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SOCIAL SERVICES NORTH WEST (NWASSA)
MEETING ON 16 JUNE 2000 AT ST HELENS
REPORT OF THE CO-ORDINATOR
PERFORMANCE ASSESSMENT
1. Matter for Consideration:
A key issue identified by many authorities in the consultation about the future work programme is the rapidly
developing arrangements for the assessment by Government of the performance of local government in general and
social services authorities in particular. The interlinking strands of Joint Reviews, SSI inspections, Best Value,
and the provision of plans and statistics have now been brought together. This report provides a synopsis of the
Performance Assessment 2000/01 modules published by the Department of Health. Members may wish to consider how
the collective interests of member authorities in this area could usefully be furthered by Social Services North
West.
2. Introduction:
A comprehensive performance assessment system was first promised in the White Paper Modernising Social Services.
The key components are now in place and bring with them new requirements and arrangements. The Department of Health
publication Performance Assessment 2000/01 provides an overview of how these fit together to deliver comprehensive
in-year and end-year information. The document is in modular form and is designed to be a useful reference for
those working in and around social services. It is also designed as a web site document to be continuously revised.
(www.doh.gov.uk/scg/pssperform).
3. Information:
Module One: Performance assessment of councils with social services responsibilities This is set out
in the flow chart, attached as appendix 1
Module Two: An overview of PSS Performance Assessment -provides an overview of how the various components
and requirements fit together. The system is based around five performance domains, these are the same as those
used for the Best Value Performance Indicators established for most local authorities and they can be mapped to
the NHS Performance Assessment framework (PAF). The five domains are:
· National Priorities and Strategic Objectives
· Cost and Efficiency
· Effectiveness of Services delivery and Outcomes
· Quality of Services for Users and Carers
· Fair Access
The arrangements aim to bring together all the information about the performance of each council with social
services responsibilities, and close partnership with the health service will help in tackling priority issues
together. It is hoped they will:
ensure effective working with health and other departments/ agencies,
promote good practice and identify poor performance that can be rectified,
help the development of performance management arrangements, and
ensure that social care issues are appropriately addressed.
The context is that of the Government's modernisation agenda for social services and local planning arrangements
and includes:
· A comprehensive set of national objectives
· Short and medium term national targets for improvements and developing strong partnerships
· National Standards for services as per the Social Services Inspectorate.
The Department of Health will also be consulting on a Quality Strategy for social services emphasising partnerships
with organisations, users and carers.
Local Planning and Review will focus on:
· establishing local objectives and performance measures
· targets for annual improvements against performance indicators
· Best Value Performance Plans
· Best Value reviews
· Regular local reviews
To assess the performance of councils with social services responsibilities three key types of information will
be gathered:
Performance Data - the set of 50 high level performance indicators associated with the PSS PAF are designed to
be small enough to be manageable, whilst large enough to cover all aspects, services and client groups. They are
structured into the five performance areas of Best Value. From 2000/01 the data will include information on user/carer
satisfaction from surveys carried out by councils.
Evaluation information - from SSI Inspections and SSI/Audit Commission joint reviews - built on the existing structures
for evaluating services as well as continuing the existing roles of the SSI (and Audit Commission Joint Review
Team)
Monitoring information - collected by SSI Social Care Regions, building on the experience gained with the SSI SCR
in year monitoring exercises carried out in 1999. In addition to an ongoing engagement with each local authority,
they will carry out two in-year monitoring exercises in Spring and Autumn each year, concentrating on the implementation
of the key priorities set out in the National Priorities Guidance.
All of the information generated will be pulled together in the five domains of the PSS PAF to form an overall
assessment of the performance of each authority, to see if they are:
meeting statutory requirements,
making adequate progress in implementing policy for social care,
working effectively with health, and
delivering efficient effective services.
A scoring system consistent with that adopted by the Audit Commission's Best Value Inspectorate will be developed.
Annual Reviews will be carried out between November and March and will demonstrate progress toward the implementation
of priority objective's and targets, update the record of performance and identify good practice. Ministers will
consider using powers of intervention where there are persistent or serious failures that put vulnerable people
at risk.
Module Three: Performance Assessment timetable for 2000/01
This is set out in appendix 2
Module Four: Objectives, Indicators and Targets for Social Services
11 objectives for each of Children's and Adult Services, along with a PSS Performance Assessment Framework High
Level Performance Indicators chart, Best Value Performance Indicators and Audit Commission Performance Indicators
and National Targets associated with PSS PAF Indicators. Also includes National Targets not associated with PSSPAF
indicators (efficiency, Mental Health services, Youth Justice) and areas for local action. This section is to be
revised regularly on the website to take account of changes in indicators and targets.
Module Five: Performance Data
Types of data and indicators include:
· Data Collections from councils with social services responsibilities and the NHS, Department of Environment, Transport and the Regions.
· Key Indicators Graphical System- useful for detailed analysis of specific areas but bulky for overview purposes.
