 month period. If this situation arises, the Direct Payments cannot be used to purchase further respite.
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18. AGREEMENT
18.1 The direct payment user and Argyll & Bute Council will enter into a contractual agreement known as a Direct Payment Agreement in relation to Direct Payments. Once the Direct Payments application has been submitted and authorised, Argyll and Bute Council’s Finance Department will issue a letter of confirmation to the applicant with a copy of the agreement. This will allow the direct payment user time to seek legal advice if they wish.
18.2 The letter of confirmation will confirm the details of the Direct Payments arrangements and financial provisions in place. A meeting will be arranged by the Care Manager to discuss the agreement and providing the direct payment user is satisfied with the arrangements, the contractual agreement will be signed by, the direct payment user and/or person with the relevant powers. The direct payment user will be provided with a copy of the signed document, it will also include information and any other conditions set by Argyll & Bute Council.
18.3 If the applicant is refused Direct Payments then a letter will be issued giving reasons for refusal as required in terms of the regulations see 2.5. (Sample letter appendix 2).
19. MONITORING AND REVIEW
Monitoring, Evaluation and Development of Direct Payments
19.1 Argyll and Bute Council’s Self Directed Support Officer and/or the Care Manager will monitor the take up of Direct Payments and evaluate on an ongoing basis.
19.2 The person who receives a Direct Payment is required to sign a legally binding Direct Payment Agreement. The agreement places responsibility and obligations upon the direct payment user and Argyll and Bute Council to ensure that appropriate funding is provided regularly to meet the needs of the direct payment user and that the direct payment user spends the funding he/she receives appropriately.
19.3 The direct payment user is accountable to the Council for how the Direct Payment money is spent and will be expected to provide evidence that he/she has spent it as agreed. For “one off” payments this will normally be a copy of the receipt.
19.4 A personal assistant is one of the providers who may provide support under Option 1 in the 2013 Act. This section provides guidance on some of the issues that may arise where a supported person chooses a Direct Payment and decides that they wish to employ a personal assistant. Further guidance; Employing Personal Assistants, Sect 15 of Part B.
19.5 Argyll and Bute Councils Self Directed Support Officer and the Care Manager should be satisfied that the recipient’s needs are met through Direct Payments
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arrangement. The direct payment user should be made aware from the outset what the monitoring arrangements are.
Initial Review
19.6 The first review will be arranged and undertaken after 8 weeks, by the Care Manager with the attendance of Argyll and Bute Councils Self Directed Support Officer focusing on the Direct Payments arrangements. Prior to this review, the direct payment user should be asked by the Care Manager to have their financial monitoring paperwork completed to date in order that the Argyll and Bute Council’s Finance Team can check that no issues are developing. If no issues are identified, the review schedule detailed in the matrix will be applied thereafter.
Monitoring Matrix
Level of payment Administrative Ability Likely risk level Support package Less than £50p/wk Evidence of competence Low Annual financial review (£2,600 p/a) (reliance placed on the service review) Less than £50 p/wk Evidence of difficulty low 4-wkly financial and service (£2,600 p/a) monitor for the first 3 months (reliance placed on the service review) £50 – £300 P/WK Evidence of competence Low/moderate 12-wkly financial monitor (£2,601 - £15,600 p/a) and service monitor for the first 6mths.
Thereafter, annual financial and service review £50 - £300 p/wk Evidence of difficulty Moderate/high 12-wkly financial monitor (£2,601 - £15.600 p/a) and service monitor for the first 12 months.
Thereafter, annual financial and service review More than £300 p/wk Evidence of competence Moderate 12- Wkly financial monitor (£15,600 p/a) and service monitor for the first 12 months.
Thereafter, 6 monthly financial and service review
More than £300 p/wk Evidence of difficulty High 4-wkly financial monitor (£15,600 p/a) and service monitor for the first 12 months. Thereafter, 12 wkly financial and service review for the first 18 mths
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Review
19.7 Reviews will be undertaken to ensure that the direct payment user’s needs are being met and that the Direct Payments arrangements continues to be appropriate. It is essential the Care Manager communicates directly with the direct payment user where possible to ensure that they are happy with the arrangements, it is also important direct payment users feel they can freely express reservations or discuss any difficulties they may be experiencing without concern that their Direct Payments will be taken away. If a dispute occurs this may not affect ongoing Direct Payments until an agreement is met.
19.8 Service monitoring and reviews will be arranged as per the agreement. If it is deemed necessary, an alternative review schedule can be arranged. It should be noted that the direct payment user or Care Manger can request a review at any time if they feel circumstances have changed. With the exception of the initial 8 - week review should be needs/outcomes led, with a secondary focus on Direct Payments arrangements. If the previously identified needs have increased or reduced then a request for financial adjustments may be necessary, accompanied by care plan and Community Based Charging Policy.
19.9 The service monitoring can be carried out by the Care Manager along with Argyll and Bute Councils Self Directed Support Officer; however responsibility for the service reviews will be that of the Care Manager.
19.10 Ongoing review of needs/outcomes assessment will continue to be the responsibility of the Care Manager and the usual Community Based Charging Policy forms should be used.
Financial Monitoring
19.11 The financial monitoring should detail the frequency of both financial and service monitoring and reviews. The Care Manager, in conjunction with the Self Directed Support Officer should initially carry out the assessment of financial risk during the assessment/application process. The Social Work Finance Team will thereafter assess the risk according to paperwork and evidence submitted. The level of monitoring will be adjusted accordingly, if required.
19.12 Direct payment users will be required to account for all Direct Payments monies received and spent by submitting financial returns together with receipts, copy of payslips, invoices and bank statements for the period.
19.13 Rotas or timesheets should be completed by Personal Assistants and submitted to the direct payment user, their employer. The direct payment user should then submit this with financial monitoring paperwork.
19.14 It is important that the Care Manager raises any concerns relating to the Direct Payments arrangements with the finance team or the Personal Assistants Advisor as soon as they arise.
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Charges Incurred
19.15 Any bank charges incurred are the responsibility of the direct payment recipient / user unless incurred as a result of an error by Argyll & Bute special circumstances, the finance team may agree that the charges should be debited from the Direct Payments account. If this situation arises, the direct payment user should be advised to contact either the Self Directed Support Officer or the finance team as soon as possible to advise them.
19.16 It is important that direct payment users are not penalised for honest mistakes. Where issues arise, they should be considered on an individual basis in consultation with the Care Manager, the Personal Assistants Advisor and the Social Work Finance Team.
Retention of Financial Paperwork
19.17 All financial records relating to tax and National Insurance must be retained for at least 6 years from the end of the first financial year payments that are received and each subsequent year, whilst receiving Direct Payments. For example, if Direct Payments commenced in October 2008, the paperwork must be retained for 7 years from the end of that financial year (31 st March 2009). Therefore, paperwork relating to the period October 2008 to March 2009 could be destroyed in March 2016.
Audit
19.18 Direct Payments will be subject to audit and Argyll & Bute Council’s Audit Team may request information from Social Work and Health and/or the direct payment user at any time. The Audit Team will not contact the direct payment user directly but will request information via the Social Work.
Health Monitoring
19.19 Where a direct payment user has Direct Payments to meet certain health needs as part of their support package, a monitoring arrangement with the appropriate health authority will be required. The Care Manager is responsible for arranging all appropriate persons are included in the monitoring process.
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20. DISCONTINUING DIRECT PAYMENTS
22.1 If Argyll & Bute Council’s Care Manager/Area Manager and Self Directed Support Officer becomes concerned about the appropriateness of the Direct Payments arrangements then they may consider discontinuing payments. In these circumstances the direct payment user would revert to direct service provision from the local authority.
Circumstances Where Direct Payment May Be Terminated
(1) A local authority may terminate a Direct Payment if- (a) A Direct Payment user becomes ineligible to receive Direct Payments; (b) The Direct Payment has been used (wholly or partly) for some purposes other than to secure the provision of the support to which it relates; (c) The local authority considers on reasonable grounds that the Direct Payment user has breached the criminal law or a civil law obligation in relation to the support to which the Direct Payment relates; or (d) The Direct Payment has been used (wholly or partly) to secure the provision of support by a family member other than in circumstances where the family member is permitted to provide support by regulation 8 ( as read with regulation 9) of the Act (2) Before termination a Direct Payment, the local authority must notify the Direct Payment user of – (a) The reason why it has decided to terminate the Direct Payment; and (b) The date with effect from which the Direct Payment will be terminated (3) In determining the date with effect from which the Direct Payment will be terminated, the local authority must take into account- (a) Any contractual obligations entered into by the Direct Payment user; and (b) The time that will be required to put in place alternative arrangements to provide the support to which the Direct Payment relates. (4) The local authority must give the notification required by paragraph (2) in writing and, if necessary, in such other form as is appropriate to the needs of the person to whom it is given.
20.2 It should not be assumed that discontinuing Direct Payments is the solution to problems arising. If there are issues, the direct payment user should be supported to resolve these before consideration is given to withdrawing Direct Payments. Where possible, the decision to discontinue should follow discussion with the direct payment user and any supporter they have.
20.3 If Direct Payments are being withdrawn, the Care Manager should arrange relevant services prior to this action being taken.
20.4 The direct payment user may choose to terminate the Direct Payments arrangements. The minimum notice period they must give is four weeks. This notice must be given in writing to the Care Manger, who will involve any or all persons involved to ensure the direct payment user is not left vulnerable. Again, the direct payment user will require to consider their contractual responsibilities when giving notice to withdraw.
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20.5 Unspent money will be claimed by Argyll & Bute Council if Direct Payments are withdrawn or a direct payment user dies, taking into account financial liabilities such as services received and not yet paid for.
20.6 Termination of Direct Payment Due to Financial Monitoring Paperwork
In terms of regulation 6 (1) a local authority may terminate a direct payment in certain prescribed circumstances. If due to financial monitoring issues Argyll and Bute Councils Self Directed Support Officer or Finance Department considers the direct payment has been used (wholly or partly) for some purpose other than to secure the provision of the support to which it relates or the local authority considers on reasonable grounds that the direct payment user has breached the criminal law or a civil law obligation in relation to the support to which the direct payment relates it may terminate the direct payment.
20.7 Argyll and Bute Council’s Finance Team will correspond directly with the direct payment user regarding missing paperwork and/or evidence in the first instance. They will write on two separate occasions and if they do not receive the documentation required, the Finance Team will refer the issue to the Care Manager or Self Directed Support Officer.
20.8 The following steps will be taken before Direct Payments are discontinued on the basis of not fulfilling contractual obligations:
x Care Manager/ Self Directed Support Officer will be notified by the finance team that more than one period of monitoring paperwork is outstanding
x The Self Directed Support Officer will issue a letter to the direct payment user requesting contact within 21 days regarding monitoring paperwork, and copy correspondence will be sent to the Care Manger
x If no response is received, a further letter will be issued advising if contact is not made or paperwork submitted within 7 days the Direct Payment may be terminated.
x The Area Manager will write to the recipient advising of the reason for the termination and the date when Direct Payments will cease giving 4 weeks’ notice. During this period the recipient must resolve any issues and demonstrate that they are able to manage Direct Payments effectively. The decision to withdraw may be reviewed as a result and alternative services arranged
x If Direct Payments are withdrawn the Finance Team will issue a letter detailing the monies outstanding as per the last monitoring paperwork reconciled. Notice of 14 days prior to an invoice being raised.
Copy of all correspondence will be sent to the Care Manager.
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Suspending Payments
20.9 Argyll & Bute Council may wish to suspend Direct Payments under certain circumstances.
20.10 The amount of payment may be increased, decreased or suspended to reflect changing outcomes or to recoup overpayment. Following a review, a revised Support Plan and Direct Payment Calculation must also be completed to indicate changes with authorised budget holder approval. This will allow a variation to the direct payment Agreement to be forwarded to the direct payment user for signature.
Hospitalisation
20.10 If a direct payment user is admitted to hospital, Direct Payments will continue to be paid for 4 weeks. If the person does not return home during this period then a review should be held to determine if payments should continue. Payments may be reduced or suspended at this point however, each direct payment user’s circumstances will be considered on an individual basis.
20.11 It is important that payments continue where Personal Assistants are employed to allow contracts to remain in place and continuation of care on the direct payment user’s return home.
20.12 Where services are purchased from an agency, direct payment user would be advised to notify the agency and suspend arrangements, if possible, taking into account any contractual agreement.
20.13 It may be possible for Personal Assistants – agency – to continue to provide care in the hospital setting, depending on the nature of care and treatment being administered. If it is not possible, Personal Assistants may be able to take on different duties temporarily providing support to the direct payment user whilst in hospital for example, visits, shopping, laundry etc.
Redundancy
20.14 If a direct payment user employs Personal Assistants and Direct Payments cease for whatever reason, the Personal Assistant may be entitled to a redundancy payment. Argyll & Bute Council will provide the direct payment user with sufficient funds to cover the statutory payment if the situation arises .
20.15 Statutory redundancy and notice are detailed in the table below.
Age of Employee Pay Due for Each Completed Year 18 or over, but under 22 0.5 weeks
22 or over, but under 41 1 week
41 or over, but under 65 1.5 weeks
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20.16 In addition to the above, the statutory notice period should be applied as follows:
x At least 1 weeks’ notice if employed between 1 month and 2 years x 1 weeks’ notice for each year if employed between 2 and 12 years x 12 weeks’ notice if employed for 12 years or more
20.17 Any annual leave due and not taken should be taken into account.
20.18 Direct payment users must notify their Care Manger, the Self Directed Support Officer and the Finance Team of the date notice is given to employees.
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Appendix 1 The linked image cannot be displayed. The file may have been moved, renamed, or deleted. Verify that the link points to the correct file and location.
Argyll and Bute Council Comhairle Earra Ghàidheal agus Bhòid MEMO COMMUNITY SERVICES Adult Care Executive Director: Cleland Sneddon
Date: Extension:
To: Service Manager/Area Manager Your Ref:
From: Our Ref:
INELIGIBILITY FOR SELF SIRECTED SUPPO RT OPTION 1 – DIRECT PAYMENT
Name of Direct payment user : CareFirst ID :
Please find enclosed letter of notification of ineligibility to the above named-individual for receipt of Self Directed Support Option 1 (and part Option 4 – delete if appropriate) .
If you are in agreement with my decision, can you please sign the undernoted authorisation confirmation.
Care Manager
------
Name of Direct payment user :
CareFirst ID :
I agree the above-named individual is ineligible for receipt of Self-directed Support - Option 1 Direct Payment.
Service Manager/Area Manager
Date:
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Appendix 2
Argyll and Bute Council Telephone: Mobile: If phoning or calling please ask for: Our Ref: Council Website: www.argyll-bute.gov.uk Date:
Dear
With reference to your recent request for Option 1 (and part Option 4) of Self Directed Support (Direct Payments), Argyll and Bute Council regret to inform you that you are not eligible to receive Direct Payments at this time.
The reason for this decision is (insert reason from Eligibility Criteria)
As part of Self Directed Support the following options are still available to you in order for your outcomes to be met, these options are as follows:
Option 2 : The Council or an organisation of your choice holds the budget but you are in charge of how it is spent to meet your agreed outcomes.
Option 3 : You ask your council to choose and arrange the support that it thinks is right for you.
Part Option 4 : Allows you to choose a mix of options 2 and 3.
Your Care Manager can assist you to explore these options further or if you wish they can sign post you for independent advice or assistance.
As detailed above, this decision has been made on the basis that (enter reason for refusal). Should your circumstances change you are entitled under the (Self Directed Support) (Scotland) Act 2013 to request a review of this decision.
Should you require any further information please do not hesitate to contact me on either of the above numbers.
Yours sincerely
Care Manager
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Appendix 3
CAPACITY TO CONSENT
Consider and check all boxes to confirm the individual has consent to be able to manage the responsibility of a Direct Payment.
It should be assumed that every applicant is able to consent with the appropriate support. For some, supported decision-making will be crucial to the assessment/application process. This may be in the form of a Circle of Support or in the more formal setting of an Independent Living Trust. These types of support do not reduce in any way the choice and control the individual has, it is essential that the views and wishes of the individual dictate the decision-making regardless of who actually makes the arrangements.
The applicant has an understanding of Direct Payments; please ¥ the appropriate boxes.
Is there a:
Continuing Power Of Attorney Welfare Guardian Financial Guardian
Please provide details:
Name of POA, Guardian: ……………………………………
Date of POA, Guardian: ……………………………………..
