LGSCO Business Plans for 2019-20 and 2020-21 · social care providers. Our powers to investigate...

Open 23 April 2020

CLA 2377

Commission for Local Administration in England

LGSCO Business Plans for 2019-20 and 2020-21 Purpose of paper

• This is the final update to the Commission on delivery of the 2019-20 plan and indicates the outcome of each initiative. It also notes where work may need to be completed early in the new business year.

• The arrangements undertaken to launch the new 2020-21 Business Plan are highlighted.

Business Plan 2019-20

• Final updates on our 2019-20 initiatives were provided in late March. The Executive Team reviewed and approved the Business Plan report in early April.

• The final report is provided separately.

• We delivered the large majority of the work. Of 17 initiatives, 13 were completed to satisfaction and schedule at year end, and one (BP 4.6) was terminated mid-year.

• We covered much positive ground during the year, through the combination of internal and external facing initiatives.

• As well as delivering a large programme of activities and events to promote our casework, and extend the understanding and awareness of our role and service, we:

• Worked with the SEND Tribunal to agree a new protocol which will help both services work better together;

• Ran a pilot with BinJs, to explore how we could better target our training programme with them;

• Launched our new online complaints form for service users, which over time will help transform how we manage incoming complaints;

• Launched our online Remedies interactive map and improved annual letters, so we can share more data on-line about the complaints we investigate;

• We delivered several initiatives which reinforce and strengthen how we manage our business and its information. Through the Plan we:

• Reviewed and updated a large proportion of our specialist guidance, to provide better support and improve confidence in caseworkers.

• Rationalised our file management practices and how we manage corporate records, ensuring we maintain the security and integrity of our data.

• Work continued with the longer-term Learning Organisation programme. This year we:

• Introduced new training packages for investigative staff, and created better

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Open 23 April 2020

CLA 2377

access to skills-based training resources using newly available technology, to help improve confidence of staff in delivering casework.

• Modelled a new induction training plan and improved our tool kit of resources for caseworkers.

• Delivered key parts of our Leadership Development Programme, which will both strengthen and develop our managers and ensure there is a consistent view of our goals and values across the business.

• In a few projects there were some individual activities which were delayed and couldn’t be completed before year end. We will track and deliver these items early in 2020-21. In most cases these were singular items and judged not to have notably impacted the overall outcome or success of the initiatives.

• One key issue to note at year end is that all three casework teams reported an amber status. In Assessment, the influx of nine new investigators in January 2020, and a change of approach to how we manage premature complaints, has had a notable and positive impact and improved our performance levels. Investigation ended the year at amber due to the number of unallocated cases it held. All teams reported annual volumes at the top end of our planning forecasts or slightly above.

• In March 2020 the COVID-19 pandemic inflicted a very substantial impact on the management of our casework, which has had an impact the 2019-20 data and results.

Tracking 2018-19 work • During the reporting period we closed the one outstanding action from last year’s

business plan. This is noted in the ‘tracking residual benefits and activities’ section.

• The work to produce a Disaster Recovery plan for Echo (BP 4.4 - 2018-19) has now been concluded. The Executive Team is satisfied with the progress made and the remaining work has been incorporated into business as usual planning.

Launching the 2020-21 Business Plan • The approved Business Plan for 2020-21 went live on 6th April 2020. A copy was

provided to the Commission on 26th March 2020. All internal communications to support the launch of the Business Plan have been completed.

• A copy of the 2020-21 Business Plan is provided separately.

• As noted, we limited the launch to being internal only as we were awaiting sign off from MHCLG. Ministerial approval for the 2020-21 Business Plan was received on 6th April. We will now proceed to publish and distribute the Plan externally.

• Due to the COVID-19 pandemic, and the potential impacts it will have on our work and planning assumptions in 2020-21, we have asked all Delivery Leads to conduct an early assessment of their initiatives to see if some areas of work may need to be adjusted or managed differently. Our commitment remains to deliver as much of the Plan as we can, whilst keeping the Business Plan realistic and pragmatic.

Recommendations

Open 23 April 2020

CLA 2377

• The Commission is asked to:

• Note the final status of each initiative in the 2019-20 Business Plan and how any outstanding items will be managed to completion,

• Approve our 2020-21 Business Plan and the initiatives it will deliver during the year; and,

• Note that adjustments may become necessary due to the COVID-19 pandemic and that the 2020-21 Business Plan has not yet been publicised externally.

Nigel Ellis, Chief Executive 8 April 2020

Open

CLA 2377

23 April 2020



March 2020

The Local Government and Social Care Ombudsman conducts independent, impartial investigations of complaints about service failure and maladministration.

Our vision is to be an exemplary ombudsman scheme and to remedy injustice and improve local public services.

Where we find fault we make recommendations for remedy to redress injustice caused. Where the evidence supports it we also recommend changes to policy and practice to address wider systemic failures and will feed back learning from our work to improve the local resolution of complaints and service provision.

As the Social Care Ombudsman, we provide a one-stop-shop for complaints about the service provided by all registered social care providers. Our powers to investigate extend to complaints about both publicly and privately funded social care. This means everyone who relies on these services has a clear route for redress and does not have to navigate complex processes in what is often a confusing social care system. In this way we help to make sure that local public services and care services are accountable to the people that use them.

Our strategy builds upon the excellent work already done by our staff, and proposes further innovation and modernisation in our service. However, it does that without ever losing sight of our core casework responsibilities or compromising our defining principles of independence, impartiality and fairness.

Over the coming years we are committed to creating even greater openness about the way we work, the processes we follow, the decisions we take, and the recommendations we make. We will support greater public and democratic scrutiny of services, including our own, by sharing more data and more information on line. We will continue to move the national conversation about our work away from a simplistic focus on complaint volumes; we will instead turn the spotlight on the value we can add for the many, through our recommendations for wider service improvements and sharing learning from our investigations.

We have just two assets to deliver these goals – our staff and our supporting technology. We are investing in both to create a modern, accessible service with a learning culture that helps our staff do a tough job with confidence and pride.

Our priorities during the second year of our corporate strategy are set out in this Business Plan for 2019-20. We will carefully monitor our progress over the course of the year, not only to ensure that the service we provide is as effective as it can be but also to ensure that we are embedding the longer term improvements that will help to meet the future needs of people who rely on our service.

our values

The Local Government and Social Care Ombudsman is a values driven organisation commited to achieving its service standards and meeting its strategic objectives.

our strategic objectives

Our priorities for the next three years are set out in our Corporate Plan 2018 – 21, along with a summary of how we will measure our success.

our corporate strategy commitments

our 2019-20 business plan commitments

1 – To make our service easy to find and easy to use, we will:

• Provide the public with easy access to our service and give prompt advice about their enquiry in line with our published service standards

• Launch an Online Service Area to both enhance the customer experience and access to our service and improve the security of our data

• Actively monitor and achieve all our internal and external services standards for our end to end service delivery commitments

2 – To remedy injustice through fair and rigorous investigations, we will:

• Use our data better to provide a broader range of publically available information about the outcome of our remedies and greater transparency of

councils compliance rates

• Ensure that all our casework guidance reflects the legal advice and helps make our casework more consistent

• Support staff in reaching timely, confident and defensible decisions by ensuring all staff have access to quality skills based training, which is mapped

to the Ombudsman Association Core Competency Framework

3 – To use learning from complaints to improve local services, we will:

• Further improve the complaint handling of local authorities by expanding our current training offer in how we support BinJs that are currently under-

performing in their complaint handling

4 – To be accountable and use our resources efficiently, we will:

• Rationalise and better manage our corporate records and management practices to make our business information more accessible, and continue to

improve the integrity of the information we store

• Develop a new reward model that works best for the organisation; Introduce an approach to staff recognition which focusses clearly on the

behaviours and achievements we value and help the business achieve its objectives

• Roll-out a staff well-being initiative across the organisation, which will offer better support to staff and enable them to work to their full potential

• Improve the resilienace of our IT services ensure they are capable of fully supporting our Casework Management System (CMS)

Assessing progress : status categories; indicating progress against milestones and delivery against success criteria.

status considerations & features

Red

• Significant or major issues or delays; likely to fail final delivery (against scope or time); so that

• Business goals and desired outcome(s) will not be achieved;

• Scope is significantly reduced without clear business agreement or justification, or

• Issues require escalation to Executive Team and / or Commission, or

• A clear and specific remedial action plan is required to correct the situation

Amber • Behind schedule; missed one or more milestone dates or

• Business goals and desired outcome will only be partially achieved, or

• Delivery dates extended without a corresponding increase in scope, or

• Delivery dates extended without clear business agreement or justification, or

• On schedule but with some serious issues emerging which will require corrective action or decisions taken, or

• Initiative does not have clear definition, direction, leadership or scope

• Initiative fails to begin on schedule

Green • On schedule, no issues anticipated, project progressing to plan, or

• No remedial actions needed, or

• Known issues being addressed and will have no impact on the schedule. or

• Delivery dates have been revised following approval of an increase or decrease in scope

Blue • Work completed; or

• Work handed over to business as usual, or

• Work cancelled by agreement of the Executive Team (and reported to the Commission), or

• Work transferred e.g. to the next Business Plan

The Senior Responsible Officer (SRO) and Delivery Lead are indicated for each initiative. Where there is more than one delivery lead the first noted is responsible for providing progress updates.