· Service-Specific Performance Indicators
· Personal Social Services(PSS) Performance Assessment Framework (PAF) Performance Indicators
· The NHS Performance Assessment Framework (PAF)
· Best Value Performance Indicators
· Audit Commission Performance Indicators
· Local Performance Indicators.
Of course indicators do not give the whole story so it is also necessary to look beyond them by for instance
looking at other councils and change over time.
Module Six: Performance Evaluation
This includes SSI Inspections, SSI/Audit Commission Joint Reviews, Linking review areas, Inspection Standards and
PAF Domains, Inspection of Best Value Reviews and Social Care Functions.
Module Seven: Performance Monitoring
This module looks at monitoring exercises in 1999 and draws out the lessons learned. Monitoring will be a continuous
process, with two points in the year when the progress of individual councils will be collated for the purpose
of national-level reporting. These will be in July to look at the first quarter of the year, followed by another
to consider actual progress toward achievement of the plans at the mid-year point. The methodology for in-year
monitoring will retain the focus on self-assessment and joint evaluation.
Module Eight: Assessing Overall Performance
The Social Services Inspectorate (SSI) Social Care Regions (SCRs) will carry out the task of pulling together all
the relevant contemporary information. They will analyse recent performance and come to a judgement about the current
level of service being provided, review the potential of the council to deliver relevant improvements to services
and lead to a classification of overall performance. Records will be kept on each council. The module looks in
some detail at the issues of Performance Information, Judging Performance and Serious Concerns. The latter includes
discussion on the intervention of Ministers, using powers contained in the Local Authority Social Services Act
1970, the Children Act 1989 and the Local Government Act 1999. A protocol on the use of these powers has been signed
with the Local Government Association, and clear evidence of an authority's failure to discharge functions or meet
statutory obligations will be required. Authorities will in this event be given the opportunity to turn their services
around through the production and implementation of an action plan before other measures may be considered.
Module Nine: Annual Reviews and Advice to Auditors
The Annual Review will be led by the SSI SCRs working with the NHS Executive Regional Offices and will culminate
in a meeting between the SSI SCR's business lead inspector, senior social services managers and other appropriate
people, where current and future performance will be discussed and local targets agreed. The joint health and social
services agenda will also be addressed. The Annual Review will :
· influence planning and decision making at local level
· be co-ordinated with other assessment activity
· integrated with the assessment of Best Value Plans
· use the classification of overall performance
· focus on assessing outcomes
· include the effective and efficient management of resources
· consider trends over time
· promote improvements to services produce reports which are publicly available
· be objective fair and open
· be constantly evaluated and reviewed.
Reviews will take place in November and March and will be timed within the annual cycle of relevant publications
and events. The reports will be produced in a way that consistently tracks the past years performance and assess
the councils capacity to change. The reports will be short, accessible and informative. The Annual Review Performance
reports will be copied to external auditors responsible for signing off the council's plans.
Module Ten: Development Work
Each of the modules in this document will be updated on the DH's new PSS Performance Assessment website at www.doh.gov.uk/scg/pssperform
when further information becomes available. The Department hopes to:
· Issue a Quality Strategy Green Paper in late Spring 2000
· Issue details of the Spring 2000 SSI Social Care Regions monitoring exercise
· Publish details of PSS PAF performance indicators for 2000/01 in April
· Send out key statistics return for 1999/00
· Confirm details of the new annual review process
· Confirm principles for new joint assessments with the NHS Exec Regional Offices
· Issue guidance on user satisfaction
· Provide further information on the overall classification of performance
In addition, key work is being undertaken in all areas covered in this document.
Module Eleven: Processes for dealing with councils with Social Services Responsibilities where there are serious
concerns
This module considers the criteria for making judgements namely whether councils are:
failing to meet statutory responsibilities
failing to manage resources effectively to ensure services reach those with the highest level of need
failing to provide safe consistent and reliable services
failing to fulfil their Best Value duty to continually improve their economy, efficiency and effectiveness in delivering services and meeting standards.
All judgements will be made against these criteria.
Details are then given of the process by which potentially serious concerns are identified' including further information
seeking. This could then lead to:
· a warning,
· enhanced regional monitoring
· special measures
· Ministerial intervention (where there is cause for greatest concern)
In most cases a comprehensive and realistic action plan will be central to a successful outcome. What the SSI
will need to cover in the plan is outlined and the SSI will confirm with the council the arrangement for monitoring
at the time the action plan is agreed. The council's performance will then be subject to regular reviews which
should lead to their eventual removal from the category of 'serious concern'.
4. Conclusion
The procedures for central monitoring of the performance of local authority social services have never been so
complex and so detailed, yet it must be accepted that we are accountable for the quality of our services and the
way in which we manage our resources. The explicit framework now set out does attempt to bring together all the
different strands of external performance assessment, yet many of the tools being used are as yet untried, and
none are yet perfect, given the subjective nature of many of the judgements involved.
5. Recommendation:
Members are asked to consider whether Social Services North West should be ready to play a role in monitoring
the implementation of this system across the North West, and offering feedback to the various inspecting bodies
concerning the experience of assessment on the ground.
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