• Does the applicant have the ability to make their choices and preferences? Yes No
• Does the applicant have the ability to overrule decisions made by others? Yes No
• Is the applicant able to manage most aspects of Direct Payments with help or training if required? Yes No
• Is the applicant capable of keeping good financial records or instructing another to do this for them? Yes No
• Is the applicant able to set up good quality services for themselves or are capable of instructing another to do this for them? Yes No • Is there a third party involved? Yes No
Argyll & Bute Council must be satisfied that the relationship between the direct payment user and the third party has been discussed and agreed before the package begins. The authority must also be satisfied that the individual is aware that they can receive the payments direct if they wish. Has this been discussed and agreed? Yes No
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Section 8.37 Statutory Guidance SDS (Scotland) Act 2013
The Direct Payment Regulations 2014 specify that a local authority is not required to offer the option of a direct payment where it is likely that the making of the direct payment will put the safety of the direct payment user at risk.
……………………………………………………… ………………………………..
Care Manager’s Signature Date
……………………………………………………… ………………………………..
Direct Payment User’s Signature Date
……………………………………………………… ………………………………..
Third Party Signature Date
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 MARCH 2015
SDS SELF EVALUATION
1.0 EXECUTIVE SUMMARY
1.1 The purpose of this report is to highlight the key messages and focus on the recommendations made for all 32 Councils following an audit by Audit Scotland in relation to Councils’ progress in implementing the SDS Strategy and their readiness for the Social Care (Self-directed Support) (Scotland) Act 2013.
1.2 This report will also reference key issues detailed in the audit of Planning, Leadership, Working in Partnership and Managing Budgets which have already been or require to be addressed as part of Argyll and Bute Council’s SDS Strategy and implementation plan.
1.3 Further to the main report, Audit Scotland issued a supplementary paper setting out some issues that Councillors may wish to consider in relation to progress in implementation of self-directed support in their Council. This report will highlight these key issues and provides references to our response to these areas.
1.4 A key issue raised within the audit report named Argyll and Bute Council as one of five Councils where no evidence was found of Elected Members being updated through formal Committee papers on progress with implementing SDS, or the implications for social care and other services between January 2011 and January 2014. Advice to members has been through presentations to Elected Members Seminars and briefings at local area committee business days.
1.5 It is recommended that Community Services Committee note the content of the report.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITEE
COMMUNITY SERVICES 12 MARCH 2015
SDS SELF EVALUATION
2.0 INTRODUCTION
2.1 The purpose of this report is to highlight the key messages and focus on the recommendations made for all 32 Councils following an audit by Audit Scotland in relation to Councils’ progress in implementing the SDS Strategy and their readiness for the Social Care (Self-directed Support) (Scotland) Act 2013. Appendix 1 of this report will reference key issues from the report which have already been or require to be addressed as part of Argyll and Bute Council’s SDS Strategy and implementation plan.
2.2 With the exception of detailed study work in four named Councils, findings were anonymous. However on page 16, point 26, Argyll and Bute Council was named as one of five Councils where no evidence was found of Elected Members being updated through formal committee papers on progress with implementing SDS, or the implications for social care and other services between January 2011 and January 2014. Advice to members has been through presentations to Elected Members Seminars and briefings at local area committee business days.
3.0 RECOMMENDATIONS
3.1 It is recommended that Community Services Committee note the content of the report.
4.0 DETAIL
4.1 Key Messages from Audit Scotland Report are as follows:
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Councils still have a substantial amount of work to do to fully implement SDS. Some have made slower progress than others and they will have to implement the cultural and practical changes more quickly over the next few years. Councils need effective leadership from senior managers and Councillors and continued support from the Scottish Government through detailed guidance and regular communication on how implementation is progressing across the country.
4.2 Councils have adopted different methods of allocating the money they spend on social care to support individuals. There are risks and advantages with each model. Regardless of the approach taken, Councils should manage the risks carefully without unnecessarily limiting people’s choice and control over their support.
4.3 Social care professionals have welcomed SDS because it has the potential to improve support for people who need it. SDS will work best if Councils make sure that people can choose from a range of different services and support. Councils should work more closely with people who need support, and with their carers, providers and local communities to develop the choices that will improve people’s lives.
4.4 Audit Scotland Report Key Recommendations state that Councils should:
• Ensure that they have a clear plan and effective arrangements for managing the risks
• Plan how they will allocate money to pay for support for everyone who is eligible as demand for services increases
• Plan for how and when to stop spending on existing services if too few people choose to use them
• Plan to develop and invest in new forms of support for people with social care needs
• Assess and report on the short and long-term risks and benefits of the way they have chosen to allocate money to support individuals
• Monitor and report on budgets and spending on social care services.
• Take action to lessen the risks of overspending, which might mean that they are unable to provide support for everyone who needs it
• Work more closely with people who need support, their carers and families, providers and communities, to involve them in planning, agreeing and implementing SDS strategies
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• Develop a local strategy in partnership with all stakeholders for what social care services and support will be available to people in the future.
4.5 Further to the main report, Audit Scotland issued a supplementary paper setting out some issues that Councillors may wish to consider in relation to progress in implementation of self-directed support in their Council. Appendix 1 highlights these key issues and provides references to our response to these areas against the self-assessment checklist for Council officers to help review progress in implementing self-directed support within their Council. Argyll and Bute’s position is as follows:
5.0 CONCLUSION
5.1 The Audit of progress regarding implementation of the Social Care Self- directed Support) (Scotland) Act 201 was undertaken as SDS has significant implications for the way Councils and other organisations provide social care and for those people who need support. The audit report identifies both financial and organisational risks to the Council in successfully implementing SDS.
5.2 Implementation of SDS in Argyll and Bute Council has been progressing steadily with ongoing development continuing within each of the key areas identified by Audit Scotland. A clear action plan arising from the variation of the staff training events as detailed in reference response P4 (pg 11) and L4 (pg 13) Appendix 1, will be identified as part of the SDS Improvement plan which also feeds into the joint Adult Care improvement plan.
5.2 Argyll and Bute Council have completed the corresponding checklist for Council Officers and work is ongoing to ensure all the recommendations contained within the audit report have either been or in the process of being addressed and adhered to. Clear action plan
6.0 IMPLICATIONS
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6.1 Policy Consistent with Social Care (Self-directed Support) (Scotland) Act 2013.
6.2 Financial Introduction of SDS may impact on current spend on Social Work budget sustainability of in-house services.
6.3 Legal Council must ensure compliance with Social Care (Self-directed Support) (Scotland) Act 2013.
6.4 HR Difficulty in recruiting and retaining social care staff in some areas may lead to some options not being available in some areas.
6.5 Equalities SDS policy is based on the human rights principles of fairness, respect, equality, dignity and autonomy for all.
6.6 Risk Failure to ensure all recommendations are met may lead to failure to comply with statute.
6.7 Customer Service People will be given more choice and control over their support.
Cleland Sneddon
Executive Director of Community Services
Councillor Douglas Philand Policy Lead
14 October 2014
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For further information contact: Pamela MacLeod
Project Manager – Self-Directed Support
Tel: 01631 572948
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Appendix 1
Response Questions Audit Scotland suggest Councillors should consider Reference
1. Are all eligible people newly assessed as needing social care offered the four SDS options? P1
2. What is the council's vision for the way it wants to deliver social care in future? Is this vision understood and shared P2 by councillors, senior managers and council staff?
3. What strategies does the council have for implementing SDS? P3
4. What detailed plans does the council have for continuing to implement and review SDS over the next few years P4, L4
5. Do councillors receive regular updates on how SDS implementation is progressing? Page 209 L5 6. What are the main risks to the council in implementing SDS, and what are council staff doing to manage these? L6
7. What evidence does the council have that SDS is having a positive impact on people's lives? P7, L7
8. How could the council engage better with people who use social care services and their carers, and providers and P8, W8 professional staff?
9. When people have their needs assessed and reviewed, do social workers and other professional staff help them to P9 identify what impact they want services to have on their lives (their outcomes)?
10. What approach does the council use to calculate individual budgets for people who have eligible social care needs? P10, M20
11. What are the benefits and risks of the approach the council has chosen compared to other methods? P11, M20
12. Will this approach continue to work well over the next few years? P12, M20
13. Does the council engage well enough with organisations providing social care services in the area? Are they represented P13, W13 on project boards? Are they engaged as partners in developing SDS plans?
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14. What are the implications of SDS for the council as it puts new health and social care partnership arrangements in place? W14 15. Will the implications of SDS be addressed by the new partnership arrangements? W15 16. Does the council know the point at which each of its in-house social care services may no longer be viable? M16 17. Does the council monitor use of services to predict whether/when this is going to happen? M17, L17 18. Does the council have plans for what to do in these circumstances? M18 19. Does the council appraise all the options for services that may become unviable? M19 20. What are the financial risks in implementing SDS, and what are council staff doing to manage these? M20 Page 210 21. How is the council developing SDS option 2? M20 22. Does the council have appropriate contracts or framework agreements to support SDS option 2? M22
Response reference corresponds to recommendations and council checklist beginning on page 9:
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Appendix 1
Planning
Response Issue Current Position Action Required RAG Status Ref Planning P1 We now offer SDS to all eligible Where relevant, all people are Ongoing monitoring as part of Green people when we assess or review offered the options available to performance and reporting measures their social care needs them under the Act. Information about SDS and information about independent support organisations provided at point of review for existing cases and when eligibility for support has been confirmed for
all new cases. Performance Page 211 reporting set up to monitor compliance. P2 We have a clear vision for the way we want to deliver social care in the future and:
x this vision is widely shared and 2015 – 16 Service Plan – Adult Improvement Plan for 2015 – 17 to be Amber understood by Councillors, seniors Care completed. managers and staff. Improvement plan for 2015 - 17 Joint Commissioning Strategy for Older being completed People to be evaluated following public Integrate Children and Young consultation, this will then inform the Persons Service Plan, Argyll and strategy. Cascade final strategy. Bute’s Children. Continuation of current practice x Managers and frontline staff are Practitioners group established Green given opportunities to examine and this group examines and their procedures and contribute to contributes to updating current changes. procedures along with fortnightly support forum for Team Leaders
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and Area Managers.
P3 We have clear strategies and detailed, In place - Implementation plan; Continual monitoring, reviewing and Green up-to-date plans to continue risk register etc all in place. varying where appropriate. implementing and reviewing SDS. Project Board established for governance.
P4 We have developed ways of Currently being developed in line Reporting sub-group set up to devise a Amber assessing the impact of SDS by with the new Adult Assessment suite of reports, using appropriate monitoring how successfully Social for Adult Care. Via review of the reporting tools, which inform Care services improve people’s lives. Childs Plan for Children and management groups on the progress of Families the implementation of Self Directed Support in Argyll and Bute. 5.1.4 of the Single Outcome Page 212 Agreement relates to measurement of SDS. This measure is currently being reviewed. Our plans address:
P9 x How we assess people’s needs Assessment and care Full implementation of new assessment Amber and identify the impact they want management processes currently documentation (Universal Adult services to have on their lives being reviewed to reflect the Assessment – UAA) and procedures to be values and principles of the Act achieved for Adult Care. Universal Child Assessment already in place within the GIRFC framework for Children and Families.
x How we allocate individual budgets Supported Assessment P10 Questionnaire (SAQ) and Continue to monitor and evaluate the Green P11 Resource Allocation System RAS.
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P12 (RAS) in place. Apply RAS to new cases and existing cases are Develop the review process to include costed at equivalency. This is good conversations recognising the applicable across all of social impact the support has made on their lives work. and clarifying the option chosen remain preferred option.
P7 How we monitor and review the P13 impact of individuals’ support on their lives
Our plans address:
P13 x How we work with providers in the Communication Strategy. Ongoing work Green
third and private sectors, and local Providers forums established. Page 213 businesses and communities to Also, providers representation develop the services available to part of the Project Board people membership.
P16 x How we work with the NHS so that Work ongoing with Health staff. Require approval of Adult Care process Amber people receive joined up health Training/information sessions and communicate with the integrated and social care support specifically for Health staff will be workforce. NHS Briefing sessions held. Joint working on Adult Care currently underway assessment framework and joint P8 x How we involve service users, working established via GIRFEC Programme of public engagement Green carers and families in planning, process. currently underway. agreeing and implementing SDS Collating feedback from supported people, families and carers.
P4 Our plans address: x Policies, procedures, training and Workforce Development strategy Continued evaluation and variation where Green guidance for front line staff in place, co-delivered with appropriate.
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Scottish Personal Assistant Employers Network.
x Information, advice and advocacy Guidance and processes being Implement new UAA and guidance Amber for people to help them make updated. New UAA enables choices under SDS. signposting / referral prompt.
Leadership
Issue Current Position Action Required RAG Status Leadership We regularly (at least quarterly): Partially in place. Page 214 L5 x Report progress against our Report to SWMT bi-monthly on Regular reports to be made to Elected Green implementation plans to senior progress on implementation. Members. managers and Councillors Some reports proceed to DMT, then Community Services Committee/ Area Committee.
L6 x Assess the risks and actions we Risk Register in place and updated Continual monitoring Green are taking to lessen them on a monthly basis. Project Board receives operational updates on a monthly basis.
In progress. x Monitor and report on the options Processes being developed for Amber L7 chosen by people under SDS monitoring and reporting on options chosen.
Our plans ensure that as SDS x Monitor use of in-house services to L17 inform reviews of sustainability options are taken up we are Ongoing monitoring of the use of in- mindful to examine the cost of house services.
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such services to ensure that we have an accurate monitoring of Green the cost of external services where the cost of such services are higher due to flexibility. We are in the process of building on our existing management and reporting structures both internally in conjunction with Finance and HR and across the developing Integration structure to achieve the above
Current Risks: Running in-house services that are no longer
financially viable, resulting in Page 215 overspending on these services
Mitigating factors: we know the costs of running each in-house service and have calculated the point at which there are not enough users to financially sustain the service.
We monitor how many people are using the service and act quickly to consider the options when trends show the number of people using the service is decreasing.
L4 Our staff have the time, information, In progress. Need to ensure senior operational Amber training and support they need to managers/[practitioners adopt the
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work with people to design their We have developed a Workforce philosophy of SDS and champion the individual package of support. Development Strategy with four values and principles of the Act and levels of training in place and dates subsequently cascade to their teams. identified throughout 2014/15. Feedback and evaluation from practitioners has identified a gap in knowledge. Our Councillors and senior managers Yes, they are engaged with Develop a plan to achieve active Amber are actively involved in engaging with people, however not specifically engagement as recommended by using people who use social care services, with regard to SDS. “INFORMING, ENGAGING AND their carers and providers. CONSULTING PEOPLE IN DEVELOPING HEALTH AND COMMUNITY CARE SERVICES” CEL4 (2010) guidance. Page 216
Working in Partnership
Issue Current Position Action Required RAG Status Working in Partnership We fully involve users, carers, Consideration has been given Confirmation of representation to Project families, communities and service to include third sector Board. providers: organisations to identify carer, service user and third sector W8 x In planning, agreeing and representation on the Project implementing our SDS strategy Board. Actively seek feedback from the community. Green (i.e. not just informing and consulting them). Engagement with already established x In discussions about SDS that We are actively seeking Locality Forums, Carers groups etc. as Green encourage thinking creatively about feedback from service users, identified in the asset mapping exercise. what services would have the most carers and families on their positive impact. experience of assessment, provision of support etc.
Resource directory now
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available via Council website. P13 We work in partnership with service W13 providers, giving them information, Attended and updated Care at Development of regular all provider forums consulting them about our plans and Home and Providers Forums. Green fully involving them in our strategy for developing SDS services in our area.