The Delivery Lead (in bold type) is responsible for managing delivery of the initiative and reporting its status; the SRO will act as the Business sponsor; The Executive Team will consider and moderate the assessment of progress across the Business Plan.

All initiatives are funded from core budget unless otherwise noted. Planning assumptions are not targets and will be reviewed periodically.

business goals & outcomes

deliverables & milestones

measures of success

1. Our service is easy to find and easy to use

1.1 The Intake Team effectively manages all complaints and incoming enquiries in line with our published standards

Paul Conroy / JB

We provide the public with easy access to our service and prompt advice about their enquiry in line with our service standards

All services standards for Intake, both internal and external, for our end to end service delivery model are actively monitored and achieved. Assumptions:

o Manage 34k – 36k new enquiries

o Manage 26k – 28k relevant enquires

o Progress 11.5k – 12.5k relevant cases to Assessment

Our planning assumptions are monitored against a +/- 10% tolerance figure; triggering a review and action should the tolerance threshold be reached.

• ✓Performance review undertaken - May 2019

• ✓Performance review undertaken - July 2019

• ✓Performance review undertaken – Sept 2019

• ✓Performance review undertaken – Nov 2019

• ✓Performance review undertaken – Jan 2020

• ✓Performance review undertaken – Mar 2020

The CMM will undertake performance reviews

Key external service commitments are;

• 95% of calls answered within 60 seconds by the Intake Team

• Answer 98% of calls that are presented to the Intake Team

• Average answer time of 20 seconds or less by the Intake Team

• Handle 99% of written contacts within 24 hours of receipt by the Intake Team.

Detailed performance data will be reported in the KPI report.

GDPR : no screening required



measures of success

Finance : Fully funded; core budget

Progress & Issues –

Apr 20 – The status remains at amber.

Despite gaining some impetus in the last 3 / 4 months of the year, particularly following the Intake review, this was not enough to achieve all our SLA’s across the entire year. However, any failings were not significant enough to be considered red.

March / end of year performance review data against our key external service commitments:

• 95% of calls answered within 60 seconds – 96.8%

• Answer 98% of calls that are presented – 99.7%

• Average answer time of 20 seconds or less - 14 secs

2019/20 performance against our key external service commitments:

• 95% of calls answered within 60 seconds – 91%

• Answer 98% of calls that are presented – 98.7%

• Average answer time of 20 seconds or less - 26 secs

Volumes against our assumptions:

• Manage 34k – 36k new enquiries – 38,709

• Manage 26k – 28k relevant enquires – 29,532

• Progress 11.5k – 12.5k relevant cases to Assessment – 12,188

We have considered our SLA’s and assumption in preparation for BP 20/21.



measures of success

1.2 The Assessment Team effectively manages all complaints and incoming enquiries in line with our published standards

Paul Conroy / RD

We make an early assessment of every complaint to give the public a prompt decision in line with our service standards on whether we will investigate further

All services standards for Assessment, both internal and external, for our end to end service delivery model are actively monitored and achieved

Assumptions:

o Manage 11.5k -12.5k cases received from Intake

o Make 5.7k to 6.2k non-premature decisions in Assessment

(7.4k to 8k decisions including premature cases)

o Progress 4.1k to 4.5k cases to Investigation









Assessment Team service commitments are;

• 80% of all cases will be decided by Assessment or allocated to an investigator within 20 working days of receipt by Intake Team

Our 20 day service commitment is measured from the receipt of the complaint by the Intake Team to either receiving a decision from the Assessment Team or having the complaint allocated to an investigator.

Key external service commitments which the Assessment team contribute to are;

• 65% cases closed < 13 weeks







measures of success



Apr 20 – the status has moved from red to amber.

We ended the year having made 12,220 decisions against a revised target of 12,100 decisions, having changed our approach to determining premature complaints in December, which resulted in more of those decisions being made in Intake rather than Assessment.

The onboarding of nine new staff into Assessment in January, and the moratorium on accepting new complaints at year end due to COVID-19 enabled staff to process a great deal of the unallocated casework which was under 300 at year end.

The reason the status is Amber is that significant backlogs of unallocated work meant that the 20 working day target was not achieved.

Moving forwards, we will need to adopt an intelligent and managed approach to roll out when we begin to accept new complaints for processing.



measures of success

1.3 The Investigation Team effectively manages all complaints and incoming enquiries in line with our published standards

Karen Sykes / AH

We conduct detailed investigations, focussing on the most significant complaints we receive, in a timey manner and in line with our service standards

All services standards for Investigation, both internal and external, for our end to end service delivery model are actively monitored and achieved

Assumptions:

o Manage 4.1k – 4.5k complaints received from Assessment

o Make 4.1k to 4.5k decisions (with no increase in backlog cases)













• No more than 60 outstanding cases over 52 weeks held at one time

The 20 day service commitment is measured from the receipt of the complaint by the Intake Team to either receiving a decision from the Assessment Team or having the complaint allocated to an investigator. Detailed performance data will be reported in the KPI report.



measures of success




Apr 20 – the status remains at amber.

The final status for 2019/20 is amber, due to the high number of unallocated Investigation cases.

Key points to note are that:

• At the end of March 2020 Investigation was on 95.3% of its decision target.

• The number of decisions made each month has followed the normal monthly pattern, except for March which was affected by the Coronavirus shutdown.

• 4,432 decisions were made in 2019/20.

• Once cases have been allocated all the Investigation time targets were achieved.

• Complaints forwarded from Assessment in 2019/20 have increased by 8.1% (356 cases) compared to 2018/19.

Performance against our prime performance targets are:

• 65% cases closed < 13 weeks – 76.96%



• As of 31 March 2020 there were 49 cases over 52 weeks old (13 of which were joint working).



measures of success

1.4 Improve our online complaints service by launching an online portal for service users

Jayne Spence / AB and JB

We will develop an online Portal that will enhance:

1. The customer experience;

2. Our data security; and

3. The LGSCO’s business processes.

The portal will enable service users to safely and securely:

• Submit new complaints

• View progress of their complaint(s)

• Access and upload case related information

• Interact via email and potentially other methods such as live chat

• Receive automated reminders and notifications about the status of their complaint(s)

• ✓Agree next steps with Exec Team – Apr 2019

• ✓Carry out further research with potential

suppliers and customer who adopt portal style products – June 2019

• ✓Agree re-scope of the portal project and gain

Exec Team sign off –July 2019

• ✓Create focussed Portal Delivery Group to

oversee project and conduct initial meeting to determine next steps – Aug 2019

• ✓Conduct procurement exercise and appoint

portal supplier; Exec Team approve – Sept/early Nov 2019

• ✓Build and configure the new online form – Dec /

Jan 2019

• ✓Internal testing of the online form and soft

launch – Feb 2020

• ✓Commence development on Phases 2-6 –

Jan/Feb 2020

• We have introduced efficient and safe business processes to handle new complaints via the portal [new procedures operational – Mar 2020]

• Service users consider the portal effective, convenient and easy to use [evidenced from customer satisfaction surveys – Q2/Q3 2020/21]

• Increase in percentage of portal users [evidenced by monthly portal reports on number of account holders and transactions – 2020/21].



measures of success

• User acceptance testing (UAT) of Phases 2-6 – Mar May 2020

• Exec Team review UAT and authorise roll out – Mar May 2020

• Implementation and staff familiarisation / training – Mar April / early May 2020

• Go Live (User portal) - May 2020

________________________________________________

• Commence Development & Build of Phase 7 (BinJ portal) – late Apr 2020

• Go Live (BinJ portal) – Aug 2020 - tbc

GDPR : Screening assessment completed. A full PIA was completed in January 2019. Requirements have been identified and will be incorporated in the the design and business procedures. The supplier is aware of these requirements.