W14 Councils and NHS Boards should Joint Project Team – Integration Joint Project Team – Integration to provide W15 consider the implications of SDS responsible for considering feedback to SDS Project Team. Green before they put in place the new implications and feedback to Health and Social Care Partnerships SDS Project Team. planned under the Public Bodies (Joint Working) (Scotland) Act 2014. Page 217
Managing Budgets
Issue Current Position Action Required RAG Status Managing Budgets M16 We know at what point each in- Our plans ensure that as SDS Ongoing monitoring of the use of in-house house service will no longer be options are taken up we are services. Green viable and what action we will take mindful to examine the cost of if that happens such services to ensure that we Review Block Purchase Contracts – have an accurate monitoring of Commissioning the cost of external services x Measure benefits derived from where the cost of such services block purchased services are higher due to flexibility. x Decide what criteria to use to We are in the process of building measure benefits of the contracts on our existing management and x Establish criteria to decide if reporting structures both service still effective internally in conjunction with Finance and HR and across the developing Integration structure
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to achieve the above
Framework Agreements monitored regularly
M17 We monitor our spending against In place. Cost information and usage information will Green M18 our financial plans and we are We currently understand the be improved when social care services are M19 ready to take action to avoid a costs of each element of added to the Carefirst system, currently potential overspend. social care services weak. Reports devised to analyse trends through the Carefirst Financials modules. Have developed good systems x Continue to use historic and
of analysing trends and forecasting information to plan future Page 218 budgets and patterns of spend predic ting future demand for services x Budget monitoring procedures and existing reporting mechanisms. Commitment accounting. Developed financial plans using this in for mation Monitor social care budgets closely against financial plans and take prompt action when variations are identified Use Priority of Need criteria M20 We have assessed the benefits and RAS recently been evaluated and Ongoing monitoring and development of risks of our chosen approach to a report detailing the outcome of RAS. Amber allocating individual budgets and the evaluation and reported them to Councillors and recommendations has been Currently procedures and processes being senior managers. actioned. updated by Social Work – Financial monitoring procedures in line with CIPFA We have reviewed our financial Matrix. We are planning to develop a RAS. controls for direct payments x Currently memo produced when
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To inform this, we have looked at reviewed previous misuse of direct financial issues arise, sent to how similar approaches work for payments and taken a proportionate appropriate area manager, other Councils and allowed approach to guarding against this processes needs to be robust when sufficient time and cost to develop misuse occurs and clear procedure fully. Have suitable arrangements for put in place by Social Work. approving single large items o f x Approval will be subject to existing expendi ture. scheme of delegation and is clearly documented. Guidance should be included in There is no clear guidance on x both user and staff procedures when a Direct Payment can be around the termination of a Direct withdrawn as a result of a Payment. service user not managing Discussions have taken place with the funds provided to them legal, finance and Social Work. correctly. Outcome - Social Work need to
agree a termination procedure Page 219 M22 We have decided to introduce a We have frameworks and pre Green framework agreement with external placement contracts i.e. more providers. In their contracts, the choice across the locality from standards we require providers to our existing suppliers and the meet and the information we ask new ones via the new care at them for is not so demanding or home framework for older people restrictive that some new innovative and LD services. services would have difficulty meeting them.
M20 We should be clear how we will We have submitted the stocktake Implementation plan will be revised subject Amber continue to implement the changes questionnaire as requested by to outcome of bid made to Scottish required for SDS after 2014/15 if Scottish Government identifying Government. Scottish Government additional funding required transformation funding does not 2015/16; 2016/17; 2017/18 and continue at current levels. 2018/19. GAE concluded settlement for 2015/16
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This page is intentionally left blank Page 221 Agenda Item 15
ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12TH MARCH 2015
COMPLIANCE WITH CONTRACTUAL CONDITIONS: INDEPENDENT HOME CARE PROVIDERS
1.0 EXECUTIVE SUMMARY
1.1 Recent correspondence from Members has led to the request for an updated report on the Terms and Conditions of employment in use by Care at Home Providers.
1.2 As agreed, the Procurement and Commissioning Team (PCT) liaised with all 14 Care at Home providers to discuss their compliance with current employment law, as required in the terms and conditions of their contract. Information was requested around all conditions of service. This included employment contracts, pay rates and travel time/mileage payments. In addition, a request was made to providers to confirm what internal compliance systems they had in place and what, if any scrutiny they received from HMRC. Consideration of sleepovers is outside the scope of this review as there are separate contractual arrangements in place for these cases.
1.3 The review shows that the 3% increase in minimum wage requirements has slightly increased the risk of providers breaching employment law. Two providers were potentially breaching the requirements for a small number of staff. Adult Care has agreed an increase in the hourly rates paid with immediate effect for these providers and they have agreed that most of the increase will be passed on to their staff. This should remove the risk of not complying with minimum wage legislation. The PCT will continue to monitor this at quarterly contract monitoring meetings.
1.4 The Community Services Committee is asked to note that action as part of this review should have removed the risk of care at home providers not complying with minimum wage legislation. The PCT will continue to monitor this at quarterly contract monitoring meetings. New guidance on implementation of the living wage is expected to be issued by the Scottish Government in due course. Once this is received, a further report will be brought back in due course about the implications of this.
1.5 It is recommended that the Community Services Committee:
a) notes that action as part of this review should have removed the risk of care at home providers not complying with minimum wage legislation. The PCT will continue to monitor this at quarterly contract monitoring meetings.
b) New guidance on implementation of the living wage is expected to be issued by the Scottish Government in due course. Once this is received, a further report will be brought back in due course about the implications of this. Page 1 Page 222
ARGYLL AND BUTE COUNCIL COMMUNITY SERVICE COMMITTEE
COMMUNITY SERVICES 12TH MARCH 2015
COMPLIANCE WITH CONTRACTUAL CONDITIONS: INDEPENDENT HOME CARE PROVIDERS
2.0 INTRODUCTION
2.1 Recent correspondence from Members has led to the request for an updated report on the Terms and Conditions of employment in use by Care at Home Providers.
2.2 The Procurement and Commissioning Team (PCT) liaised with all 14 contracted Care at Home providers to discuss their compliance with current employment law which is required in the terms and conditions of their contracts. Information was requested about all relevant conditions of service. This included employment contracts, pay rates and travel time/mileage payments. In addition, a request was made to providers to confirm what internal compliance systems they had in place and what, if any, scrutiny they received from HMRC.
3.0 RECOMMENDATIONS
3.1 It is recommended that the Community Services Committee:
a) notes that action as part of this review should have removed the risk of care at home providers not complying with minimum wage legislation. The PCT will continue to monitor this at quarterly contract monitoring meetings.
b) New guidance on implementation of the living wage is expected to be issued by the Scottish Government in due course. Once this is received, a further report will be brought back in due course about the implications of this.
4.0 DETAIL
4.1 The PCT, alongside Adult Care, have carried out a review to ensure compliance in all areas highlighted in section 2 above. A summary of the findings is attached. (See appendix 1).
4.2 Since the previous report submitted in March 2014, national minimum pay rates increased on 1 st October 2014 from £6.31 to £6.50 per hour. No uplift has been awarded to providers to compensate for this.
4.3 Out of the 14 service providers reviewed, it was found that the increase in minimum wage rate has led to two providers being at risk of non-compliance with the legislation, with staff potentially being paid less than the minimum wage in some circumstances. This situation was limited to the two providers identified and affected a small number of staff. This was a direct impact of the minimum wage Page 2 Page 223
increase. No evidence was found of a deliberate breach of the legislation by the providers.
4.4 One additional provider requires to be closely monitored. This will be done through the contract management process in partnership with the provider concerned. Initial discussions have taken place with this provider. They have advised that they have a compliance system in place that identifies the risk of staff falling below minimum wage. The provider has agreed to closely monitor the situation and advise PCT accordingly.
4.5 Adult Care agreed to increase the hourly rates for two providers as described below to address the issues identified.
Provider A
4.6 The review found this provider was also at risk of breaching employment law. This breach was not found to be widespread; however it did affect a number of staff. Adult Care agreed an increase in hourly rates with immediate effect to ensure compliance. The PCT are working with the provider to ensure 70% of the uplift is passed on directly to staff, to address the issues identified.
4.7 The increase in service in this case did not solely take account of minimum wage requirements. This provider historically had a very low rate in comparison with others within the sector. In order to sustain the provision and ensure future efficiencies for the Council, Adult Care also used the opportunity to rationalise this provider’s rate.
Provider B
4.8 The review found this provider was also at risk of breaching minimum wage requirements. This breach was not widespread; however it did affect a number of staff. The provider had already recognised the risk and is in the process of identifying solutions. The provider is currently taking advice from ACAS and working out a pricing model to resolve the issue. Adult Care agreed an increase in their hourly rate to ensure compliance. The provider has agreed that 80% of this uplift will be passed on directly to staff. The Procurement and Commissioning Team are actively working alongside this provider to ensure this is achieved.
Sleepovers 4.9 The providers included in this report provide a minimal level of sleepovers. Where these are provided, separate rates have been agreed with providers and these are out with the scope of this review.
4.10 In addition to the above findings, PCT also noted an issue around current commissioning arrangements by Adult Care services staff. The current spot purchase process can on occasion, inhibit providers having consistency in service planning. This may have a detrimental effect on some of the issues providers are facing on complying with Employment Law. More efficient commissioning by council staff which assists in eliminating gaps in time between visits can assist providers significantly in deploying their staff efficiently and within employment law.
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4.11 Adult Care has recognised the significance of this issue and is addressing this in the following ways. Adult Care commissioned IRISS (Institute for Research and Innovation in Social Services) to work with our partner providers to identify issues
and find solutions to address the issues. IRISS facilitated two meetings, in each locality and one central event for all partners. A number of work streams were identified and Adult Care has identified leads and prioritised them with associated timescales. One work stream identified is around block purchasing of care at home hours within peak time slots. Due to the issues above, this work stream has been accelerated and work is well underway to develop and present a model that minimises the risks affecting breach of employment law. In addition to the agreed work streams from the IRISS events, the Head of Adult Care and the PCT are also working with the independent providers in moving them to a position whereby a number of other issues are being considered. Specifically:
x A single set of conditions of service . While the conditions of service are very similar in terms of net pay, they are presented very differently in relation to basic pay and travel & subsistence rates. As a consequence, there continues to be unnecessary movement of staff across different companies resulting in staff often not being deployed consistently and efficiently.
x The termination of zero hour contracts . This model has been widely used, throughout the sector, to address fluctuating levels of demand. An example being where clients are admitted to hospital and alternative work is unavailable to their regular carers. In this case, employers only pay for the hours worked. The IRISS work stream described above will assist with this. Since the previous report in March 2014, two providers have successfully moved to contracted hours for employees who want to take this option.
x Remote and Rural Services . Adult Care recognise the issues around delivering service in remote and rural localities, the impact this can have on providers costs and the resources required to service these areas. Adult Care is planning to look at local solutions using existing infrastructures to build capacity within rural communities.
The Living Wage:
4.12 Currently we await guidance from the Scottish Government on how to implement the relevant sections of the Procurement Reform Act regarding the living wage. PCT along with Adult Care will liaise with all our existing care providers to determine the potential cost implications of moving to this rate. This piece of work will take place in the first quarter of 2015. The Community Services Committee should also be aware that Unison and Scottish Care consider that the Council should only contract with providers who pay the living wage. A further report will be brought to the Strategic Management Team on this in due course.
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5.0 CONCLUSION
5.1 The review shows that the 3% increase in minimum wage requirements has slightly increased the risk of providers breaching employment law. Two providers were potentially breaching the requirements for a small number of staff. Adult Care has agreed an increase in the hourly rates paid with immediate effect for these providers and they have agreed that most of the increase will be passed on to their staff. This should remove the risk of not complying with minimum wage legislation. The PCT will continue to monitor this at quarterly contract monitoring meetings.
5.2 Longer term, as detailed in 4.11 above, Adult Care and PCT will ensure that all our providers are able to meet their legal requirements and are supported by the Council in doing so via the commissioning process. Work is currently underway to improve all local commissioning practices. Adult care will require to formally sign off on the recommendations from IRISS that will allow this work stream to be approved.
5.3 It is essential that a viable regulated homecare sector is available to support the care of older and disabled people who choose to remain at home. To this end, the Council should expect to pay a price which includes the following:
x Cover the costs of the workforce, including ,as a minimum, full-compliance with the prevailing National Minimum Wage, including the time spent travelling between service users’ homes; x Recognise that local labour markets often require wage rates above the minimum wage to recruit and retain a suitably skilled, experienced and stable workforce; x Recognise the costs of statutory regulation, and the levels of management supervision, organisation, training and development necessary to meet the purchaser’s expectations of quality and safety.
5.4 This report addresses minimum wage issues. A further report will be brought to the Community Services Committee on the implications of the Living Wage following receipt of Scottish Government guidance.
6.0 IMPLICATIONS
6.1 Policy: Compliance with all relevant national policies and procedures. 6.2 Financial: £40,587 full year costs p.a...
6.3 Legal: Reduces risk of challenge of home care providers not complying with national minimum wage as per their legal duties and contractual requirements.
6.4 HR: None – these are contracted services.
6.5 Equalities: None
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6.6 Risk: Identified reputational risk addressed. On-going monitoring will be required. 6.7 Customer Service: None
Cleland Sneddon Executive Director of Community Services
Councillor Douglas Philand, Policy Lead
For further information contact: Jim Robb, Head of Adult Care 01369 708627 APPENDICES
Appendix 1: Summary of home care providers’ payment rates
Page 6 Appendix 1 Summary of home care providers’ payment rates
System in Pay Travel Fuel Cost Staff Hourly Enhanced Contractual Provider Provider Pay Mileage? Sick Pay Holiday Pay place to meet Hourly Rate Time? Given Rates Rates NMW? Arrangements
Provider £15.52 No Yes 35p per mile £6.59-£8.24 £8.05-£9.00 S.S.P. 28 days Yes Zero Hours, but A £16.65 – in one (weekdays) (weekends) based on offered guaranteed Framework locality average after 6 months( 25/26 th Dec & hours conditional on 1/2 nd Jan – worked and attendance, Double Time paid for availability and previous 12 performance) weeks Staff continually offered fixed hour contracts (FT & PT) but little take up – staff like flexibility Page 227
Provider £12.00 Yes B Yes - Yes 25p per mile £7.31 p/h 25 th Dec & 1 st S.S.P. 28 days Zero Hour Contracts Incorporated in Jan – Time and time allocated a half Full time hours = 35 hours per week, Provider £13.50 No Yes 15p per mile £7.00 – £7.50 weekends S.S.P. 28 days Zero Hours Contracts C weekdays Yes
Yes Zero Hour Contracts Provider £14.00 Yes – at hourly Yes - when Min or 20p Minimum of 25/26 th Dec & S.S.P. 28 days D rate suing own per mile. £7.50 1/2 nd Jan – Full time hours = 35 transport Max of 45p Double Time hours per week, per mile
Provider £11.00 No No No £7.50 p/h N/A S.S.P 5weeks Yes Zero Hour contracts E holiday pay on average hours
Page 1 System in Provider place to meet Pay Travel Fuel Cost Enhanced Provider Hourly Rate Pay Mileage? Hourly Rates Sick Pay Holiday Pay NMW Contractual Time? Given Rates Arrangements
Based on length Provider Different rates Yes – as Yes 40p per mile Starting salary of service: 25 days A/L Yes Permanent FT/PT F for four standard - £7.09 Less than 1 year plus 10 contracts localities: additional service – public * £16.80 hours 2weeks holidays, Relief Staff – Zero * £16.36 full/2weeks half After two Hour Contracts *£16.50 pay years’ * £15.05 1-2years service service – 4weeks annual leave full/4weeks half increased by 2-4years service 1 day each – 8weeks year up to a
full,8weeks half maximum or Page 228 4-6years service 30 days – 16weeks full/16weeks half More than 6 years – 26 weeks full/ 26weeks half.
Provider £14.17 No Yes 10p per mile Week Days - Weekends - S.S.P. 12 week Yes Zero Hour Contracts. G in town £7.68 £8.20- £9.68 working time 20p per mile report Full time hours = 35 out of town hours per week 40p if travelling out with normal working area Zero Hours & Provider £13.75 Yes – only on 35p per mile – Annual car £7.20 p/h £8.75 p/h S.S.P. On pro rata Yes Contracts. H certain after 5miles bonus given (annual review basis 16 hours per week. supports in from town to all drivers of hourly rates) 24 hours per week outlying areas centre 40 hours per week (FT)
Page 2 System in Provider Pay Travel Fuel Cost Enhanced place to meet Contractual Provider Pay Mileage? Hourly Rates Sick Pay Holiday Pay Hourly Rate Time? Given Rates NMW Arrangements
Provider I £12.65 No Yes 25p per No Carer - £7.25 As Argyll & Bute S.S.P. 5.6 times Yes Zero Hours Contracts mile Council for normal Senior Carer - public holidays. weekly hours £8.25 Hourly rate x2 – times the number of hours worked that day Yes - if part of Yes 35p per mile £7.56 N/A S.S.P. 5 weeks & 3 Yes Zero Hours Contracts Provider J £14.46 spot purchase days – paid agreement leave Full time hours = 35 hours per week No – unless Staff claim On £7.30-£8.50 Team Leaders S.S.P. Paid Yes Zero Hours Contracts Provider Different rates travelling mileage occasions are paid 50p per K for two outside of through tax fuel is paid hour more
localities: normal place relief system for an Page 229 16.80& of work emergency £13.80 situation Yes Provider £16.40 Yes - £6.50 Yes 20p per mile £7.80 25/26 th Dec & S.S.P. 5.6 weeks Zero Hours Contracts L p/h 1/2 nd Jan – holiday Double Time Within Hourly Yes 18p-25p per £6.65-£7.50 Enhanced rates S.S.P. Holiday pay Yes As of 1 st April 2014 Provider Different rates Rates mile on accrued for staff eligible for 18 M for three weekends/after all staff at hour fixed contracts. localities: 8pm and for 12.07% However only 30% of *£13.83 bank holidays staff across the * £13.95 service took up these *£12.75 permanent contracts. Provider £13.18 No – unless to Yes – 25p per 25p per mile £7.15 N/A S.S.P. 5.6 weeks Yes Full time & Part time O Arrochar mile £8.15 - TL paid or 85p contracts available. p/h banked Bank Staff – Zero Hour Contracts
**None of the above providers have received any scrutiny from HMRC in respect to the minimum wage requirements.
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This page is intentionally left blank Page 231 Agenda Item 16
ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 MARCH 2015
The Scottish Government’s response to the consultation on the redesign of Community Justice
1.0 EXECUTIVE SUMMARY
The main purpose of this report is to advise the committee on the Scottish Government’s response to the consultation on the delivery of community justice in Scotland and proposes a model that offers a local community solution to the achievement of improved outcomes for the management of offenders. This will be achieved through the mechanism of Community Planning Partnerships (CPPs) and a national strategy developed jointly with local government, key partners and in consultation with stakeholders. Argyll and Bute Council has supported the move towards a model of local accountability and determination. Pending changes to legislation, the transition from current arrangements to the new model will be concluded by April 2017. Current responsibilities assigned to Community Justice Authorities (CJAs) will be transferred to local CPPs and statutory and non-statutory partners will shape future arrangements for delivering community justice. There will be a statutory obligation placed upon specific partners that will include a requirement to involve the third sector, community-based organisations, service users and communities in the planning and delivery of service. Guidance on the new requirements of CPPs will be developed by the Scottish Government in partnership with COSLA when the Community Justice Bill, that will provide the necessary powers for CPPs, has received Royal assent. Financial implications are as yet unclear due to a parallel project reviewing the funding formula for the ring fenced grant that currently provides Local Authority social work criminal justice services. The funding formula timetable is yet to be confirmed. Costs of transition and undertaking of new responsibilities by the CPPs will be met by the Government through transfer of existing grants to CJAs and provision of a transition fund. Arrangements for criminal justice social work will be a matter for those taking forward the joint working arrangements for health and social care integration locally and that the proposed model for community justice will encompass any type of structural arrangements in place locally.
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2.0 RECOMMENDATIONS
2.1 It is recommended that the Committee note the content of the report, specifically that a new model for Community Justice will be in place by April 2017.
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ARGYLL AND BUTE COUNCIL COMMUNITY SERVICES COMMITTEE
COMMUNITY SERVICES 12 MARCH 2015
The Scottish Government’s response to the consultation on the redesign of Community Justice
3.0 INTRODUCTION
3.1 The redesign of community justice follows from critiques of current arrangements in the report of the commission on women offenders and also Audit Scotland and was the subject of consultation in 2012/13 in which the Scottish Government proffered three models for community justice.
As none of the three models were, of themselves, fit for purpose a more recent consultation was undertaken by the Scottish Government in 2014 seeking views on a hybrid model that had, at its core, local determination, control and accountability supported by a national body – the response to this being the subject of this committee report.
The Scottish Government defines Community Justice as: “The collection of agencies and services in Scotland that individually and in partnership work to manage offenders, prevent offending and reduce reoffending and the harm that it causes, to promote social inclusion, citizenship and desistance” .
Criminal justice Social Work services in Argyll and Bute are currently delivered within a formal partnership arrangement with services in East and West Dunbartonshire. There is facility within the new design to retain or amend pre- existing partnership arrangements.
4.0 RECOMMENDATIONS
4.1 It is recommended that the Committee note the content of the report, specifically that a new model for Community Justice will be in place by April 2017.
5.0 DETAIL
5.1 The Scottish Government published their response to the consultation on the redesign of Community Justice on its website on 15 December 2014 (See Appendix 1).
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The model proposed by the Scottish Government seeks to deliver a community solution to the achievement of improved outcomes for community justice and offender management, through the mechanism of Community Planning Partnerships (CPPs). In order to achieve this, there will be a national strategy developed jointly with local government and key partners, in consultation with stakeholders, to deliver against a set of long-term outcomes around reducing reoffending, increasing public safety, public reassurance, and reducing costs.
The proposed model is supported by the Convention of Scottish Local Authorities (CoSLA) and Social Work Scotland (formally ADSW). Argyll and Bute Council has contributed to consultations regarding this matter and supports the proposed model of redesign for community justice.
5.2 There are key steps and a timescale to progress the move away from the Community Justice Authority to the Community Planning Partnership having responsibility for Criminal Justice (see appendix 2). By the 1 st April 2017 the new model of Community Justice will be in place in Scotland.
5.3 The new model has different elements and defines the role of a newly-created national body (Community Justice Scotland: CJS) and that of a National Hub for Innovation, Learning and Development.
Community Justice Scotland (CJS) This executive, non-departmental public body will have the following functions:
x Providing national, professional and strategic leadership for community justice in Scotland x Offering expert advice to Scottish Ministers and CoSLA leaders, as required x Providing oversight of the delivery of the new national outcomes, performance and improvement framework for community justice in Scotland x Identifying and advising on how justice and other resources can be better aligned to improve outcomes for community justice x Management of any services which have been identified and agreed as being best delivered on a national basis.
It is intended that staff within the national body will have a mutually supportive relationship with their counterparts in CPPs. There will be no lines of accountability from CPP staff to those in CJS or vice versa. In addition, CJS will not have responsibility for local or national operational service delivery.
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National Hub for Innovation, Learning and Development The Hub will have a much wider remit than that currently carried out by the existing Training and Development Officer (TDO) network and will work under the auspices of CJS. It is proposed that the four key activities of the Hub are:
x core functions : such as producing a national training schedule and taking a strategic approach to workforce development x research: such as synthesising existing research, and commissioning and undertaking new research x practice development : such as management of community justice training programs and facilitating and creating practitioner networks x knowledge exchange : such as collaborating with other organisations, bodies or professions to facilitate the sharing of best practice.
5.4 Local Strategic Planning and Delivery
Whilst the Scottish Government model does not require CPP’s to create separate ‘community justice’ partnerships, it underlines the need for local partnerships to ensure they can deliver, and indeed improve upon, the outcomes for community justice. There will be statutory obligations on specified partners through the planned legislative changes which will include a requirement to involve the Third Sector, community-based organisations, service users and communities in the planning and delivery of services. The guidance on how to undertake this will be developed during the transition process through the CPP Transition Working Group (CPPTWG) which has been established to assist with the shift of responsibilities from CJAs to CPPs.
In terms of Criminal Justice Social Work arrangements, the Scottish Government state that this is a matter for those taking forward the joint working arrangements for health and social care integration locally and that the proposed model for community justice will encompass any type of structural arrangement in place locally. This has implications for the local Criminal Justice Partnership arrangements and work is ongoing within the partnership to identify options about what such tripartite arrangements might look like in the future of community justice – particularly the arrangements of the three CPPs across the three authorities of the Criminal Justice Partnership. The new model highlights that the commissioning of services may be local, regional or national – although it is likely to be a mixture of all three across Scotland as a whole. The Scottish Government will publish a national strategy on commissioning for community justice. Each CPP will require to publish a plan and any aspects of commissioning will be guided by the proposed national strategy document.
As stated earlier, a national strategy will be developed and, alongside this, a national performance management framework will also be developed for outcomes, performance and improvement.
Although responsibility will remain at a local level for achieving the required outcomes, assistance can be sought from CJS if local issues cannot be
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resolved successfully. Beyond this, the model outlines powers for CJS to recommend to Scottish Ministers and Local Government Leaders where it sees failure to deliver on stated outcomes. These powers range from providing improvement support, through to recommending specific multi- agency inspections, to the power to recommend that a rescue task group be established to work with a partnership and partners.
In terms of the requirements on CPPs (and partners) advice and support materials are being developed to support CPPs as they prepare for the transition and a series of local, regional and national events will be held to help raise awareness. Official guidance on the new requirements on CPPs will be developed by the Scottish Government, in partnership with CoSLA, once the Community Justice Bill has received royal assent.
5.5 Governance and Accountability under the Future Model
The Scottish Government is clear that CPP’s will not be accountable to CJS for performance and elected members will continue to have local scrutiny and accountability. CJS will, in the main, engage through the local partnerships, established through CPPs, which plan and deliver outcomes for community justice. Additionally, CJS may need to engage directly with CPP Chairs, Boards or with individual partners particularly around the sharing of best practice and the resolution of any issues.
The issue of Multi Agency Public Protection Arrangements (MAPPA – the mechanism for the management of high risk offenders in the community) was raised throughout the process of consultation. The Scottish Government state that the coordination of MAPPA (discharged by a MAPPA Coordinator in each CJA) will not change. Although the document does not state who will have direct responsibility for the MAPPA units, there appears to be a presumption that the current arrangements with a host local authority (Inverclyde, in our case) will continue. MAPPA units are required to produce an annual report – in the new model this will be incorporated into the CPP annual report (which will be a statutory task for each CPP).
5.6 Funding
When the legislation for the new model goes before the Scottish Parliament, there will be a Financial Memorandum to accompany this. However, the Scottish Government states that it is committed to ensuring the running costs of the new model will be met from within the existing resources to fund the current CJA model. In the future, Section 27 money will go directly to local authorities rather than via the CJA as it does presently. Work has already been started by the Scottish Government to look at the current funding model and a work-stream has been commissioned to look at incentivisation and the better linking of resources available to outcomes. However, it must be highlighted, that the model contains the requirement for all partners – not just Criminal Justice Social Work - to contribute or align resources and the expectation is that preventative approaches will be considered within local partnership arrangements as part of this.
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In terms of funding CPP development and capacity, the Scottish Government will provide a transition fund of £1.6M per year (starting 2015/16) for a period of three years (although this will be subject to review at the end of 2015/16 due to the UK Comprehensive Spending Review). This fund will be split between the 32 local authorities and will be released when the Scottish Government receives “credible” plans from each CPP on how the money will be spent.
There are currently no proposals to redirect resources from Police Scotland, Scottish Prison Service and the Scottish Court Service to sustain work by Community Justice Services targeted at reducing reoffending.
6.0 CONCLUSION
6.1 Argyll and Bute Council members and officers have been forward in supporting a local model of delivering community justice. Following consultation, the Scottish Government have agreed a model that places local determination at its core with the support of a national body. Local determination will ensure local needs direct delivery of service using, where possible, resources based within the community to the benefit of service users.
6.2 Transition to the new arrangements is expected to be concluded by April 2017. During this time there is work to do, both centrally and locally, to ensure the detail is in place for a positive transition. This will include reviewing local arrangements and relationships with statutory and non-statutory services and, specifically, the new role and powers of the CPPs as governors of community justice.
7.0 IMPLICATIONS
7.1 Policy There are no immediate policy implications. Argyll and Bute Council will continue to discharge its statutory duties in respect of services to offenders and the public through social work legislation and community safety planning.
7.2 Financial Criminal justice social work services are provided via a ring-fenced grant under Section 27 of the Social Work (Scotland) Act 1968, administered through the CJAs. Administration of the grant will fall to the CPPs in 2017. There is an expectation by the Government that the redesigned community justice approach will be provided within the existing (or future equivalent) resources of partner agencies, which includes the Local Authority criminal justice service.
The cost of transition from CJA to CPP will be met through a 3 year fund from the Government and as such there should be no financial implication for the Council in this respect. It is important to note, the funding formula for
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determining the Section 27 grant for Local Authority Criminal Justice Social Work services is currently under review and therefore it is impossible to determine what the financial impact may be for the Council under the new arrangements. The current criminal justice partnership arrangement with the East and West Dunbartonshire’s affords financial economies of scale for Argyll and Bute.
7.3 Legal The transition of governance and accountability to CPPs will require a review of the legal arrangements, currently in place between Argyll and Bute Council and North Strathclyde Community Justice Authority, which will transfer to the CPP. Consideration should be given to opportunities for CPPs to devolve aspect of day to day governance to the Local Authority Community Services Department.
7.4 HR There are no Human Resource implications.
7.5 Equalities There are no Equalities implications.
7.6 Risk There is a risk to the Criminal Justice Partnership between Argyll and Bute, East and West Dunbartonshire’s. The new design allows for the continuance of existing partnership arrangements however this will be a matter for the CPPs to review and consider best value within the new governance arrangements.
7.7 Customer Service The new arrangements for community justice, with local determination and delivery at its core with greater integration of all partners and third sector agencies, will provide an improved service to offenders and their families.
Executive Director of Community Services Policy Lead: Cllr Mary Jean Devon
8 February 2015
For further information contact: Jon Belton Service Manager 01546 604567 [email protected]
APPENDICES x Appendix 1: Future Model for Community Justice in Scotland: Response to Consultation x Appendix 2: Timeline for implementation of Community Justice Redesign
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Future Model for Community Justice in Scotland: Response to Consultation Page 240
Ministerial Foreword
I am pleased to announce this response to what has been an in-depth consultation with partners and stakeholders across the country on the future model for community justice in Scotland. We have strived to engage with as many organisations and individuals as possible and have taken account of their comments and views in this response. During the two formal consultation exercises undertaken since December 2012, we have held 22 stakeholder events across Scotland which were attended by nearly 900 people and we have received over 170 written responses. This is a clear indication of the passion and commitment of those involved in community justice, including those working in Local Government, Community Justice Authorities (CJAs), the Third Sector, prisons, police, health, and numerous other agencies and organisations. I am grateful to all those who have taken the time and effort to participate in one or both of the consultation exercises either in person or in writing. I am pleased to note that the majority of responses to this consultation were positive and supportive of the rationale for the model and the outcomes we hope to achieve through it. The new model is designed to harness this commitment and passion as much as possible by encouraging a collaborative approach to local service delivery through Community Planning Partnerships (CPPs). We want those involved to feel empowered by the structures in place, not hindered by them, and believe this model will help deliver the best possible outcomes for those who find themselves in need of our support. I would especially like to thank the CJAs for their on-going involvement, professionalism and patience as we work through the detail of this new model. I should also stress the importance I place on the continued commitment from partners to engage with the CJAs during the transition period. Such involvement will be critical both in terms of maintaining the focus on reducing reoffending, but also in accessing and utilising the valuable knowledge and experience of the CJAs experience as we move through the transition period and into the new arrangements. I am committed to ensuring the level of Scottish Government engagement with partners and stakeholders continues in the months and years ahead and look forward to your further support and enthusiasm.
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List of acronyms
ADSW Association of Directors of Social Work CJA Community Justice Authority CJSW Criminal Justice Social Work COPFS Crown Office and Procurator Fiscal Service COSLA Convention of Scottish Local Authorities CPP Community Planning Partnership MAPPA Multi Agency Public Protection Arrangements RMA Risk Management Authority RRP2 Phase 2 of the Reducing Reoffending Programme SCS Scottish Courts Service SPS Scottish Prison Service SOA Single Outcome Agreement TDO Training Development Officer
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Executive Summary
We thank all those who responded to the consultation on the future model for community justice in Scotland. This paper represents the Scottish Government response and should be read in conjunction with the document “Future Model for Community Justice in Scotland: Frequently Asked Questions”.
In designing the Future Model for Community Justice in Scotland, the Scottish Government sought to address the issues raised in 2012 by the Commission on Women Offenders and Audit Scotland. The approach to redesign has, therefore, centred around: improved leadership and collaboration; evidencing and delivering improved outcomes; increasing prevention; and learning and workforce development.
To provide the strategic vision for community justice in Scotland, a national strategy will be developed with local government and key partners and in consultation with stakeholders . The aim is to deliver against a set of long term outcomes around reducing reoffending; increasing positive citizenship; increasing public safety; increasing public reassurance; reducing costs and reducing stigma.
The new model delivers a community solution to the achievement of improved outcomes for community justice ; to the problem of reoffending and the task of offender management, building upon investment made by the Scottish Government and Local Government in community planning and utilising strengthened provisions expected under the Community Empowerment (Scotland) Bill. As we are empowering communities, so too are we empowering the individuals and organisations who work towards improved outcomes for community justice.
The model emphasises that a strategic approach can be taken at a national, regional or local level.
Local strategic planning and delivery of services through Community Planning Partnerships (CPPs) is central to the new arrangements. With this emphasis upon collective responsibility through a partnership approach we are placing decision-making into the hands of local people and agencies who know their communities best, understand the problems that are unique to their region, and will be most affected by community justice issues that relate to both victims and offenders.
It is imperative that this be driven at a local level. However, to provide leadership, enhanced opportunities for innovation, learning and development and to provide assurance on the delivery of improved outcomes, a new national body – called Community Justice Scotland – will be established. Community Justice Scotland will have a non-hierarchical relationship with CPPs and their partners .