Finance : tba. A Business Case will be submitted to DHCLG to help support this initiative. Ref: BP 4.5.


Mar 20 – Status is green / blue. All activity for 2020-21 on track; some dates revised on suppliers Delivery Plan; This initiative will be managed to completion in the 2020-21

Business Plan.

We have continued to work with our suppliers, Maglabs and CAS, to develop, build, configure and deliver Phase 1 of the project, this is the new online complaint form. The

online form went live as a soft launch on the 16th March. The full promotion/launch of the form will coincide with the delivery of the User Portal, now scheduled for May 2020.

We intend to use the period until then to ensure the Online Form is closely monitored and to detect any live issues.



measures of success

The launch of the online form was delayed until mid-March due to an extended period of testing. This was due to the high volume and type of issues raised during testing. We

held a post-deployment meeting with Maglabs to discuss the issues and raise our concerns, and have identified several areas where improvements can be made in subsequent

phases.

Project costs have been reviewed and revised upwards. This is due to the extra development work required on the online form and reflected some additional requirements

needed to support the form. We have however, and as a precaution, implemented stronger cost control measures with the supplier to ensure any proposed cost increases are

transparent, considered and approved. Now we have a firmer understanding of the work Maglabs anticipate the costs should now be more stable going forward. We have

agreed current costs and estimates and a payment schedule with the Finance Team.

During February, and once we had a better idea of the development work involved for the remaining phases of the project, Maglabs revised their Delivery Plan. This was

expected, and has impacted some of the later project timescales by approximately 5-6 weeks. As previously noted, we are also wholly dependent on CAS delivering the

necessary changes in Echo to support the portal. The Echo team are managing-in these changes and the work is being co-ordinated in weekly meetings between ourselves and

both main suppliers.

• We area currently progressing with Phase 2 development work. This involves a broker API application supplied by CAS, which is currently being tested. Delivery of

Phase 2 functionality is scheduled for mid April.

• The specification for Phases 3-6 are under discussion at a series of Discovery meetings. The wireframes have been signed off, but aspects of the design are still under

consideration. Maglabs anticipate that development should now be completed by late April, with testing commencing on 27/4. We currently anticipates a go-live of

the User Portal by 7th May.

Given the dependencies involved and ongoing discussions on the technical specification for Phases 3-6 we will keep these dates under review with Maglabs.

The later stages of the work - to deploy the User Portal and commence the work on Phase 7 (the BinJ interface) - are picked up in the 2020-21 Business Plan (at BP 4.3).



measures of success

1.5 Improve how we manage complaints involving the SEND Tribunal

Karen Sykes / SC

We will conduct a pilot scheme with the SEND Tribunal to :

• achieve a shared understanding between those working in the SEND tribunal and LGSCO of our respective roles

• ensure the ‘customer journey’ is straightforward and efficient when involving both jurisdictions

• improve how we share learning

Our aim is to improve both the efficiency and access to our service by developing better understand of and arrangements with SEND.

The longer term aim is to create a system for passing cases between the two organisations, if the jurisdiction of the other body better fits the issues.

• ✓Initial scoping, information gathering and

sharing with SEND - Mar/April 2019 done

• ✓Sign off the joint protocol on information

sharing - Sept 2019

• ✓Round table workshop between the

Ombudsman and MT (Deputy President, SEND) to present the initial findings of the scoping and info gathering and agree format of the pilot - Oct 2019

• Deliver the Pilot (which will include familiarisation between staff through shadowing, observation of hearings, workshops - Jan 2020 – events on hold

• Evaluation of the pilot by Academic Panel of the AJC (Administrative Justice Council); Share learning across other Ombudsman schemes and tribunals – postponed

• The Academic Panel provides a positive evaluation of the arrangements; confirming easier access and complaint/appeal journey for complainants/appellants [Panel will evaluate and report by March 2020] - cancelled

• There is increased understanding amongst our caseworkers of how they should work effectively with the SEND Tribunal.[Feedback from staff following familiarisation evets, Feb 2020]

• We have established a agreed, joint protocol for the efficient, effective and GDPR compliant way to share information between the two organisations [Protocol finalised and signed by MK and Judge MT Sept 2019]



measures of success

GDPR : PIA screening completed. Objective will be to transfer cases between the 2 organisations if the other body is better placed to deal with the issues, so some personal data will be processed. A full assessment will be completed when the info sharing procedure is produced

Finance : fully funded from core budget


Mar 20 – the status is green / blue. Whilst all the main activities have been delivered some familiarisation events for staff will continue into next year.

The draft joint protocol on information sharing has been approved by LGSCO and SEND.

Ongoing efforts were being made to arrange for some of our staff to attend a Tribunal hearing. This is all now on hold due to Covid 19. However the commitment remains to enable this to happen when we get back to business as usual.

Against the measures of success noted:

SEND has reported back that there is a significantly increased understanding amongst its staff of the role of LGSCO in SEN cases and they are effectively signposting appropriate cases to us. This has been further facilitated by a simple leaflet we have developed which will be issued with all Tribunal decisions.



measures of success

1 2. We remedy injustice through impartial, fair and rigorous investigations

2.1 Improve our reporting of remedies and BinJ compliance through the better collection, management and use of our data

Mick King / EL

We report a broader range of data about the complaints we investigate, which focuses on outcomes remedies, and in particular, service improvements achieved as a result of our investigations.

The way we report our data allows for a more meaningful comparison between BinJs on key data - through improved annual letters and reports, and through an enhanced geographical interface on the website.

The benefits include:

• More accurate input, efficient storage and reporting of our data

• Moves us away from complaint volumes and towards the outcomes and impact of remedied complaints.

Business decision to go-live with Remedies project in July 2019 –

Mar 2019

_________________________________________________

Business procedures

• ✓Draft & agree operational procedures to support

Remedies – end May 2019

• ✓Handover to Business as Usual operation – July

2019

Production of new Annual Letters

• ✓Exec Team have signed off process, timescales

and criteria for tailored letters – early Apr 2019

• ✓Retrieve, cleanse and create data set – end May

2019

• We can report a broader range of data about the complaints we investigate, which focuses on outcomes remedies, and in particular, service improvements achieved as a result of our investigations [ Evidenced by Annual Letters present data in a new and improved format and includes new data on remedies that we have not reported on before; following roll-out, July 2019]

• The way we report our data allows for a more meaningful comparison between BinJs on key data through an enhanced geographical interface on the website [Evidenced by having a functional data map available on our website that allows BinJs, members of the public and stakeholders to search and easily compare data about local authorities - following roll-out, July 2019].



measures of success

• Improved ability to measure and show the impact of our work to BinJs, the public, and stakeholders

• Makes data more relevant and accessible to stakeholders

• Provides increased recognition to BinJs of the changes and improvements they have made

• Increases transparency of the LGSCO’s work by placing greater focus on recommended remedies and supports local accountability by providing a resource for local scrutineers to utilise.

• The LGSCO’s role is more open to scrutiny.

• A more significant and meaningful role for Team Coordinators.

• Increased job satisfaction for investigators (and others) as the organisation focuses on the positive impact it achieves.

• ✓Produce new annual letters – June 2019

• ✓Issue new annual letters to authorities – 24 July

2019

• ✓Publish new annual letters – 31 July 2019

Graphic Interface

• ✓Launch GI in public domain, with cleansed 12

month data set – 31 July 2019

Stakeholder Engagement

• ✓Increase levels of engagement with Stakeholders

identified in the Communications Plan – April to July 2019

• ✓Deliver ‘launch’ communications and messages

to staff, stakeholders/influencers, complainants, the public and media as planned – July 2019

• ✓Conduct post go-live comms to Stakeholders –

Aug 2019

Communications

• ✓All supporting documentation, guidance and

business processes updated – June 2019

• ✓We have delivered all communications activities

to launch, brand and integrate the map into our website – July 2019

Note: This is the final year of a three year project; the benefits and measures recorded are the final deliverables of the project.



measures of success

GDPR : Screening re-assessment completed; No full PIA required

Finance : Project wil be funded from core budget; some small IT development spend may be required in Q1

Progress & Issues – The Remedies project has been completed and no further actions are due.