In addition, the formation of Community Justice Scotland will provide further opportunities to commission services strategically as well as taking on some of the operational work currently undertaken at a Scottish Government level. The establishment of a Hub for innovation, learning and development within the body will provide the community justice workforce and community justice itself with the
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Page 243 Scottish Government Response – Future Model for Community Justice in Scotland profile and identity it deserves, together with evidence of what works to inform commissioning, and practice and partnership standards.
The model will be defined by a performance culture through the establishment of an outcomes, performance and improvement framework against which local partnerships can plan and report. This will provide real opportunities to monitor progress, drive improvement, offer consistency and link decisions and actions to analysis of need and what works, leading to increased efficiency and effectiveness .
One of the many benefits of the model is the elements of continuity that it offers:
Local partnership arrangements will build upon existing capabilities under CPPs; Criminal Justice Social Work (CJSW) will continue to be managed and delivered at a local level; The Risk Management Authority (RMA) will remain as a standalone public body, with clear links developed to Community Justice Scotland; and Support for national offender programmes will remain at a national level, moving to the Hub within Community Justice Scotland.
There remains much work to be done to reduce reoffending in Scotland. It is imperative, therefore, that CPPs, partners and Community Justice Authorities (CJAs) continue to work together on the planning and delivery of community justice during the transition period .
The Scottish Government will support CJAs and CPPs in their working together and during the transition. We will make available transitional funding for CPPs . These funds will support them to build their capability and capacity to work together with partners on the achievement of improved outcomes for community justice.
Timescales
Timescales for the full introduction of the future model are dependent upon primary legislation 1. Work is already underway, particularly on supporting the CPP transition process. We anticipate that CPPs will be able to assume their responsibilities under the new model in transition from 1 April 2016, with full responsibility being conferred from 1 April 2017 once the required legislation comes into force. Community Justice Scotland will be established during the latter part of 2016/17. CJAs will be formally dis-established on 31 March 2017 with the full model coming into effect on 1 April 2017.
1 To implement the new model in full will require primary legislation. The subject of legislation is, of course, a matter for the Scottish Parliament. Timescales contained within this response are, therefore, indicative. 4 Page 244 Scottish Government Response – Future Model for Community Justice in Scotland
Chapter One - Introduction
Background
1. On 09 April 2014, the Scottish Government launched a consultation on the detail of the future model for community justice in Scotland having noted the intention to do so when the model was first announced on 13 December 2013. This was in response to a previous consultation : “Redesigning the Community Justice system: A consultation on proposals”. That consultation had followed the publication of two reports: one by the Commission on Women Offenders and another by Audit Scotland on reducing reoffending .
2. The 2014 consultation on the detail of the future model for community justice in Scotland ran from the 09 April 2014 until 02 July 2014. A total of 66 responses were received. A total of 9 stakeholder consultation events were also held around Scotland and were well represented, with over 340 attendees.
Purpose of this document
3. This paper is the Scottish Government response to that consultation. It provides a summary of the Scottish Government’s response to the key points made by respondents to the consultation, and describes Ministers’ thinking with regard to the Bill that will be introduced to the Scottish Parliament at a later date. It addresses points made in the written responses that were submitted and also draws together a number of key observations that have been made to Ministers and officials during the consultation, at public consultation events and at other meetings including three events held with community planning partners across Scotland.
4. This paper should be read in conjunction with the “Future Model for Community Justice in Scotland: Frequently Asked Questions”.
5. To implement the new model in full will require primary legislation. In this document, we have referred to legislation and terms such as “functions” and “duties” to describe the role of the organisations in the new model. These are our policy intentions. The subject of legislation is, of course, a matter for the Scottish Parliament. Timescales contained within this response are, therefore, indicative.
6. The work to deliver the new model which will achieve a successful community justice system in Scotland is being taken forward under the Redesign of Community Justice Project as part of phase 2 of the Reducing Reoffending Programme (RRP2).
7. This project and its associated workstreams will be referred to throughout this response.
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Chapter Two - Overview of the Future Model for Community Justice in Scotland
What we asked
8. The consultation set out the overview of the Future Model for Community Justice in Scotland which had been developed in conjunction with key stakeholders and partners, including the Convention of Scottish Local Authorities (COSLA), CJAs, the Association of Directors of Social Work (ADSW – now Social Work Scotland) and the Third Sector. The model was designed to meet the needs of service users, victims, their families and the communities of Scotland.
9. We asked for general comments on the overview of the new arrangements for community justice.
What we heard
10. The majority of organisations who responded to the consultation were in favour of the proposed new model for community justice. Both the new body and the Hub were broadly welcomed and there was widespread agreement that the planning and management of community justice services should rest with CPPs. Ensuring that planning remains at the heart of local communities and responsive to local needs which may vary across the country was welcomed and most respondents felt this reflected the contribution that CPPs and partners could and should make in relation to community justice outcomes.
11. Clear themes emerged around the importance of ensuring multi-partner and multi-agency involvement, collaboration and responsibility for producing improved outcomes (based on desistance), with a desire from respondents for this to be underpinned in legislation.
12. An effective relationship between the national body and CPPs was highlighted by some respondents as being crucial to the model with this being one of mutual support and balance particularly as national objectives and local CPP priorities may clash.
13. There were mixed views from respondents on the subject of prevention with some welcoming the decisive shift towards prevention and the opportunity to work across wider partnerships which will enhance the capacity for preventative approaches, while others were concerned around the capacity or funding to undertake preventative work.
14. At the consultation events, the following themes emerged: Clarity – of vision, ambition, role and accountability; Culture change – required in the community justice sector, partners, communities and the media; Collaboration – between CPPs, the national body, partners, communities, victims and offenders;
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Consistency – in terms of access to services across Scotland, training and support; Continuity – of funding, knowledge and support; Creativity – through innovation, research and supporting what works; Communication.
Scottish Government response
Clarity
15. The new model addresses the issues raised by Audit Scotland and the Commission on Women Offenders in 2012 as well as delivering improvements in a whole range of other areas including: local decision making; partnership working; leadership; accountability; performance management; prevention; commissioning; and workforce development.
16. The model delivers a community solution to: the achievement of improved outcomes for community justice; the challenge of reducing reoffending; and the task of offender management.
17. Local strategic planning and delivery of services and outcomes through CPPs is central to the new arrangements and by giving responsibility to these partnerships, decisions will be made by those who know the area best, understand the problems that are unique to their region and will be most affected by the impact of community justice for both victims and offenders.
18. The model builds upon investment made by the Scottish Government and Local Government into community planning and will utilise the strengthened provisions of the Community Empowerment (Scotland) Bill .
19. By “community justice”, we mean:
“The collection of agencies and services in Scotland that individually and in partnership work to manage offenders, prevent offending and reduce reoffending and the harm that it causes, to promote social inclusion, citizenship and desistance.”
20. The future model for community justice in Scotland introduces: Local strategic planning and delivery of community justice services through CPPs; Duties on a defined set of partner bodies (including local authorities, NHS boards and Police Scotland) to engage in this local strategic planning and delivery with accountability for planning and performance residing at this level; The creation of a national body to provide leadership for the sector, opportunities for innovation, learning and development and independent professional assurance to Scottish Ministers on the collective achievement of community justice outcomes across Scotland; and A focus on collaboration, including the opportunity to commission, manage or deliver services nationally where appropriate.
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21. Under this model, CJAs will be dis-established.
22. To set the vision for community justice in Scotland, a national strategy will be developed jointly with local government and key partners and in consultation with stakeholders, to provide the vision for community justice and reducing reoffending over a 5 year period.
23. One of the many benefits of the new model is the elements of continuity that it offers, including: Local partnership arrangements will build upon existing capabilities under CPPs; CJSW will continue to be managed and delivered at a local level; The RMA will remain as a standalone public body, with clear links developed to Community Justice Scotland; Support for national offender programmes will remain at a national level.
24. We agree that it is critical that all parties understand their role in the new model and the transition arrangements designed to achieve that will be addressed in Chapter Nine.
25. Implementing clear lines of accountability is one of the critical success factors of the new model. These will be addressed in more detail in Chapter Five.
Culture change
26. A transitional working group will work with CPPs and partners to build their understanding of community justice which was raised as a concern by respondents and those who attended consultation events.
27. However, the provision of information alone will not achieve the change in culture that is required. To do so will require the buy-in of all partners to the ethos of the new model for community justice, which: respects the rights and responsibilities of the individual; has distributed leadership at its core; recognises the impact that a wide range of agencies, organisations, communities and offenders and service users will have on delivering long- term outcomes around reducing reoffending and increasing positive citizenship; increases public safety; increases public reassurance; reduces stigma; and reduces costs.
28. The culture change needed to prioritise services for offenders and communities affected by offending will require effective multi-agency cooperation. This will be supported by: recognising that the key outcomes for offenders can only be achieved through working in partnership; ensuring services become more evidence based; through the public being more accepting in investing in
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rehabilitation and services for people who have offended; and by achievements through improved outcomes having a higher profile.
29. We believe that it is through prevention that we will reduce reoffending and achieve the broader outcomes required of community justice. However, on balance, we have decided against placing a statutory duty on local authorities and other statutory bodies across the public sector to focus upon preventative approaches to reduce reoffending. Instead, the principles of prevention and early intervention will be built into the outcomes, performance and improvement framework that will drive activity across community justice. This will be described in more detail in Chapter Six.
30. We have heard from some CPPs who have already built the principle of prevention into their strategies and outcomes plans and will look to share these approaches through the work being taken forward on the redesign of community justice project.
Collaboration
31. We welcomed the recognition from respondents to the consultation and from those who attended the consultation events of the need for a range of organisations and partners to deliver improved outcomes: housing, health, social work, Police Scotland, Scottish Prison Service (SPS) and others. This includes the Third Sector, Community Based Organisations and communities and we want to see them empowered to fulfil this role.
32. Building on both the rights and responsibilities aspect of the new model, we believe that it is critical for communities, including those who have offended, to be involved in the new model as users of services that would contribute to community justice outcomes. Moving forward, all partners and service users must work together to harness the potential within individuals, and maximise the opportunity to harness change that will deliver sustainable outcomes. We will ensure that the outcomes, performance and improvement framework that supports the new model will have outcomes that support this aim.
Consistency
33. Responses to the consultation and discussions at consultation events which were held across the country, showed both frustration at current lack of consistency of services in different parts of the country together with a fear that this may be exacerbated under CPPs in the new model.
34. We recognise this concern but believe that CPPs - through the enhanced provisions within the Community Empowerment (Scotland) Bill and the provisions specific to community justice that will be introduced through the Community Justice Bill, offer the best forum for ensuring the alignment of all these partners with their respective communities; including people affected by offending and reoffending.
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35. The new model will be defined by a performance culture through the establishment of an outcomes, performance and improvement framework against which local partnerships will plan and report. The framework will support local variation in approach, whilst driving consistency in quality and outcomes. This will provide real opportunities to monitor progress, drive improvement, offer consistency and link decisions and actions to analysis of need and what works, leading to increased efficiency and effectiveness.
36. This must be driven at a local level but one of the functions of the national body will be to provide assurance on the delivery of improved outcomes. The body will look to share good practice but will have a number of avenues and powers available if it sees difficulties in achieving outcomes with recommendations being made to Scottish Ministers and Local Government Leaders as appropriate. Further information is given in Chapters Five and Six.
Continuity
37. It is vital that CJAs and CPPs continue to work together on reducing reoffending and the management of offenders both to ensure that focus on the delivery of current services and outcomes is not diminished during transition but also as a means of imparting crucial knowledge to allow CPPs and their partners to take on their responsibilities under the new model.
38. Supporting the transition to the new model is addressed in Chapter Nine.
Creativity
39. A renewed focus on innovation, learning and development will be a core aspect of the new model. This is addressed further in Chapter Four.
Communication
40. We share the desire for consistent and on-going engagement and active communication with partners and stakeholders, including with practitioners. We agree that communication in the transition period and beyond is essential and that this communication should be between all parties involved.
41. We welcome the recognition of the positive communications role the national body could play in terms of shaping how Scotland views community justice and championing the sector. There is also a clear role for CPPs to work with communities at a local level on reducing stigma and creating a more positive and supportive environment for effective rehabilitation and reintegration.
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Chapter Three - Local Strategic Planning and Delivery
What we asked
42. We said that CPPs and local partners will assume responsibility for the local strategic and operational planning, design and delivery of services for community justice to reflect local need and in accordance with the national strategy for reducing reoffending and community justice. They will fulfil these responsibilities working in partnership within locally agreed community planning arrangements.
43. We asked for views on the arrangements for local strategic planning and delivery of services for community justice.
What we heard
44. The proposed arrangements for the local planning and delivery of community justice services were met with approval from a majority of organisations.
45. Respondents highlighted the importance of taking advantage of existing partnerships and working across local authority boundaries as well as ensuring robust transition arrangements are put in place as soon as possible to facilitate smooth transfer to the new model. Thought should also be given to whether there is a need to further resource CPPs throughout the transition process.
46. Most participants in the consultation events expressed the view that in order to be effective, local arrangements will require strong partnership working from all key agencies and the Third Sector. There were opinions expressed that CPP partners will need to be mandated to be involved in delivery community justice and welcomed any duties that would be brought forward in legislation to cover this.
47. Multi Agency Public Protection Arrangements (MAPPA) were an often cited example of an area it would be necessary to provide clarity as soon as possible on what future arrangements, especially funding, will look like.
Scottish Government response
48. We welcome the positive feedback on placing the strategic planning and delivery of services for community justice at a local level. The Scottish Government believes that effective and ambitious local partnership working, combined with the leadership, opportunities for innovation, learning and development, support and assurance provided by the national body, will achieve the improved outcomes for community justice in Scotland that we all seek.
49. Placing these duties at a CPP level under a requirement of collective responsibility not only mandates organisations and those delivering services to work together but brings with it an opportunity to have an in-depth conversation locally as to the types of communities in which we wish to live. We believe that these arrangements offer the best forum for ensuring the alignment of all these partners with their respective communities.
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Local partnerships
50. There is no requirement for CPPs to establish distinct community justice partnerships as some may prefer to collaborate with existing structures but there is certainly a requirement to establish local partnerships that will cover the duties required under the future model. Structural arrangements will, therefore, be at the discretion of CPPs. However, there will be certain roles, responsibilities and duties placed on a number of partners as outlined below.
Who should be involved in local partnerships
51. Those partners and stakeholders listed below have been identified as having a particular contribution to make. Scottish Government guidance, developed in conjunction with COSLA, will give further detail to support CPP arrangements for the planning and delivery of services for community justice. CPP communities, including: Service users – including offenders, ex-offenders and victims; Community Based Organisations; The broader community; Partners as outlined at paragraph 57; Third Sector organisations, including Victim Support Scotland; SPS; Scottish Courts Service (SCS); Crown Office and Procurator Fiscals Service (COPFS); The wider Judiciary; Criminal Justice Boards; Academic institutions; Local employers; The Department for Work and Pensions; and Any other community bodies the CPP sees as appropriate.
52. The CPP Board will provide the vision – responding to national strategies that have been developed with partners and stakeholders - the required local outcomes and the leadership that allows the partners to work together to deliver the improved outcomes for community justice.
Duties upon CPPs 2
53. The role of and duties upon CPPs in Scotland is presently being redefined through the Community Empowerment (Scotland) Bill. The duties on CPPs in relation to community justice will be aligned to those already set out in that Bill.
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54. The following duties will apply to CPPs: To convene a local partnership reflecting the range of partners shown at paragraph 51 and involve them in the planning and delivery of improved outcomes for community justice; To prepare and publish a local plan to deliver improved outcomes for community justice in their area. This plan will be delivered through partnership working and service delivery, in accordance with the national strategy for community justice and reflecting a sound understanding of local circumstances; To review whether the local partnership is making progress in improving the achievement of the outcomes outlined in their plan; To report on these plans on an annual basis, having engaged with their partners and stakeholders, including the Third Sector and Community Based Organisations, as well as with their communities; To make their plans and reports available to Community Justice Scotland to allow them to carry out their functions around sharing best practice, innovation and assurance.
55. CPPs will be able to approach Community Justice Scotland for assistance where they are experiencing difficulty with delivery under the local plans and where matters cannot be resolved locally. However, it will remain a core tenet of the new model is that responsibility for resolving local issues rests locally.
Duties upon partners 3
56. Partners, in this context, include those in the CPP who operate locally whether they are organised on a local, regional or national basis.
57. There is presently a core set of statutory partners who have a significant contribution to make to community justice in local partnership arrangements throughout Scotland bringing consistency whilst supporting local needs and circumstances. We will, therefore, place a duty on the following partners to co- operate with each other in carrying out planning activities, delivering and reporting on outcomes for community justice in their relevant CPP: Local Authorities; NHS Boards; Integrated Health and Social Care Boards; Police Scotland; Scottish Fire and Rescue Service; and Skills Development Scotland.