2.2 Ensure all our specialist subject guidance is up to date and consistent with the legal advice we receive

Paul Conroy / MS

This is a Knowledge management project which supports our Learning Organisation initiative

The key business aims we want to achieve through this work are to:

• Improve staff confidence with their casework.

• Ensure all our casework subject guidance is reviewed and where relevant, revised.

• The Ombudsman and CPF have confidence that staff have clear and relevant subject guidance to support them with casework.

• ✓Make Legal advice accessible and link to other

casework advice – Apr 2019

• ✓Examine how the CPF engages and

communicates with staff and how staff get items to CPF – June 19

• X Produce staff guidance on integrating Human

Rights and Equality issues in casework – Oct 2019

• ✓Review of search facility on the intranet

completed and any changes implemented – by end March

• Our Remedies guidance, and each piece of subject guidance, has been reviewed and, if necessary, revised; All legal advice is linked, where appropriate, to the relevant casework advice [all guidance material in scope has been reviewed and legal advice links created, by the end Mar 2020]

• Staff have a clearer understanding of the role of CPF and will know the process for taking items to CPF [evidenced by a short and targeted staff questionnaire – by end of Mar 2020]



measures of success

• Achieve greater consistency in our casework.

Our specialist subject guidance will cover both individual casework and our approach to remedies.

• ✓Complete the review of casework subject

guidance (intranet) – Oct 2019

• X Carry out a review of the remedies guidance –

Mar 2020

________________________________________

• Complete the review of the subject specific factsheets guidance – FY 2020-21

• The intranet search facility has been reviewed and, if necessary, revised [review completed and any improvements communicated to staff - by the end of Jan 2020]

• Staff know where to find the information they require and make use of legal advice on the intranet; staff are more confident and consistent in their casework practice [evidenced by a short and targeted staff questionnaire – by end of Mar 2020]

GDPR : PIA screening form completed. This work will not involve the processing of personal data.

Finance : Core funding will support this project

Progress & Issues – Mar 20 – the status is green/ blue. We have completed our review of the intranet subject guidance and now have a page on the intranet for legal advice. As scheduled, reviews

will continue into 2020-21.

Activity against milestones includes:

• Review of subject-specific factsheets CPF have commenced its review of subject-specific factsheets. We completed the review of the benefits and tax factsheets in February 2020. The remainder of the factsheets will be reviewed next year, starting with Env and Leisure & Recreation in April.

• Review of Guidance on Remedies This will be carried over to next year.

• Review intranet search facility The review was completed on target but implementing changes is now part of a wider piece of work on updating our intranet. Work is due to start in the next few weeks and will involve discussions with Weblabs.

To assess the impact of this work we need to send short questionnaires to staff to measure success in the following areas:

• Staff have a clearer understanding of the role of CPF and know the process for taking items to CPF; and



measures of success

• Staff know where to find the information they require and make use of legal advice on the intranet; staff are more confident and consistent in their casework practice;

2.3 Identify and deliver a standardised suite of skills based training for all investigators

Paul Conroy / SC

This is a Knowledge management project which supports our Learning Organisation initiative. It focuses on the professional and personal development of staff and our core competencies.

Ensure all staff have access to quality skills

based training.

The training will be identified from, and

mapped to, the Ombudsman Association Core

Competency Framework. It will support staff in

reaching timely and defensible decisions with

the aim of increasing confidence.

An audit and gap analysis was conducted in

2018-19. The outcome resulted in a suite of

training and development courses which

underpin each of the main competencies as set

out in our Behaviours Framework and the

Ombudsman Associations Competency

Framework.

• ✓Internally request expressions of interest from

each office in developing and delivering a training package in workload management/proportionate decision making - Apr 2019

• ✓Confirm decision and funding to take previous

externally delivered training in house (Daphne P and Plain English training) - Apr 2019

• ✓Ensure all staff are aware training opportunities

via ready access to up to date Training calendar on Intranet - May 2019

• ✓Confirm the 3 investigators chosen to develop a

suitable training package - July 2019

• ✓Request expressions of interest to deliver this

training internally; Decide which investigators will take this forward - July 2019

• ✓Identify other external training providers to

address gaps in skills associated with behaviour

• A programme of skills based programme has been agreed, confirmed and delivered across the 3 office locations [programme delivered by Feb 2020]

• Each caseworker has been provided with an individually tailored training package and can demonstrate its effectiveness and use in their day-to-day work. [This will be set out in FWP (April/May 2019); Attendance and impact will be measured at mid-year and end of year appraisals]

• Investigators report feeling increased confidence in knowledge of subject areas [evidenced through mid-year and end of year appraisals; Oct 2019/March 2020, as well as the staff survey in 2020/21].



measures of success

framework/OA competency framework. Consider piloting and evaluating - Dec / Jan 2020

• ✓Deliver the training packages at each office

location - Dec / Jan 2020

• ✓Evaluate effectiveness of external training in SEN

and conflict management (delivered March 2019). Arrange roll out of further training if evaluation confirms effective and value for money - Dec 2019

• ✓Support Investigators providing internal subject

training to develop their training skills (via train the trainer training) - Dec 2019

• ✓Develop enhanced training packages to address

introductory/intermediate and enhanced needs - Dec 2019

• ✓Commence delivery of internal training of these

packages, as need arises - by end Mar 2020

GDPR : PIA screening form completed. This work will not involve the processing of personal data

Finance : Fully funded from core budget


Mar 20 – the status is green / blue.

All teams have had ongoing discussions about how they are using the EWM and PDM training to change their working practices. The trainers are pulling together feedback

and will produce tool kits for staff to use as an ongoing resource.



measures of success

The new style induction, with investigators spending the first 3 months in Assessment has gone well. Subject based training following a move into Investigation will be

delivered via skype. It will be a challenge to provide sufficient cases to enable learning to be applied given the decision to suspend all contact with councils and care providers.

But, we are using creative ways to overcome this, setting up dummy cases in Echo and encouraging all team members to skype new team members to enable them to shadow

work being undertaken to progress cases as far as possible.


• All managers have access to a training package for skills based training which maps to our key competencies and core behaviours.

• Training in EWM and PDM has been developed and delivered across all teams. Feedback has been positive the effectiveness and impact will continue to be monitored as we move into the 2020-21 business plan.

2.4 Develop our managers to lead with consistency and fairness and embrace our behaviours

Jayne Spence / DCa

This is a Knowledge Management project on how we manage our core values and behaviours which supports our Learning Organisation initiative

The key aims of this work are to co-ordinate the delivery of a leadership development programme to help managers to build on their strengths, to think and learn together as a group about how their behaviours can have a positive impact across the organisation and to show consistency and

• ✓Produce a defined programme of how we will

use leadership meetings in 2019 and the annual offsite Leadership Conference - Apr 2019

• ✓Agreed approach for how we will support ATLs,

ITLs and others (Other Managers Group) who are not part of Leadership team, but manage people – by end June 2019

• ✓Agreed approach to consolidate, develop and

embed the ‘purpose’ work started at the 2018 Leadership Conference – by end June 2019

• There is a shared understanding of how we manage and expected behaviours within the organisation [evidenced through the next staff survey – Q4 2020]

• There is a shared understanding of how we behave as a leadership team [evidenced through a dedicated LT survey – Q3 2019].

• We have adopted reflective practices within teams, including the Leadership Team. There is regular and systemic consideration of what we have learnt as an organisation – a feedback and change system – where contributions are



measures of success

fairness in the way they tackle difficult issues.

Particular areas of focus are:

• Inspiring and motivating

• Good performance and behaviours

• Earned autonomy

We will also ensure that:

• the agreed statements on ‘How we manage’ and the ‘Behaviours Framework’ are understood and actively used by all managers across the organisation.

• everyone in the organisation is aware of ‘How we manage’, and the behaviours expected of them

• ✓Managers and leaders role model the

behaviours from the framework through inclusion in their annual SMART objectives (the ‘what’ and the ‘how’) – May to end Sept 2019

• ✓Staff have an awareness and understanding of

‘how we manage’ (ie how they can expect leaders and managers to manage them) and staff understanding the behaviours expected of them (from the framework) – July 2019

welcomed and innovation encouraged [by Q4 2020]

• All staff have behaviours incorporated into their 2019 work objectives [ by Q1 2019]

• Managers who are not in the Leadership Team feel better supported in developing their leadership skills [evidenced through a dedicated survey – Q3 2019]

• We have achieved better scores/comments regarding management/leadership behaviour and consistency [evidenced by the results of the next staff survey – Q4 2020]

GDPR : This initiative will not involve the processing of any personal data. PIA screening form completed.

Finance : Cost of external consultant and the cost of any external training and development. Fully funded from the 2019/20 training budget.

Progress & Issues – All planned activities for this initiative have been completed. Success measures noted and due in 2010-21 will be monitored.

Mar 20 - All measure of success have been satisfied except for the following which will need to run through to 2020/21 so that survey results can be analysed:

From staff survey

• There is a shared understanding of how we manage and expected behaviours within the organisation [evidenced through the next staff survey – Q4 2020]

• We have achieved better scores/comments regarding management/leadership behaviour and consistency [evidenced by the results of the next staff survey – Q4 2020]

From survey of the ‘other managers group’, which took place in Mar, but results not yet analysed:



measures of success

• Managers who are not in the Leadership Team feel better supported in developing their leadership skills [evidenced through a dedicated survey – Q3 2019].

2 3. We use what we learn from complaints to improve local services

3.1 Maximise the impact of our casework

Mick King / Karen Sykes

We aim to increase the awareness and

understanding of our role by promoting the

impact of our casework and the insight from

peoples’ experiences of using public, and adult

social care, services.

This work will be achieved through the Casework

Impact Group (CIG).

It will support or strategic objectives to:

• Be recognised as an authoritative body in our field, which highlights the learning from complaints

• Report better information to the public about service improvements achieved

• Identify casework impact priorities for the year and communicate them to staff.

o ✓Priorities agreed and communicated to staff -

July 2019

o Review effectiveness – by end Mar May 2020

• Oversee the External Communications Strategy and ensure it is delivered.

o ✓External Communications Strategy reviewed and

outcome communicated to staff – by April 2019

o ✓CIG to monitor progress against planning

assumptions and targets at each meeting during the year - on-going

• We have delivered effective communication in accordance with the key priorities and targets in the External Communications Strategy. (activity 2)

• Our staff are aware of our external communications work, know where to look for information about it and understand its importance (activities 1 and 4)

• We take a strategic approach to deciding what external policy consultations on issues relating to casework to respond to, to maximise the impact of our casework insights externally (activity 3)

• We have actively sought and monitored feedback from the external training courses



measures of success

• Work closely with others to drive improvement without compromising independence

• Improve local complaint handling in BinJs

The approach and activities needed to achieve this are outlined in the revised External Communications Strategy, which will inform individual performance objectives across the organisation.

• Oversee our responses to external policy consultations on issues relating to casework.

• Ensure casework staff are engaged in and contribute effectively to casework impact work

o ✓Consider what to feed back to staff and how at

every meeting – throughout the year

• Continue to manage and organise the delivery of our external training programme.

we have delivered by asking delegates their views on the course and trainer (activity 5)

• We have delivered the full range of reports and publications in line with our planning targets and schedule. Our commitment in 2019-20 is as follows:

External Training

• Plan to deliver between 60 and 70 training courses to local authorities and care providers.

Press Coverage

• Maintain 98% positive/ neutral press coverage

• Report on volume information

Public Interest Reports

• Planning assumption of 45 – 50 reports

Themed Reports

• 4 Focus reports published

• 2 Guidance for Practitioners items produced and published

• Annual Report and Accounts published

Scrutiny Work

• Annual letters to Councils – AOs assess each council for tailored letter

• Launch Remedies Webpage and incorporate into annual letters process



measures of success

3.1 - Maximise the impact of our

casework (cont.)



impact of our casework and the insight from

peoples’ experiences of using public, and adult

social care, services.

This work will be achieved through the Casework

Impact Group (CIG).

• Annual Review of Local Government Complaints; 1 published document

• Annual Review of Adult Social Care Complaints; 1 document published

Interviews and Opinion Pieces

• Local Government Press – 4 pieces published

• National press – 4 pieces published

• Social Care Press – 3 pieces published

• Special Sector Press – 3 articles; Regular column in Benefits & Tax sector

E-newsletters

• 6 ASC providers bulletins

• 6 Ombudsman’s News

• Published decisions; ASC, Ed &Ch Srvs, Planning, Housing

• Launch new Benefits & Tax decisions newsletter

Digital Content

• Consider options for video content to support Focus Reports; Annual Reviews and Remedies initiative

Speaking Engagements

• Speak at practitioner level events in key sectors

Decision Publishing

• At least 93% published



measures of success

Publish enquiries and consultations

• Reporting of opportunities to CIG monthly for consideration




Apr 20 – The status is green blue.

No specific milestones were completed during the reporting period. However, most of the work of CIG is on-going through the year. The review of effectiveness has been put

back from March 2020 to May 2020, due to the timing of the meetings.

• The May 2020 CIG meeting will look at performance over the year 2019/20. It will also review the effectiveness of the casework priorities identified for 2019/20

• The CIG continues to meet monthly and monitors progress against planning assumptions and targets at each meeting. Communication to staff is also a standing item

on the agenda.

A summary report ‘CIG Performance – full year 2019-20’ has been issued (6th April). This report highlights specific and detailed information on performance against the measures of success.



measures of success

3.2 Explore the benefits of a more tailored complaint handling training offer for Bodies in Jurisdiction (BinJ)

Jayne Spence / AP

Our aim is to further improve the complaint handling of local authorities.

We intend to expand our current training offer to explore the benefits of a more tailored approach to how we support BinJs that are currently under-performing in complaint handling.

This will be achieved by:

• Running a pilot programme offering tailored support to up to five local authorities that we consider to be under performing in complaint handling.

• Reviewing the learning from the pilot programme to establish its impact and suitability as part of a toolkit for BinJ intervention.

• ✓Make approaches to potential pilot BinJs with an

offer of support – June / July 2019.

• ✓Select pilot BinJs in consultation with key

internal stakeholders (Ombudsman, Scrutiny and Intervention Manager, BinJ AO and pilot working group) – June / July 2019.

• ✓Fact find on each participating BinJ to establish

current picture of each BinJ’s complaint handling from both LGSCO and BinJs’ perspective. – Jun / July 2019.

• ✓Visit participating BinJs to discuss outcome of

fact find, increase picture of BinJ performance and begin to agree areas where support needed – Nov 2019

• Consider initial pilot results and appropriate timescales for Q3/Q4 activity – cancelled

• ✓Design and agree the action plan to support the

BinJ in the identified areas - Nov 2019

• Whether our support has improved the complaint handling of the pilot BinJs [evidenced based on benchmarks set at the fact find stage of the pilot – by end Mar 2020].

• We have a recommendation and decision as to whether we adopt this as part of our external training offer and BinJ intervention approach [evidenced based on feedback from participating investigators, BinJs and the CIG on the merits of the pilot - Mar 2020]

• If new approach is agreed; we have an approved implementation plan [action plan drafted and approved – Q3 2019-20]



measures of success

• ✓Implement the action plan – Nov 2019 to Feb

2020

• ✓Review the BinJs’ performance against areas

identified in the fact find to establish if there has been an improvement in each BinJ’s complaint handling – Feb 2020

• ✓Present findings to the CIG of the outcome of

the pilot and make recommendations for next steps – Feb / Mar 2020

GDPR : PIA screening form completed; initiative will not involve the processing of any personal data

Finance : Funded through core budget


April 20 - status is green / blue.