58. As an Agency of Scottish Ministers, we do not require to place a formal legislative duty on the SPS but will direct them to be included in local partnerships and will require CPPs to engage with them as appropriate to the local area.
59. Through the course of the project, we may identify additional core statutory partners to those listed above. We will engage with them as appropriate.
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60. Core partners noted at paragraph 57 will be required to: Co-operate with each other and with the CPP on delivering improved outcomes for community justice; Involve the Third Sector, Community Based Organisations, communities and service users in the planning and delivery of community justice within their areas, in accordance with procurement rules and local needs and circumstances. This is consistent with the principles of co-production, which underpin the Government’s vision for asset -based and person-centred services; Contribute such funds, information, staff and other resources as is required to meet the outcomes noted in the CPP plan to deliver community justice outcomes. This will require contributions beyond the Social Work (Scotland) Act 1968, section 27 funding allocated primarily for CJSW; Support the CPP in preparing their annual report by providing information on how they have delivered against the CPP plan and, in so doing, the delivery of community justice outcomes.
61. We recognise the contribution required from all partners working together with resources for the achievement of improved outcomes for community justice being wider than just those covered under section 27 monies for CJSW.
Multi Agency Public Protection Arrangements (MAPPA)
62. Arrangements for MAPPA are presently co-ordinated on a regional basis using the boundaries of the CJAs. There are 11 MAPPA co-ordinators working across the eight CJA areas.
63. The Scottish Government has received representations that these boundaries should remain, at least in the short term, even after the CJAs have been dis- established. We see no reason, therefore, to change the boundaries at this time and arrangements for MAPPA will, therefore, continue on a regional basis.
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Chapter Four - The National Body – Community Justice Scotland
What we asked
64. We asked a number of questions that related to the national body, referred to as Community Justice Improvement Scotland in the consultation paper. These questions covered: the functions, name, location, skills and competencies required in the new body; the organisational structure and staffing complement; the Board of the body; and the arrangements for the Hub for innovation, learning and development.
What we heard
65. Overall, the proposal for a national body was welcomed by most, with its potential particularly recognised around leadership, promoting community justice, learning and development and a focus on improvement. However, a small minority of respondents queried the need for such a body with a couple of respondents suggesting a national board would be sufficient and there were a diverse range of views on its functions with responses also divided on whether the proposed skills and competencies are sufficient for the national body to carry out its functions.
66. There was very little support for inclusion of the term “Improvement” in the name of the national body as it implied different meanings to different people. The majority of respondents did not express a view on where the location should be and instead identified the features they felt are necessary for a successful HQ i.e. it should have good transport links and be easily accessible. Ideally it should be co-located with an associated organisation and be equipped with electronic communication/video conferencing capabilities.
67. Respondents were largely positive about the development of a national Hub for community justice, innovation and learning and development, feeling it could add value to the community justice landscape as well as bringing benefits such as consistency of staff development and the spread of best practice. There was overall support at consultation events for the concept of the Hub being practitioner-led.
Scottish Government response
68. We welcome the view that the national body should have a focus on sharing best practice, developing standards, liaison with relevant national organisations, articulating a national collective overview and promoting links within and across CPPs. It will also have key roles around leadership, promotion of the interests of community justice and the provision of assurance on the achievement of improved outcomes for community justice in Scotland.
69. The consultation paper naturally devoted several chapters to the proposed functions and organisation of the new national body, given its creation will represent a new development for Scotland. Whilst this may have satisfied some stakeholders’ requests for thi s level of detail, for others this focus may have detracted from the critical element of local strategic planning and delivery.
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70. We will, therefore, work closely with partners and stakeholders to ensure that we provide clear and consistent information on the new body.
The name of the national body
71. The name of the national body will be Community Justice Scotland .
The location of Community Justice Scotland
72. Responding to calls for efficiencies to be made wherever possible, we will prioritise the search for accommodation so that Community Justice Scotland may be co-located with existing public bodies or in Scottish Government premises in a location that is accessible by public transport, most likely in the central lowlands of Scotland.
73. In keeping with modern flexible working practices, we will encourage Community Justice Scotland to have in place policies that support home-working and flexibility in terms of staff locations and working practices.
The functions of Community Justice Scotland
74. The main functions of Community Justice Scotland will be: a. To provide national, professional and strategic leadership for community justice in Scotland; b. To offer expert advice to Scottish Ministers and COSLA Leaders as required; c. To make recommendations to Scottish Ministers as required; d. To provide oversight of the delivery of the national outcomes, performance and improvement framework for community justice in Scotland; e. To provide assurance to Scottish Ministers on collective performance against delivery of services under the national outcomes, performance and improvement framework; f. To identify ways in which justice and other resources can be aligned to improve outcomes for community justice and advise Scottish Ministers on achieving this; g. To manage any services which have been identified and agreed as being best delivered on a national basis by the national body; and h. To hold the Chief Executive to account in the exercise of his responsibilities.
75. Many respondents felt that community justice was not seen as a popular cause for all partners, for the media and in communities. For these reasons it is vital that the community justice sector has a strong, unified voice to provide leadership and strategic direction. Community Justice Scotland will provide that voice, acting as champion for community justice services to raise their profile and highlight their contribution to delivering th e Scottish Government’s Purpose. It will, therefore, under function a. above have communications responsibility for community justice matters.
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The Board of Community Justice Scotland
76. Community Justice Scotland will have a Board of members whose task it is to govern the body.
77. The Board will have a Chairperson, appointed by Scottish Ministers, and a number of other members, most likely between 5 and 8 who will be appointed through a formal appointment process in compliance with the Code of Practice for Ministerial Appointments to Public Bodies in Scotland.
78. The Board will have a key role in ensuring that Community Justice Scotland is a lean and agile organisation, focused on delivering its remit as efficiently and effectively as possible.
The organisational structure and staffing, skills and competencies
79. We recognise that the organisational chart used in the consultation paper raised some concern at consultation events, particularly from those working in a Local Government setting who drew comparisons between the job titles in the national body’s structure and what those of a similar title in Local Government may earn. This sort of comparison was not intended, nor is it an accurate reflection of the likely grading and salary structure of Community Justice Scotland.
80. However, it is right that Community Justice Scotland should look to attract highly experienced individuals with the right breadth and depth of skills and competencies required to ensure that it successfully delivers its functions.
81. There will be a Chief Executive for Community Justice Scotland whose responsibility will be to ensure that the body delivers upon its remit, together with a specific role to promote community justice interests and values. The Chief Executive will report to the Chairperson of Community Justice Scotland.
82. Staffing of Community Justice Scotland will be a matter for the Chief Executive but it is expected that the following skills and competencies will be required in the body: Leadership; Strategic planning; Analysis and improvement; Administration; Finance and accountancy; Social work professional skills; Contract management; Commissioning; and Innovation, learning and development.
83. In carrying out specific projects or programmes or work, Community Justice Scotland may require to call upon broader skills, including operational and practice skills. The body will have the facility to run reference and working
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groups and second resource into its structure on a temporary basis as required providing this is within the budget provided to it.
84. The funding for the national body will be covered in more detail in the financial memorandum for the Community Justice Bill. We aim to meet the funding requirements through reconfiguration of current administrative budgets for community justice.
The Hub for innovation, learning and development
The Purpose of the Hub
85. A national Hub for innovation, learning and development will be created as a function of Community Justice Scotland. The Hub will be practitioner-led and its remit will be to inform practice through research and provide opportunities for innovation, learning and development for those working within and across the community justice landscape, allowing them to enhance their professional identity. Although practitioner-led, the Hub will work closely with individuals and organisations who can provide expertise in research, policy and personal experience.
86. The Hub will seek to complement and build upon, not duplicate, work already underway at a single agency/organisation and partnership level. It will ensure that local practitioner networks, responsive to the needs of individual communities, are retained or created where there are none at present. The Hub will also look to establish new networks and forums which can add value to the community justice landscape.
Functions of the Hub
87. One of the Hub’s first tasks will be the creation of a strategy for innova tion, learning and development to provide a clearly defined mission statement for the Hub and greater clarity of direction and guidance for the community justice sector.
88. The strategy will outline the vision for community justice innovation, learning and development, the role of the Hub and stakeholders in achieving that vision, the activities the Hub will carry out in order to fulfil its role and the priorities which will determine those activities. It will be informed by scoping work to look at how existing infrastructure and activity in innovation, learning and development can better support community justice in the future. This will build on the vision set out in the national strategy for community justice.
89. It will be up to Community Justice Scotland to determine the specific functions of the Hub and how it will be resourced from within the budget of the body. However it is likely that their work will be made up of four key activities: core functions such as producing a national training schedule and taking a strategic approach to workforce development; research such as synthesising existing research/practice and commissioning and undertaking research;
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practice development such as change management of community justice training programmes, the development of new community justice training programmes as required, and facilitating and creating practitioner networks; and knowledge exchange such as collaborating with other organisations/bodies/professions to facilitate the sharing of best practice.
90. The Hub will have a range of other functions that are currently being determined through engagement with stakeholders and partners. A working group will be established to assist and inform this process. These functions will be consistent with the functions of Community Justice Scotland.
Public service reform
91. Dissolution of the CJAs will mean the dis-establishment of eight public bodies. The new model will have one new public body, the national body, which will work closely with existing public bodies including the RMA.
Taking the work forward
92. A workstream of the Redesign of Community Justice Project has been devoted to the establishment of the new body. The workstream lead will engage with key partners and stakeholders for reference purposes as the work develops.
93. A further workstream has been established for Innovation, Learning and Development.
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Chapter Five - Governance and Accountability under the Future Model
What we asked
94. To arrive at clearer lines of strategic, political and operational accountability, we set out in the consultation clearly defined roles and responsibilities for: Scottish Ministers; Local partners, including local authorities and other public sector bodies designated as local partners; The national body, referred to as Community Justice Improvement Scotland in the consultation paper; The Board of the national body; The Chief Executive of the national body.
95. We asked for views on the governance and accountability arrangements.
What we heard
96. The majority of those who responded were positive about the proposed governance and accountability arrangements. Many respondents welcomed a relationship between the Community Justice Scotland and CPPs based on mutual support and balance between national and local responsibilities.
97. However, some local authority and CPP respondents raised concerns and there were mixed views as to whether the consultation document provided sufficient clarity on the details of the governance and accountability arrangements for the new model.
98. There was a clear message about accountability with formal arrangements in place to back this up. Some feared that if arrangements around the new model were on an “informal” basis, this would simply not carry enough weight. Respondents were, therefore, broadly in favour of duties extending to a broad range of partners in recognition of the contribution they can make to the agenda for community justice outcomes, including reducing reoffending.
Scottish Government response
99. We recognise the request from some respondents for further clarity on the governance and accountability arrangements, particularly in relation to the relationship between CPPs and the Community Justice Scotland together with a desire from some for a stronger level of accountability than in the current system. The information below provides additional clarity.
Accountability lines – CPPs and partners
100. CPPs are ultimately accountable to their communities. The Community Empowerment (Scotland) Bill brings in a number of provisions which will in future strengthen this accountability and the role of both CPPs and their partners in delivering improved outcomes.
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101. CPPs will not be directly accountable to Community Justice Scotland either for their performance or that of their constituent partners as this would cut across established lines of accountability 4. The Scottish Government recognises that there is no single neat line of accountability for the delivery of community justice services. Given the range of organisations involved, it is not possible to design a model that would provide a single line of accountability without a significant restructuring and centralisation of the public sector landscape in Scotland.
102. Accountability lines will, therefore, go through individual partners just as is the case with other elements of community planning.
103. As covered under Chapters Three and Four, governance is provided through local arrangements under CPPs and local partnerships and via the assurance function to be carried out by Community Justice Scotland.
104. The new model places the emphasis upon collective responsibility, in local partnerships, in a linear relationship rather than a hierarchical relationship as it may have been viewed with CJAs.
105. This emphasis upon collective responsibility will be through local partnerships established under CPPs with partners working together, providing assurance to one another. This is expected to result in a greater understanding of the interdependencies between partners to the achievement of required outcomes for community justice. These partnerships will report back to CPP Boards on the discharge of the local plan and the delivery of outcomes.
Role of elected members
106. Elected members will continue to have a key role in the accountability arrangements in the future model. Established lines of accountability with local authorities will provide elected members an on-going opportunity to scrutinise outcomes.
107. In addition, Community Justice Scotland will provide advice, as required, to elected members on collective performance against delivery of the national performance framework, giving further opportunities to improve outcomes.
Accountability lines – Community Justice Scotland
108. Community Justice Scotland will be accountable to Scottish Ministers.
4 For example: Each local authority is governed by a council. They are autonomous bodies, independent of central government and accountable to their electorates for the delivery of services. Local authority services would, therefore, be accountable to the Council. Each NHS Board is accountable to Scottish Ministers. Each year, the Scottish Government sets performance targets for NHS Boards to ensure that the resources made available to them are directed to priority areas for improvement. For Police Scotland – the Scottish Police Authority holds the Chief Constable of Police Scotland to account for the policing of Scotland.
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109. In relation to this new body, the role of Scottish Ministers will be to: Appoint the Chair and members of the Board in accordance with the Commissioner for Ethical Standards in Public Life in Scotland’s Code of Practice for Ministerial Appointments to Public Bodies in Scotland; Hold the Board to account for delivery of its responsibilities; Set a budget annually, approved by Parliament; Publish a national strategy for community justice, which will include the national performance framework for community justice, providing the backdrop for local partnerships, via CPPs, to plan and deliver services and for Community Justice Scotland to fulfil its functions of assurance; Approve the Community Justice Scotland strategic plan; Approve certain relevant appointments made by Community Justice Scotland; Consider recommendations made to them by Community Justice Scotland.
110. The Chief Executive of Community Justice Scotland will be held to account by the Board of the body.
111. Where Community Justice Scotland carries out functions or puts in place contracts at a national level, there will be a mechanism in place for customers (e.g. local authorities) to provide feedback on both the services contracted for, their usage and the outcomes achieved. This was a key point raised by respondents and at consultation events.
Planning and reporting – CPPs
112. The Scottish Government and the majority of respondents to the consultation view local planning and delivery in partnership in communities across Scotland as being key to the success of the future model for community justice.
113. CPPs will have a duty to prepare and publish a local plan to deliver improved outcomes for community justice in their area having involved a range of partners and stakeholders in developing the plan.
114. An annual report will set out the CPPs assessment of what improvement has been achieved in the delivery of community justice outcomes. This will provide the CPP Board with the mechanism to performance manage delivery of its plan and identify any improvement activity.
115. The requirement to prepare a plan and report will be set out in legislation. If CPPs fail to agree or publish such a plan or report, they may be held accountable by their communities and individual partners through their accountability lines. However, Community Justice Scotland will be aware if plans and/or reports have not been produced or published and so will have the ability to raise this with CPP Chairs or with individual partners as appropriate under the body’s assurance function.
116. Matters arising in relation to the broader management or running of an individual CPP or common issues will be reported using existing mechanisms.
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Relationship between Community Justice Scotland and CPPs
117. The relationship between Community Justice Scotland and CPPs will be a non- hierarchical one, based on mutual support, characterised by open and transparent communication and recognising the balance between national and local responsibilities.
118. This relationship will be based on equality, with the body providing a constructive role for supporting CPPs in their delivery of outcomes.
Planning and reporting – Community Justice Scotland
119. Community Justice Scotland will be responsible for preparing a strategic plan for the delivery of its functions. In preparing the plan, Community Justice Scotland must engage with CPPs, partners – both local and national - and the body’s broader range of partners and stakeholders incl uding the Scottish Government.
120. The strategic plan must be agreed by the Board of Community Justice Scotland and submitted to Scottish Ministers for their approval. Upon approval, Community Justice Scotland must publish the plan and make it available to CPPs, partners and stakeholders.
121. Community Justice Scotland will be responsible for reporting on the delivery of the body’s functions for the preceding reporting year which will be on a financial year basis. The annual report, prepared with engagement with CPPs, partners and the body’s broader range of partners and stakeh olders including the Scottish Government, must include any improvement actions or amendments to be made to the strategic plan which would be for approval by Scottish Ministers.
122. Upon approval, Community Justice Scotland must publish the report and make this available to CPPs, partners and stakeholders.
Planning and reporting – national Justice organisations
123. CPPs must involve partners whether they be organised on a local, regional, or national basis.
124. We did receive positive feedback that it would be useful for national Justice organisations, including the SPS and Police Scotland, to make their plans and reports available to Community Justice Scotland as well as their contributions being captured in local CPPs plans. We intend to take this forward.
Planning and reporting – relationship between Community Justice Scotland and CPPs
125. The CPP plan and annual report will be required to be made available to both communities and to Community Justice Scotland.