The remaining milestones for this initiative were all completed during the reporting period. The were:

• Implement the action plan – Nov 2019 to Feb 2020

• Review the BinJs’ performance against areas identified in the fact find to establish if there has been an improvement in each BinJ’s complaint handling – Mar 2020

• Present findings to the CIG of the outcome of the pilot and make recommendations for next steps – Feb / Mar 2020

The final part of Cumbria CC and LB Tower Hamlet’s action plans was to deliver presentations to their senior leadership teams. These have been postponed due to the Coronavirus outbreak. Despite this it was still possible to review the BinJs’ performance and report to CIG in April


• Whether our support has improved the complaint handling of the pilot BinJs Pilot BinJ complaint handling was assessed against set data at the start of the pilot. The same data was reviewed in March 2020. It showed our support had improved the performance of LB Tower Hamlets but not Cumbria CC or Staff CC. The pilot showed why this was, with senior buy in and support at LB Tower Hamlets and more frequent interventions.



measures of success

• We have a recommendation and decision as to whether we adopt this as part of our external training offer and BinJ intervention approach While our support did not improve the complaint handling of all BinJs, we can say why this is and what support does improve the complaint handling.

Bespoke support from ETRC is one of the interventions specified in the Insight and Intervention Framework approved by ET in November. The pilot has provided useful insight into what that bespoke support could look like, what works and what does not.

ETRC recommended to CIG on 02/04/20 that the pilot had not produced any specific new intervention that needed to be implemented, but its findings can be used to inform the proposed ETRC bespoke interventions under the Insight and Intervention Framework. Recommendation adopted

• If new approach is agreed; we have an approved implementation plan No new approach needed. ETRC interventions will form part of business as usual.



measures of success

3 4. We are accountable to the public and use our resources efficiently

4.1 Improve and rationalise how we store and manage our non-casework records

RS / SB & KT

We will rationalise corporate records by improving our file management practice.

Our corporate records will be accessible to those that need to have access to them, they will be easy to find and without any duplication of records.

It is important that the integrity of information security is maintained and if possible, improved.

The use of SharePoint will be explored as it provides the platform to better manage our files for corporate meetings and its security with collaboration functions built-in.

• ✓Complete full Privacy Impact Assessment ( the M

drive holds information that is subject to GDPR) – by end of Mar 2019.

_____________________________________________

• ✓Liaise with M drive users (ET, Executive

Assistants, IT) to ascertain user experience and what they think works well and what would be useful to change/incorporate – end of Apr 2019

• ✓Start to review content on the M drive to see if

there is any information that we should not be holding (GDPR, outside of retention schedule, more appropriate to be on the k drive) – end of May 2019

• ✓Rationalise folders on the M and K drives -

identify if there are any duplicates or if they can be organised in a more effective way – end of July 2019

• The right information is being held on the M drive and there is no duplication with k drive. [To be measured by the Governance and Committee Clerk reviewing both drives and recording what information needs to be held on the M drive. The retention schedule will assist with this and the IPDAR – Nov 2019].

• Information is stored in a logical, practical manner, upholding retention and instilling confidence in M drive users that they are accessing correct information. Improved document control will also be included. [Evidenced by the users testing the new structure. Feedback on user experience will be collected – Nov 2019]

• If agreed, we have systematically moved all our records for Committees and Groups on to Sharepoint, in consultation with the relevant Chairs and members of each group [Feb / Mar 2020]



measures of success

• ✓Review the revised format and content. Speak

with users to ascertain their experience of using the revised format – Jan 2020

• ✓Draft proposal; Exec Team to agree an approach

on how we intend to move Committee and Group records to Sharepoint (before we begin any transfers) – Jan 2020

GDPR : PIA screening form completed. Full assessment scheduled to be completed by end March 2019.



Mar 20 – the status is green / blue. All milestones have been completed and measures of success satisfied.

On the final two milestones:

ET decided not to pursue Sharepoint for storing or sharing Commission and Committee information/reports, and therefore the milestone is redundant. All work has been completed.

‘Review the revised format and content. Speak with users to ascertain their experience of using the revised format – Jan 2020’ – SB emailed ET for their feedback on using the

new file management system on the m:\ drive. All responses were positive and that the review of the filing structure has achieved its objectives.

Additional work undertaken includes:

• The Corporate Management Group has continued to monitor the initiative.

• ET has also had the opportunity to review file management principles and guidance which us to be used across the organisation.

• An updated Retention Schedule for the m drive has been drafted and with the Data Protection Officer for comment.

All measures have been satisfied; the information stored on the M:\ drive is correct (not suitable to be stored anywhere else due to the nature/sensitivity of the information),

and it is stored in a logical, clear way so that it can be easily accessed by those that need to access the information.

There is also strict access controls in place meaning that the information is secure and we are in line with GDPR.



measures of success

4.2 Improve our processes for staff recruitment, induction and retention

Paul Conroy / NK

This project supports our Learning Organisation initiative

The objective of this work is to ensure our

recruitment and induction processes are fit for

purpose, and to describe a total reward model

that works for both the individual and the

organisation as a means of contributing to staff

retention.

The concept of 'total' reward covers all aspects

of work that employees value, both tangible and

intangible, such as personal growth and the

value added through learning and development,

as well as the sense of engagement that is

created through identification with the

organisation's culture and values.

Recruitment & Induction

• ✓Complete the review of recruitment and

induction processes undertaken in 2018/19; Report outcome to Casework Managers – Oct 2019

• ✓Agreement for any changes to practice, policies,

or procedures that have been identified (i.e. in respect of either recruitment, induction, delegation and/ or probation arrangements) will be sought at

the appropriate level and implemented - by end Mar 2020

Staff retention / Total Reward Phase 1 – Research and Evaluation (Q1)

• ✓Evaluate what rewards we offer – including

prospects for skills / career development - and generate ideas for improving them – by 30 June 2019

• ✓Hold a series of consultative meetings with staff

to understand their priorities and preferences - early Oct 2019

Phase 2 – Development (Q2 and Q3)

• Recruitment advertising, testing and selection ensures staff are a ‘best fit’ for the organisation; and that they are inducted in an effective and efficient way and achieve delegation in as short a period as possible and run full caseloads. [We will measure this by tracking the average time to achieve delegation of each cohort of new staff – and revise our policies and practice as necessary by year end].

• Decisions to give delegation are clearly evidenced against the agreed revised policy [evidenced by staff demonstrating they can run a full caseload before being confirmed in post].

• We ensure that where there are concerns about an individual’s capability; these are fully addressed prior to probation being passed. [The probation period will be revised and re-launched by June / July 2019 to facilitate this].

• Staff and job applicants recognise the total package of potential benefits including opportunities for personal development and



measures of success

• ✓Use the consultation feedback to test the

understanding and appreciation of the planned total reward offer among employees – by Oct 2019

• ✓ Undertake consultation and clear

communication; to ensure staff understand what we are proposing and why – Nov 2019

• ✓Develop and support front-line managers in

applying total reward thinking – ongoing through Q2 and Q3

• ✓Decide the outcomes we are going to measure –

by 31 Dec 2019

Phase 3 – Implementation (Q4)

• ✓Provide examples of the kind of values and

behaviours that should be rewarded - by 31 Mar 2020

• ✓Produce an overall statement with the narrative

and content of our total reward provision. (This could be used as a reference document both for employees and job applicants) – Mar 2020

• ✓Ensure engagement, enthusiasm and

understanding of line managers, who we will need to work with and support throughout implementation – throughout to end Mar 2020

improving skills and expertise [evidenced by the adoption of an overall statement of total reward by March 2020 which will be produced in consultation with staff].

GDPR : PIA screening form completed



measures of success

Finance : funded from core budget. To be monitored during the year.


Mar 20 – the status is green / blue.

This workstream required us to revisit our processes for recruitment, induction and retention. All of this has been done – Steve James conducted a thorough audit of staff

recruitment processes, the Directors tweaked the training and induction processes and amended delegation and probation arrangements in consultation with managers and

staff.

The Total Reward Statement has been drafted and HR are working with Policy & Comms to ensure there’s a dedicated page on the website to share internally and externally

with potential future employees.

We have just recruited a further 17 new investigators – and the process of training and inducting the first cohort of 8 has gone well. They will not achieve delegation or pass

probation until they have established they can effectively run a caseload and make decisions to the time and quality requirements of the organisation.

4.3 Ensure great work and exceptional contribution by staff is fully recognised and rewarded



measures of success

Paul Conroy / NK

This project supports our Learning Organisation

initiative

We want to ensure we encourage and promote

great work and exceptional contributions made

by individuals which helps us achieve our

business goals. We will do this by adopting

processes which recognise and reward such

behaviours in a fair, transparent and consistent

way which is valued and appreciated by staff.

In addition to continuing to review the

effectiveness of our Exceptional Contribution

Award scheme we will introduce a system of

employee recognition which ensures we focus

on behaviours and achievements we truly value

and that this helps us to achieve our strategic

objectives.

Exceptional Contribution Scheme

• ✓Evaluate the outcome of the 2019 Exceptional

Contribution Awards to include number and level of individual and collective nominations; common features of successful / unsuccessful nominations; any areas where nominations are routinely made / not made; and assess staff views re transparency. Implement any changes as required – Sept 2019

Recognising Great Work

• ✓Complete the review of the pilot scheme – by 30

June 2019

• ✓Consult staff for their views on the pilot and

evaluate the outcomes of the consultation – Sept 2019

• ✓Formalise, modify or abandon the scheme

(depending on the outcome of the consultation) – Sept 19

We operate a reward and recognition scheme which is understood by managers and staff, and operated in a fair, consistent and transparent manner.

This will be evidenced by:

• A clear organisational understanding of the aims and objectives of each of the reward and recognition schemes [Mar 20].

• Positive nominations have been received from all parts of the organisation [Mar 20]

• Consistently approved nominations being made from across the organisation [Mar 20].

• Consultation with staff demonstrates the value of the scheme - failing which – it is either re-designed or abandoned [Sept 19].

GDPR : PIA screening form completed



measures of success

Finance : Fully finded from core budget; the costs associated with the scheme are known and must be within the exceptional contribution award scheme budget.

Progress & Issues -

Apr 19 – status is green / blue; all activity has now been completed.

The two schemes running in parallel have been evaluated and assessed, and show a good distribution of both types of award across the entire organisation – with the types of

behaviours we wished to reward being very self-evident.

The staff survey asked a few questions about reward recognition which still shows that we have a challenge in communicating the successes under the schemes and that its

accessible to all. Home Based Workers felt they had little or no chance at obtaining recognition, which is something we need to consider in more depth.

4.4 Strengthen the resilience of our network and Casework Management System and develop our digital services and strategy

Nigel Ellis / AB & SdP

We will agree a clear plan for how to develop our digital services over the next 3-5 years, setting out our appetite for innovation, the benefits we want to see for our users and re-stating our commitment to meeting the day-to-day needs of our staff.

We will schedule and deliver a programme of technology based activities which will:

Develop our digital services

• ✓Creation of 3-5 year plan for developing our digital

services – April to end June 2019

• ✓Review by Auditors – July to end Sept 2019

• ✓Exec Team approve 3-5 year Plan – by end Sept 2019

(Q2)

• Commence implementation – Oct to end Dec 2019

Develop our digital services

• We have a 3-5 year Plan which has been developed with input from staff and auditors [evidenced by a Plan approved by Exec Team; We are clear about what we are – and what we are not – going to do to develop our service digitally]

Echo Upgrade



measures of success

• Ensure ECHO continues to meet the needs of users, is fit for purpose and can function effectively together with the online service area (portal).

• Roll out Windows 10 to all computers on the network

• Continue to support our business critical applications and Business Plan initiatives

ECHO Development

• ✓Exec Team decision to upgrade Echo – Oct 2019

• X Deliver Echo Upgrade – by end Mar 2020

• Exec Team decision to migrate Echo to the cloud – On Hold

• Complete full PIA assessment, for Echo migration to cloud (if agreed) – On Hold

• Migrate Echo to the cloud (if agreed) – On Hold

Windows 10 Rollout

• ✓Leadership Team informed – by 1 Apr 2019

• ✓Staff informed – Apr 2019

• ✓Rollout commences – Apr 2019

• ✓Rollout Completed – end Sept 2019

• ✓Exec Team receive report on completion of project

and any follow up actions – Oct 2019

• The business has decided if we need to upgrade Echo [by Q1 / Q2 2019/20]

• We have successfully upgraded ECHO to latest version and colleagues are able to use the new features [evidence from ITUG, Helpdesk, Staff Survey - Q1/Q2 2020/21]

Echo to Cloud:

• We have considered the benefits and made a business decision on moving Echo to the cloud [by Q3/Q4 2019/20] – on hold

• We have successfully moved ECHO to the Cloud (if agreed) and have demonstrated improvements in reliability, performance and recovery in the event of a BC issue [by Q3/Q4 – on hold]

Windows 10 Rollout

• Windows 10 has been installed on all computers and our network security has been strengthened [ by end Sept 2019]

GDPR : PIA screenings completed for all three areas of work. A full PIA assessment will be scheduled and completed for the move of Echo to Cloud, if approved.

Finance : The Echo Upgrade has been priced by supplier and will be funded by core budget; the Echo migration to the cloud is part of the request for additional funding from MHCLG (ref: BP 4.6); Windows 10 requires additional hardware which will be purchased prior to the start of the project and will be funded by core budget.



measures of success

Progress & Issues

Mar 20 - The status is green / blue;

All activities have been completed on the Windows 10 roll-out and the work to develop our digital services by creating a digital delivery plan.

Some aspects of the Echo development work have been cancelled, as the Exec Team has decided to put on hold plans to migrate Echo to the cloud.

We have not been able to deliver the Echo Upgrade. Work on this is in progress; We have received an initial Release from CAS, which has been tested and fixes applied. We are

now waiting for CAS to release a second version of the Release for us to continue testing. It is very cautiously anticipated that the Release will go-live in Q1 of 2020-21.

This upgrade was made necessary as the Echo system is changing the way in which documents are stored in Echo (using Webdabs and not Sharepoint). It is also needed to

support the functionality needed for the new Portal. Some of the changes being introduced are notable, and involve key areas of Echo such as the heavily-used ‘notes and

analysis’ field, and will therefore affect how caseworkers use the system. This means that the upgrade will need to incorporate some form of staff familiarisation and training

before it goes live.

We will continue to work with CAS to complete the test phase and progress the Release.

The measures of success noted have all been satisfied, with the exception of the Echo upgrade item and for the Echo migration work which is on hold.



measures of success

4.5 Promote well-being at work, encouraging staff to flourish and achieve their full potential

Nigel Ellis / MPH


We will better understand and then deliver a

coherent and co-ordinated well-being at work

programme across the whole of the

organisation:

The key objectives are to:

• Build an understanding of what people

want and what they think about what’s

already on offer.

• Have a clear focus and clear statement

of intent

• Learn from best practice in other

organisations, sharing positive initiatives

across our own organisation in line with

ideas for developing as a learning

organisation.

• ✓Well-being of home workers

Undertake a programme to visit our homebased workers

to ensure they are working in safe environments and to

discuss broader issues of well-being. Feedback to line

mangers at leadership meeting (Sept 19) – May to Aug

2019

• ✓Communication

Monthly internal comms of well-being opportunities,

upcoming events and activity. Create branding and

organise information available on the Intranet – Apr 2019

to Mar 2020

• ✓Mental Health in the work place:

Establish a task and finish group to review and shape

mental health at work policy, guidance and support – Jan

2020

• Staff say their work is meaningful; it gives them

a sense of accomplishment and personal

fulfilment [evidenced through Staff survey

results]

• Staff feel inspired to perform at the highest

level and motivated to achieve the

organisation’s objectives [evidenced through

Staff survey]

• Staff feel that they have the support needed to

do their job well [evidenced through Staff

survey results]

• Managers have an appreciation of their own

well-being and that of their staff, they are

confident in their roles and ensure their staff

have confidence, purpose and earned

autonomy [evidenced through LT survey results]

• Sickness absence is relatively low; across all

work areas. [evidenced by KPI results]



measures of success

• Staff who are fully or partly homebased

are engaged and included in the well-

being at work programme, and we will

ensure they are working in safe

environments.