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126. Community Justice Scotland will have the function to provide advice on CPP plans and reports for community justice. This advice may be relevant for the CPP as a whole or for any of the partners. Advice will be informed by Community Justice Scotland’s oversight of 32 CPPs and its unique ability to share best practice.
127. CPPs and other partners will have the opportunity to engage with Community Justice Scotland’s p lanning and accountability functions in a number of ways: Firstly, where Community Justice Scotland carries out functions or puts in place contracts at a national level, there will be a mechanism in place for customers (e.g. local authorities) to provide feedback on the services provided and the outcomes achieved; Secondly, CPPs will have the opportunity to comment on Community Justice Scotland’s strategic plan; and Thirdly, at the year end, Community Justice Scotland will engage with CPPs and other deliver partners, in preparing its annual report on the delivery of its functions.
Planning and reporting – transition – CJAs and CPPs
128. We expect CJAs and CPPs to work together – with input from partners – for the latter to gain an understanding of the delivery landscape, planning and priorities, current services and contracts including those delivered cross- boundary.
129. The current set of CJA Area Plans run until the end of 2016/17 which is the transition year and first year of CPP plans and reports. It will be necessary to ensure alignment between plans during the transition period so that expectations of partners are clear and coherent. At the same time, there is a need to ensure continuity of service until such time as the new model is in place. It is vital, therefore, that CPPs recognise that CJAs will be in place until that time and will work closely with them.
Taking the work forward
130. There are several strands of work emanating from this response and these shall be taken forward by the CPP Transition, Legislative and Legal Framework and Outcomes, Performance and Accountability workstreams of the Redesign of Community Justice Project.
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Chapter Six - Delivering Improved Outcomes for Community Justice in Scotland
What we asked
131. The consultation document described a national performance framework for community justice that will be developed jointly with key partners and in consultation with stakeholders. This framework would enable transparent monitoring of progress in delivering community justice outcomes across Scotland. The framework will be used by CPPs to plan, deliver and monitor services and by the national body to provide assurance to Scottish Ministers and local government leaders.
132. We asked for suggestions on how a national performance framework for community justice in Scotland could operate under the new model.
What we heard
133. Most respondents were positive about these plans and there is clearly a desire for evidence-based planning within community justice.
134. One of the most frequent responses to the request for suggestions related to the importance of encouraging transparency and the need for a Single Outcome Agreement (SOA) supported by streamlined external scrutiny and effective performance management.
135. A simplified logic modelling approach was indicated as the preferred method of developing the outcomes and performance management measures.
136. There was also support for accompanying guidance which supports partners to put the strategic, operational and practice arrangements in place.
137. It was highlighted that there was a need to ensure that CPPs and partners are contributing to an increase in positive public perception of crime in their local area. There is a need for measures to show the extent to which service users (offenders, victims, families, and communities) believe their lives are improving.
138. Points raised at consultation events included the importance of ensuring that key practitioners share the same ethos and focus on delivering outcomes; and the importance of creating a performance framework and tools to support community justice partners with delivering outcomes.
Scottish Government response
The national strategy
139. The Scottish Government will produce a national strategy for community justice. This strategy, developed jointly with local government and key partners and in consultation with stakeholders, will provide the vision for community justice and reducing reoffending over a 5 year period.
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The approach to performance under the future model for community justice
140. The current model for community justice was criticised for its lack of measures to understand success and at what cost. How can the people of Scotland be reassured that the effort at a local level is actually delivering improved outcomes?
141. The new model will be defined by a performance culture through the establishment of a national framework for outcomes, performance and improvement for community justice – set out in the national strategy for community justice - against which local partnerships can plan and report.
142. This will provide real opportunities to plan and deliver services, monitor progress, drive improvement, offer consistency, provide assurance and link decisions and actions to analysis of need and what works, leading to increased efficiency and effectiveness.
143. The outcomes, performance and improvement management framework will, therefore, enable transparent monitoring of progress in delivering community justice outcomes across Scotland. The framework will allow each CPP to identify which areas of its plan are working well and which areas require improvement. The framework will also allow Community Justice Scotland to promote continuous improvement by benchmarking performance across the country.
144. The framework will cover all aspects of offender management in the community. The rehabilitative aspects of managing offenders will be based on the desistance model and promote the factors which reduce the chance of a person reoffending, such as improved health, access to housing, employability and positive relationships. The main organisations with responsibility for delivering these services are represented on CPPs.
145. The framework will include relevant outcomes and indicators, as well as details of how best practice may be shared and the approach to scrutiny and inspection for community justice.
146. The Scottish Government will develop the outcomes, performance and improvement framework jointly with key partners and stakeholders. Work is already on-going on preparing the framework with a number of workshops having been held in recent months.
147. In setting out these required outcomes to manage offenders and promote desistance, the framework will make clear that there will be contributions required of partners in order to reduce reoffending.
148. In discharging its assurance duty and improvement function, it may become evident to Community Justice Scotland that targeted support could be beneficial for individual partnerships or organisations.
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149. If this is the case, Community Justice Scotland will have the facility to provide support to CPPs and partners in helping them deliver improved outcomes. This may include: Specific dialogue between Community Justice Scotland and local partnerships and relevant organisations regarding ways to support the improvement required; Enabling benchmarking, sharing best practice, driving improvement in partnership standards and workforce development for community justice and facilitating closer engagement between local partnerships; Raising awareness of any potential systemic issues and opportunities which exist to effect improvements and recommending solutions as appropriate; Encouraging and, where appropriate, supporting any local systems for peer review.
150. Any serious and persistent performance concerns will be taken forward on a case-by-case basis with reference to the relevant accountability structures for the partners concerned.
151. In exceptional circumstances, Community Justice Scotland would have the power to recommend that a rescue task group be established to work with the local partnerships and relevant organisations to effect sustainable improvement. This would be done working closely with the local partnership and with the agreement of Scottish Ministers and relevant local government elected members.
Responsibilities on CPPs and partners
152. We recognise the importance of community planning reflecting local needs, with plans and operating arrangements shaped around local priorities and operating preferences. The responsibility for resolving any local issues rests with partners within the CPP.
153. CPPs and partners will be required, through guidance, to share information both on best practice and, where applicable, on issues and how they may have resolved them with other CPPs and partners including Community Justice Scotland. This will include CPPs and partners being required to support work to identify and test good and innovative practice.
154. However, should the local partners or a CPP request advice and assistance on issues that, for whatever reason, have not been able to be resolved locally either within or between partnerships, or through arrangements for community planning, then Community Justice Scotland will be able to offer support and assistance.
155. This is part of a layered approach: a. Collective responsibility locally; b. Assurance by the national body; c. Multi-agency thematic inspection.
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156. We understand that collective responsibility is one of the cornerstones of community planning. For community justice, this collective responsibility is one of the strengths of the new model recognising the contribution that each partner must make and that no one partner can deliver the outcomes on their own. This was met with broad approval in the consultation responses.
Responsibilities on Community Justice Scotland
157. As part of its general assurance function, Community Justice Scotland will provide an independent and national overview of local partnership strategic delivery plans and annual reports for community justice. Community Justice Scotland will have the power to make recommendations to Scottish Ministers and to relevant local government elected members, as appropriate, on any improvements that are required based on its analysis and findings.
158. The framework will be used by Community Justice Scotland to provide assurance to Scottish Ministers and local government leaders, and by CPPs to plan, deliver and monitor services.
159. Community Justice Scotland will be able to recommend potential further improvement actions. These may include the offer of support from or arranged by Community Justice Scotland, requirement for improvement plans and the potential for specific multi-agency inspections. Local partnerships will be fully involved in the discussions as to action required.
MAPPA annual reports
160. Under the future arrangements, there will be no requirement for a separate annual report on MAPPA as this could be better included in the annual report on community justice from each CPP. This does mean that MAPPA will be included within the 32 CPP annual reports. The content of the MAPPA annual report remains the responsibility of the MAPPA responsible authorities in any case.
161. Should the regional groupings wish to continue to produce a regional report on MAPPA they would be free to do so.
Taking the work forward
162. This work shall be taken forward under the Outcomes, Performance and Accountability workstream of the Redesign of Community Justice Project and will be overseen by the Redesign and Performance Management of Community Justice Project Board.
163. The project has been working closely with key partners and stakeholders over the past few months to develop the outcomes, performance and improvement framework which is now in its early stages. We will test a prototype of the framework with willing CPPs in 2015/16.
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Chapter Seven - Funding and Resourcing the Future Model
What we asked
164. No specific questions were raised in the consultation paper itself but key points were given in relation to the work ongoing to assess the potential costs and funding required for the new model.
What we heard
165. A sizeable number of respondents requested further information on funding under the new model, particularly at a local level but also in relation to how funding would operate for elements funded under the current model, such as national implementation programmes and MAPPA.
166. A number of respondents also mentioned that there may be resource implications for CPPs and local authorities which should be acknowledged.
167. A smaller number raised further points on the funding formula for section 27 funding for CJSW with further clarification sought and requests made for considerations of costs associated with delivery in smaller local authorities and partnerships. The ring fencing of section 27 monies was raised by a number of respondents.
168. Points raised at the consultation events included making the funding process transparent so that resources are seen to be distributed where they have the greatest impact; delivering better value for money from community justice funding through increased joint commissioning and investing in success; some were concerned to ensure that the new model generated more opportunities to secure longer term funding so that projects are able to deliver and embed positive outcomes.
Scottish Government response
Resourcing the transition
169. The transfer of responsibility for community justice to CPPs will require careful change management. We have given some detailed consideration to supporting CPPs through this change and transitional funding will be made available. Further details are given in Chapter Nine.
An outcomes-focus
170. The 2012 reports by Audit Scotland and the Commission on Women Offenders both highlighted the problems caused by inflexible funding systems that incentivise existing ways of working over improved outcomes.
171. Discussions with key partners and stakeholders, including CPP Managers, has elicited an expectation that any future resourcing and funding of community justice be outcomes-focussed.
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172. For these reasons we will be setting up a funding sub group, including representation from the CJAs, COSLA, Social Work Scotland, CPPs, the Third Sector and the Scottish Government.
173. This group will consider the development of a new funding formula for the section 27 5 funding provided for CJSW to better incentivise the outcomes set out in the framework. Current funding is distributed through CJAs for them to fund their component local authorities in order to deliver CJSW services. The new arrangements will see CJAs abolished and funding directed through Local Authorities, for use by CPPs to direct funding so that it is more tailored to meet local needs and deliver improved outcomes for community justice. This funding will continue to be ring fenced and specific for activity to deliver these outcomes, alongside resources from other partners.
174. The new funding model for section 27 funding will be more transparent and evidence based with greater focus on increasing transparency, incentivising preventative activity, and helping to achieve key outcomes.
A broader contribution to be made
175. There are a broad range of partners and stakeholders with a contribution to make to improved outcomes for community justice. CPPs should, therefore, look to leverage resource from their full range of partners in the delivery of community justice services. We have covered these duties in Chapter Three.
176. As part of this, we require that CPPs and statutory partners recognise the contribution to be made by the non-statutory sector, including the Third Sector, Community Based Organisations, victims, people who have offended and the wider community. This will be via the duty to involve them in the planning and delivery of community justice services.
Taking the work forward
177. A resources workstream has been established under the Redesign of Community Justice Project.
178. The activities surrounding the section 27 funding will report to the RRP2 Funding Project. The project in-turn will work with COSLA and the joint Scottish Government and COSLA Settlement and Distribution Group to develop and agree a funding mechanism and formula that is open, fair and transparent and one which will focus on outcomes rather than outputs. As this work progresses periodic updates will be provided to the Redesign and Performance Management of Community Justice Project Board. The Project Board will have the opportunity to note progress and provide direction for this work.
5 Currently CJA funding is provided under Sections 27A and 27B of the Social Work (Scotland) Act 1968 as amended by the Management of Offenders Etc. (Scotland) Act 2005. 30
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Chapter Eight - Commissioning
What we asked
179. The subject of commissioning was covered in the consultation paper under Chapter Three on ‘Governance and Accountability for the New Model ’.
180. We stated that the national body will work with CPPs, partners and the Third Sector to develop transparent processes for the commissioning of services in relation to community justice, building upon good practice. Some key expectations in relation to how commissioning may operate in practice were then set out in the paper.
What we heard
181. During the consultation workshops, a shared ambition raised was that of delivering better value for money from community justice funding through increased joint commissioning and investing in success.
182. Respondents and participants in consultation events recognised that national commissioning could provide opportunities for best value commissioning of some nationally delivered services. Where national commissioning can deliver economies of scale, most respondents were positive about this. Likewise, training, learning and development were raised as specific areas where commissioning on a national level could be beneficial.
183. There was the suggestion that the national body should provide an intelligent overview of service commissioning whilst enabling the CPPs to identify and develop services relevant to their local area.
184. However, there were requests for further clarity on commissioning, particularly in relation to the role of the national body. It was highlighted that national commissioning must take into account the differing needs of the diverse communities in Scotland.
Scottish Government response
185. By commissioning, we mean:
“supporting the shared assessment of and forecast of needs, linking investment to outcomes, considering options and supporting partners to plan the nature, range and quality of future services in support of community justice outcomes. Contracting and procurement procedures will support the commissioning process and will rest with the appropriate local or national body or bodies.”
186. The consultation responses supported a function for Community Justice Scotland to support the strategic commissioning process for community justice.
187. Community Justice Scotland will work with CPPs, partners including the Third Sector and stakeholders to establish an agreed intelligence-led long term
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strategic and co-ordinated approach to commissioning for community justice in Scotland. This will be transparent in nature and will build upon existing good practice.
188. The primary responsibility for carrying out the strategic commissioning of services based on an analysis of local needs, evidence of what works and best value for money rests locally with CPPs.
189. However, where benefits are recognised at the national, regional and local level for shared services or collective and collaborative undertakings, organisations will be expected to work in partnership in establishing these. Commissioning and procurement may, therefore, take place at a national, regional or local level and organisations will be expected to work together to commission services in order to realise benefits where they have been identified.
190. There are no prescribed areas in which services would be commissioned on a national or pan-Scotland basis. National commissioning would take place on the basis of being able to deliver value for local partners, for example through economies of scale. It is also not the case that all national commissioning or the technical process or procurement and contracting which follows would be undertaken via Community Justice Scotland. Under the new model, we will look to utilise lead authority or existing national arrangements where these are the best avenue to do so.
191. Where appropriate and desirable, Community Justice Scotland would provide opportunities for economies of scale to achieve best value commissioning of some nationally delivered services. Likewise, training, learning and development are areas where commissioning on a national level could be beneficial.
192. Technical processes such as procurement and contracting follow on from these commissioning exercises and will rest with the appropriate body or bodies at a local, regional or national level. Some that are national may be contracted by Community Justice Scotland where it is appropriate to do so.
193. Community Justice Scotland will, naturally, have the power to commission and procure services that it requires to carry out its functions.
194. In any decision which has an impact on local financial and commissioning decisions, Scottish Ministers would consult with COSLA Leaders as appropriate, with a view to seeking agreement. This mechanism would respect the established procedures for the setting of the public sector budget in Scotland.
Taking the work forward
195. Discussions on commissioning will feature as part of the work of the CPP Transition workstream of the Redesign of Community Justice Project.
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Chapter Nine - Supporting the Transition to the Future Model
What we asked
196. The consultation document stated that it will be important to ensure a successful transition from current structures to the new model for community justice in Scotland.
197. In recognition of this, CJAs will be at the heart of the transition arrangements. In particular, they will play a key role alongside Scottish Government officials in raising awareness amongst CPPs of their new responsibilities and providing training where necessary. This has been reflected in the guidance for the CJAs ’ Area Plans for 2014-17.
198. In turn, there is an expectation that CPPs and partners recognise that they are being placed at the heart of local strategic planning and delivery in the new model and that they will play a full part in the transition process of the new arrangements.
199. We asked for views on the arrangements in support of the transition process.
What we heard
200. Respondents mainly supported the arrangements in support of the transition process and praised the early involvement of stakeholders. There was a clear desire that this process commence as soon as possible, be communicated clearly, and that matters such as funding, ensuring partnership working; and addressing any concerns raised by CJAs and CPPs in a timely manner.
201. The main challenge that respondents highlighted about the transition process related to potential costs associated with transition. This was raised by Local Authorities, CPPs, Criminal Justice Social Work Partnerships and COSLA during the consultation.
202. Throughout the consultation workshops there was a strong sense that participants see the transition to the new model as a significant opportunity to bring about culture change across the community justice sector and also within local communities.
203. There was also a recognition at every workshop that there is good work happening across the community justice sector and participants are keen to ensure that this is not lost during the transition to the new model.
204. There were clear requests that communication and engagement be forthcoming throughout the transition period. Communication with practitioners, in particular, was seen as vital to ensure that the sector is fully engaged with the new model and therefore better equipped to support its development.
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Scottish Government response
205. The Scottish Government and COSLA remain committed to ensuring the transition is as smooth as possible for all partners involved.
206. We recognise the clear need for CJAs and CPPs to continue to work together on reducing reoffending and the management of offenders both to ensure that focus on the delivery of current services and outcomes is not diminished during transition but also as a means of imparting crucial knowledge to allow CPPs and their partners to take on their responsibilities under the new model.
207. We share the desire for consistent and on-going engagement and active communication with partners and stakeholders, including with practitioners. We agree that communication between all relevant parties is essential throughout the transition period and beyond.
208. The Scottish Government has, therefore, established a change workstream to work with CPPs and partners to assist them in implementing the required local partnership structures. This will see CPPs and their partners begin planning for their responsibilities under the new arrangements.
209. In turn there will be an expectation that CPPs share with Scottish Ministers their intentions for how they plan to take forward arrangements for the strategic planning and delivery of community justice.
210. A CPP transition working group has also been established to facilitate the smooth transition of community justice arrangements from CJAs to CPPs; while ensuring the continuous provision and improvement of local community justice and capitalising upon the new structure to strengthen partnership working and best practice.
211. This working group, reporting to the Redesign and Performance Management of Community Justice Project Board, meets regularly and will take forward the workstream for the transition and its accompanying workplan. The group has representation from the Scottish Government, COSLA, CJAs, CPP Managers, CPP partners and the Third Sector.
212. The objectives of the CPP transition group are: To scope out which partnerships are currently effective and facilitate their retention in the new model where appropriate; To encourage and facilitate collaborative working on the development of community justice plans at a CPP level; To ensure continuous delivery of community justice services during the transition process by facilitating the establishment of appropriate shadow arrangements; To identify and prepare appropriate guidance to support CPPs in the delivery of new obligations in relation to community justice; this will take a range of forms from a more high-level transition pack to official Scottish Government/COSLA guidance;
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To communicate the transition arrangements to a range of stakeholders with varying levels of awareness and involvement with the process; To consider and address associated operational requirements emerging from other workstreams relevant to transition (e.g. funding and human resources).
213. The Scottish Government, in conjunction with local government and with input from key partners and stakeholders, will produce guidance for partners and CPPs to support them in developing their arrangements. This guidance will complement existing legislation and guidance such as the Local Government in Scotland Act 2003, the Community Empowerment (Scotland) Bill and documents such as the joint Scottish Government/COSLA Statement of Ambition.
214. We recognise the desire that the transition process move ahead at the earliest opportunity. Engagement is already underway with CPP Managers, including a recent questionnaire process designed to gauge the level of awareness of community justice and readiness of CPPs – albeit at this early stage - for the transition to the new model. This was then followed up with attendance at the CPP Managers’ Network on 3 rd of October both to ask CPP Managers what they would wish from the transition process and to challenge them as to what steps they would take as a result of the engagement. This has led to further discussions taking place and offers of support to the redesign project.
Key dates and associated activities in the transition process
215. Elements of the transition will come into effect at different times throughout the period 2015-16 to 2016-17. This will necessitate a degree of flexibility on behalf of all partners and some interim procedures and processes being put into place.
216. Dates for the transition are indicative and will be driven, in part, by legislative requirements and Parliamentary process.
217. Further information on timescales is given in Chapter Ten.
Resourcing the transition process
218. In response to feedback from partners and stakeholders, including members of the Project Board, a joint Scottish Government/COSLA Development Manager post, funded by the Scottish Government, has been established to provide dedicated resource to the change project and to lead the workstream on CPP Transition and sit within the overall redesign project team.
219. We understand the representations made in responses to the consultation that there is a need to support CPPs at a local level in making the transition happen. A request was made for funding to be used to build both capability and capacity at a local level during this period.
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220. The Scottish Government believes that all partners within each CPP should take on the responsibility for building the capability and capacity within their organisation in a way that allows them to understand how they will contribute individually and collectively to improved outcomes for community justice. Strategic and operational planning functions exist within all partner organisations and it is critical to the success of the new model that these are mobilised accordingly at a local level.
221. However, we recognise that to achieve the buy-in of partners to this ambitious agenda will require resource to support the change. Therefore, the Scottish Government will announce a transition fund to be allocated for CPPs to support the effort to build their capability and capacity for them to work together with partners on the achievement of improved outcomes for community justice.
222. CPPs are encouraged to work collaboratively in the building of this capability and capacity. We recognise that CPPs are at different stages of readiness. We expect those CPPs who have already developed partnerships around community justice to work with other CPPs to assist them in building their capability and capacity.
223. The fund will total £1.6 million per annum, commencing 2015/16 and will be split between the 32 CPPs with funds going to Local Authorities but to be used across the CPP. Our intention is for this fund to be available for 3 years, ending in 2017/18, however, this position will be reviewed at the end of 2015/16 in light of the outcome of the next UK Comprehensive Spending Review that is expected to take place following the May 2015 Parliamentary election.
224. Three years of transition funding should provide CPPs with sufficient time to take on their community justice role as well as make arrangements with key partners to share capacity and resources for this work going forward.
225. Release of the funds will be dependent upon the receipt of credible plans from each CPP as to how they will use this resource to deliver the prescribed outcomes. At the end of each financial year when applying for the following year’s funds, CPPs will be required to demonstrate how they spent the previous year’s funds in achieving those outcomes and did so in a way that delivers value for money. The Scottish Government will write to all CPP Chairs on this matter in due course.
226. As a key element of the above, CPPs will be required to work with the Third Sector, Community Based Organisations, communities, offenders and victims in the transition and in preparing their outcomes-focussed plans.
227. We recognise, however, that there may be the potential for this engagement to be curtailed by any customer-supplier relationships that may exist between partners. We further recognise the stretch upon the Third Sector to become involved in this change programme. We will, therefore, provide £50,000 per annum to the Criminal Justice Voluntary Sector Forum to enable them to build capability and capacity and engage with the partnership arrangements emerging across Scotland. Again, our intention is for this fund to be available
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for 3 years, ending in 2017/18, however, this position will be reviewed at the end of 2015/16 in light of the outcome of the next UK Comprehensive Spending Review. As with CPPs, release of the funds to the Forum will be dependent upon the receipt of a credible plan as to how the resource will be used. We expect this to cover the change management approach, a principle of inclusivity whereby transition has to work for all Third Sector partners, including large and small organisations within and out with the sphere of those involved in criminal justice. At the end of the financial year when applying for the following year’s funds, the Forum will be required to demonstrate how they spent the previous year’s funds.
228. Engagement with CPPs and the Criminal Justice Voluntary Sector Forum will be provided by the CPP Transition working group and through the joint Scottish Government/COSLA Development Manager post. Oversight of the budget will remain with the Scottish Government.
Taking the work forward
229. The CPP Transition workstream, supported by the working group and led by the joint Scottish Government/COSLA Development Manager post will manage the workplan for transition, reporting to the Project Manager on progress, risks, issues, constraints and interdependencies.
230. The Project Manager will report to the Project Board who will have the oversight of the Project, led by the Chair.
231. COSLA are members of the Project Board and there will be an agreement as to the key milestones at which COSLA Leaders will receive reports on the progress of the transition workstream. There may also be a need to involve COSLA Leaders if any intervention is required at a political level to drive progress.
232. To achieve the above, CPPs will be expected to work closely with CJAs, the Redesign of Community Justice Project Team and CPP Transition working group on their work ahead.
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Chapter Ten – Conclusion, Way Forward and Timescales
What we asked
233. Timescales relating to the work were given, at a high level, in the consultation paper.
234. No specific questions were asked about timescales.
What we heard
235. A number of respondents highlighted that it was vital that the matters addressed in the consultation are resolved in sufficient time to permit local authorities and partners to devise coherent strategies and plans.
Scottish Government response
Conclusion
236. The majority of organisations who responded to the consultation were in favour of the proposed new model for community justice. Both the new body and the Hub were broadly welcomed and there was widespread agreement that the planning and management of community justice services should rest with CPPs.
237. We believe the new model will achieve improved outcomes for community justice in Scotland in a transparent and inclusive way which recognises and values local planning and delivery, while providing national leadership and direction to further reduce reoffending.
Oversight of the work ahead
238. The redesign effort is one of six projects established under RRP2. Together with its sister project on performance management, the work on redesign will be governed by the Redesign and Performance Management Project Board, the Chair of which reports on progress, risks and issues to the RRP2 structure and Senior Responsible Owner (SRO).
239. Membership of the Project Board has been drawn from key partners and stakeholders involved or impacted by the work programme and includes representation from: CJAs; COSLA; Criminal Justice Voluntary Sector Forum; Local Government Criminal Justice Social Work; Offender organisations; Scottish Government; SPS; Social Work Scotland;
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Third Sector organisations.
240. The Project Board will link closely with other national Justice organisations, including Police Scotland, COPFS, the SCS and the Judicial Institute for Scotland as well as with NHS Scotland.
Delivering the project
241. As referred to at several points during this response, a project team has been established to take forward the work of the project which has been split into eight workstreams: Legislative and legal framework; Human resources; Resources; Outcomes, performance and accountability; Learning and development; CPP Transition; Establishment of national body; National Strategy.
Timescales
242. Dates for the transition are indicative and will be driven, in part, by legislative requirements and Parliamentary process and by the readiness of partners to take forward the change agenda. However, we anticipate that the following will hold true: 2014 – 2016/2017 - Awareness raising, the delivery of information from CJAs to their respective CPPs and support on the transition process. This process has already begun; Spring 2015 – anticipated introduction of the Community Justice Bill. Further legislative timescales are subject to the will of Parliament; During 2015/16 – the national strategy for community justice will be developed in consultation with key partners and stakeholders and will encompass the outcomes, performance and improvement framework for community justice; During 2015/16 – the national outcomes, performance and improvement framework will finalised, having been discussed with key partners and stakeholders. This will include agreement of the approach to scrutiny and inspection; During 2015/16 – CPPs commence their planning activities; January 2016 – CPPs share with Scottish Ministers their intentions for how they plan to take forward arrangements for the strategic planning and delivery of community justice; January 2016 – CPPs make their plans for 2016/17 available to the Scottish Government for comment and to COSLA in support of the transition process;
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1 April 2016 - CPPs will be able to assume their responsibilities under the new model under a shadow arrangement with full responsibility being conferred from 1 April 2017 once the required legislation has been enacted; During second half of 2016/17 – Community Justice Scotland will be established, including formal establishment of the body; appointment of Chair; appointment of Board members, recruitment of staff and commencement of sponsorship arrangement with the Scottish Government; 31/03/2017 – CJAs are formally dis-established; 1 April 2017 – the new model for community justice in Scotland comes fully into effect.
Contact
243. The project team is based in St Andrew’s House, Regent Road, Edinburgh and can be contacted at:
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www.scotland.gov.uk Page 281 Community Justice redesign: Appendix 2
Timeline for implementation of Community Justice Redesign
During 2014 Awareness raising, the delivery of information from Criminal – Justice Authorities (CJAs) to their respective Community 2016/2017 Planning Partnerships (CPPs) and support on the transition process During x The national strategy for community justice will be developed 2015/16 in consultation with key partners and stakeholders and will encompass the outcomes, performance and improvement framework for community justice x The national outcomes, performance and improvement framework will be finalised, having been discussed with key partners and stakeholders. This will include agreement of the approach to scrutiny and inspection x CPPs commence their planning activities January x CPPs share with Scottish Ministers their intentions for how 2016 they plan to take forward arrangements for the strategic planning and delivery of community justice x CPPs make their plans for 2016/17 available to the Scottish Government for comment and to COSLA in support of the transition process 1 April 2016 CPPs will be able to assume their responsibilities under the new model in transition with full responsibility being conferred from 1 April 2017 once the required legislation has been enacted During Community Justice Scotland will be established including second half x Formal establishment of the body of 2016/17 x Appointment of a Chair x Appointment of Board members x Recruitment of staff and commencement of sponsorship arrangements with the Scottish Government 31/03/2017 CJAs are formally dis-established 1 April 2017 The new model for community justice in Scotland comes fully into effect Page 282
This page is intentionally left blank Appendix 1 Community Services Committee Work Plan 2014 Ͳ15
December 2014: This is an outline plan to facilitate forward planning of reports to the Community Service Committee. Date Paper Designation Lead Service/ Regularity of Comment Officer occurrence/ consideration Thursday 11 December School Education Report Audit Scotland National Report – this paper was not presented due to weather affecting travel arrangements. Examination result’s 2014 SQA Education Annual Shared Headship Update Education – AM Knowles School Education Report Audit Scotland Changes to the School’s Education – AM Page 283 (Consultation) (Scotland) Act 2010 Knowles Language Learning in Scotland: Education – AM A1&2 Approach Knowles Iona Affordable Housing Community & Development Culture – Moira MacVicar Integration Health and Social Care Integration Project – Regular update Allen Stephenson Recruitment and Retention of Care Adult Care – Jim
at Home Staff and Locality Update Robb Agenda Item17 Learning Disability Day Services Adult Care – Jim Robb Update Report – Independent Living Fund Commissioning Services for Community Children with a Disability & Self Services – Louise Directed Support Long Financial Quarter Two Performance Community Quarterly Scorecard Scrutiny Services – Cleland Appendix 1 Community Services Committee Work Plan 2014 Ͳ15 Sneddon
Monday 12 th Special Committee January 2015 Community Services – Service Plans Thurs 12 th March 2015 Compliance with Contractual Adult Care – Jim Conditions – Independent Robb Homecare Providers Private Homeowners -Common Community and Report on enforcement action policy and Repair Responsibilities Culture – Donald financial implications to come to future
MacVicar committee Page 284 School Leaver Destination Report Education – Ann Annual 2013/14 Marie Knowles School Education Report – Education – Audit Presentation by Audit Scotland Scotland Instrumental Music Service Review Education – Ann Marie Knowles Additional Support Needs Education – Ann Provision: Review of Service Marie Knowles Delivery Introductory Paper Integration of Health and Social Integration Project – Regular update Care Allen Stephenson required Financial Quarter 3 Performance Community Quarterly Scorecard Scrutiny Services – Cleland Sneddon External Inspection / Audit Community 6 monthly Reporting – July to December 2014 Services – Cleland Sneddon Community Services Workplan – Community Annual 2015/16 Services – Cleland Sneddon Appendix 1 Community Services Committee Work Plan 2014 Ͳ15 Thursday 4 th June 2015 Update on the Recruitment and Adult Care – Jim Retention of Care Home Staff Robb Corporate Parenting Board Annual Cllr Mary Jean Annual Report Devon – Policy Lead Children and Young Person’s Act – Children and Regular update Annual Update Families – Louise required Long Early Years Collaborative Update Community Services – Louise Long/Ann Marie Knowles Kinship Care: update on part 13 of Children and the Children and Young People’s Families – Louise Page 285 Act Long Culture, Heritage and Arts Strategy Community and Occasional – update report Culture – Donald MacVicar Strategic Sport and Leisure Community and Framework Culture – Donald MacVicar Private Homeowners -Common Community and Report on enforcement action policy and Repair Responsibilities Culture – Donald financial implications to come to future MacVicar committee SQA Examination Results – Education – Ann Progress Update Marie Knowles Raising Attainment and Education – Ann Achievement Marie Knowles Argyll College Partnership – Education – Ann Developing Scotland’s Young Marie Knowles Workforce School Holidays 2016/17 Education – Ann Appendix 1 Community Services Committee Work Plan 2014 Ͳ15 Marie Knowles Insight Update Report Education – Ann Marie Knowles ICT Learning Education – Ann Marie Knowles Gaelic Language Plan - Update Customer Services – Jane Fowler Financial Quarter 4 Performance Community Quarterly Scorecard Scrutiny Services – Cleland Sneddon Thursday 10 th September 2015 Annual Service Reviews Community
Services Page 286 Financial Quarter 1 Performance Community Quarterly Scorecard Scrutiny Services – Cleland Sneddon Child Protection Committee - Self Children and Bi-Annual Evaluation families – Moira McKinnon Adult Protection Committee Annual Adult Care – Jim Annual Report Robb External Inspection / Audit Community 6 monthly Reporting – January to June 2015 Services – Cleland Sneddon Thursday 10 th December 2015 Financial Quarter Two Performance Community Quarterly Scorecard Scrutiny Services – Cleland Sneddon
Future Reports – dates to be determined Education Standards and Quality Education Services Annual Report Appendix 1 Community Services Committee Work Plan 2014 Ͳ15 Report School Leaver Destination Report Education – Ann Annual Data not ready until January 2016 2014/15 Marie Knowles Community Learning and Community and Either June or September 2015 Development (CLD) Culture – Donald MacVicar Page 287 Page 288
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