The programme links with and underpins other related activities most notably, Learning Organisation and How We Manage

• Establish a Champions network for well-being

X Define the role of champion and recruit volunteers

across the organisation – First meeting - Jan 2020

• Intake team – a focus on well-being

Meet with Intake advisors to discuss their view of well-

being in the context of the job role they undertake, and

to identify an areas we can make improvments. –

cancelled / transferred

• ✓Digital/Technology solutions and ideas

Seek and explore solution and ideas to support/provide

our wellbeing at work programme – Apr 19 to Mar 2020

• Everyone understands what we mean by well-being and why we think it’s important and can identify helpful things we have done to improve well-being at work [evidenced through feedback from team meetings]



Progress & Issues – Mar 20 – The status is green / blue. All substantial areas of work have been completed at year end. BP4.5 was intended as a programme of work which would probably need to

stretch beyond a single year. Some activities will therefore be continued in next year’s Business Plan, however much of the preparation work has already been completed.

The Well-being work with Intake was cancelled and it has been decided that, having established the task and finish group, it would be appropriate to move the delivery of the

Mental Health initiative into the new Business Plan for 2020-21.

We will establish a network of champions for Well-being early in the new year. This group will then support the ongoing Mental Health initiative in 2020-21. The ground-work –

in setting up the task and finish group - has been completed, but we have not been able to find an appropriate time-slot in Q4 to launch this to the business and request

volunteers



measures of success

Feedback on any digital opportunities to support our well-being programme has been provided to AB and NE. This will now be input into any ongoing considerations regards

developing our digital activity and strategy.

On the measures of success: Many of the measures are tied up with the outcome of the Staff Survey. The Staff Survey was completed in Q4 and the results are currently being

reviewed. Early indications ae that we have had a mixed result on the Well-being feedback. A meeting has been scheduled to assess the results in detail and decide how we will

take this forward and what actions may be required.

4.6 Seek additional targeted funding to support business-wide innovation projects

Nigel Ellis / RS

We have several innovation projects which require additional supporting budget. These are: Joint Working; Development of the online portal (phase 2); and Undertake a pilot scheme to explore options designed to build resilience into how we manage our workflow.

We ensure a comprehensive and persuasive business case is submitted to MHCLG at the appropriate time to feed into the spending review.

We receive the additional funding required to support and help us deliver our strategic objectives.

• ✓Clarify submission timetable for business case (in

line with Government Spending Review dates) – Sept 19

• Refine business case, including in the light of changes required by MHCLG in core business case – cancelled

• Maintain liaison with MHCLG – cancelled

• Refine case and submit – cancelled

• Respond to feedback from MHCLG - cancelled

• The Business Case is submitted at the appropriate time, in accordance with MHCLG requirements [anticipated in Q3/4 2019-20]

• We have actively tracked and monitored progress of the Business Case, and any comments from MHCLG have been incorporated as appropriate [anticipated in Q2/Q3 2019-20]

• A final and formal decision has been made by MHCLG on the Business Case [anticipated in Q3/Q4 2019-20]

GDPR : PIA screening form completed. This initiative will not involve the processing of any personal data.



measures of success

Finance : Fully funded from core budget


Oct 19 – this initiative has been terminated. The timescales and focus of the Government Spending Review have changed with the result that our Business Case submission will not be completed as expected. The status of this activity is therefore blue and no further action is anticipated

tracking residual benefits and activity (from the 2018-19 plan)

the 2018-19 business benefit or activity

outstanding action and progress

date expected

status

BP 1.4 – Implement actions arising from the strategic review of the the JWT (AF)

• Hold joint discussion with PHSO on customer

feedback mechanisms and the sharing of findings

At its meeting in June the Exec Team agreed that this activity

can be considered closed / completed in light of the changing

circumstances noted.

Jun 2019

BP 4.2 (D) - How we manage our core values & behaviours (DCa)

• Conduct an audit / self assessment of the

developmental needs of our different sets of

managers, and the Leadership Team as a whole

June 19 – completed. Nigel requested that members of LT

complete two questions following the session with Waqar in

April 19.

Oct 2019

BP 4.4 - Ensure our Complaints Management System (ECHO) enables us to manage our casework in an effective way (SdeP)

• ✓Transfer File Management into ‘business as

usual’;

• ✓Produce a disaster recovery plan (with IT) to

provide business continuity should ECHO fail

• ✓Exec Team review disaster recovery proposals;

Leadership Team are consulted.

The transfer of File Management into ‘business as usual’ was

completed on 16 April 2019.

Jan 19 – The Exec Team considered progress on the Disaster

Recovery work for Echo and agreed that it has been

sufficiently well developed, and is being managed as an

ongoing activity. As a result the Exec Team consider this work

delivered and closed as a Business Plan project.

Work will however continue to strengthen and improve our

planning and response arrangements for the Echo system

April 2019

Jan 20

Jan 20

X X ✓

meeting schedule for reviews and approvals:

Executive Team Meetings

Note: Delivery Leads are responsible for submitting papers within the timescales advised.

meeting date material for submission status owner

April 2019 BP 1.4 - Improve our online complaints service (portal) – agree on next steps for the portal Completed JB / AB

May 2019

June 2019

July 2019 BP 1.4 - Improve our online complaints service (portal) - Agree scope of portal project and gain Exec Team sign off

Completed AB

Aug 2019

Sept 2019 BP 4.4 - Strengthen the resilience of our Digital Service & Casework Management System - Exec Team decision to upgrade Echo

BP 4.4 - Strengthen the resilience of our Digital Service & Casework Management System - Exec Team approve 3-5 year plan to develop our digital services (Q2 – tbc)

Completed

Completed

AB

AB

Oct 2019 BP 1.4 - Improve our online complaints service (portal) – Exec Team to review and approve procurement exercise and appointment of portal supplier (off-line at month end)

BP 4.4 - Strengthen the resilience of our Digital Service & Casework Management System - Exec Team receive report on completion of Windows 10 project and any follow up actions

Completed

Completed

AB

AB

Nov 2019

Dec 2019


Jan 2020 BP 4.4 - Strengthen the resilience of our Digital Service & Casework Management System - Exec Team decision to migrate Echo to the cloud (Q3 / Q4 – tbc)

BP 4.1 - Improve and rationalise how we store and manage our non-casework - agree approach on how we intend to move Committee and Group records to Sharepoint

On Hold

Completed

AB

KT

Feb 20220

Mar 2020 BP 1.4 - Improve our online complaints service (portal) - Exec Team review UAT and authorise roll out Postponed AB

Commission Meetings

Note: Papers to be submitted to the Governance and Committee Clerk one week prior to the Commission Meeting.


25 April 19 Business Plan progress reviewed at the Commission meeting Completed NE

22 July 2019 Business Plan progress reviewed at the Commission meeting Completed NE

7 Nov 2019 Business Plan progress reviewed at the Commission meeting Completed NE

6 Feb 2020 Business Plan progress reviewed at the Commission meeting Completed NE

Local Government and Social Care Ombudsman Business Plan 2020-21 v final approved Page | 1



April 2020

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The Local Government and Social Care Ombudsman conducts independent, impartial investigations of complaints about service failure and maladministration.

Our vision is to be an exemplary ombudsman scheme and to remedy injustice and improve local public services.

Where we find fault we make recommendations for remedy to redress injustice caused. Where the evidence supports it we also recommend changes to policy and practice to address wider systemic failures and will feed back learning from our work to improve the local resolution of complaints and service provision.

As the Social Care Ombudsman, we provide a one-stop-shop for complaints about the service provided by all registered social care providers. Our powers to investigate extend to complaints about both publicly and privately funded social care. This means everyone who relies on these services has a clear route for redress and does not have to navigate complex processes in what is often a confusing social care system. In this way we help to make sure that local public services and care services are accountable to the people that use them.

Our strategy builds upon the excellent work already done by our staff and proposes further innovation and modernisation in our service. However, it does that without ever losing sight of our core casework responsibilities or compromising our defining principles of independence, impartiality and fairness.

During 2020/21 we will continue to champion openness and transparency in the way we work, the processes we follow, and the decisions and recommendations we make. We will share more information online and will use technology to help us ensure our service is both accessible and effective. We will continue to move the national conversation about our work away from a simplistic focus on complaint volumes, instead turning the spotlight on the value we can add for the many, through our recommendations for wider service improvements and sharing learning from our investigations.

We will continue to invest in our key assets to deliver these goals – our staff and our supporting technology – to provide a modern, accessible service with a learning culture that helps our staff do a tough job with confidence and pride.

Our priorities during the third year of our corporate strategy are set out in this Business Plan for 2020/21. We will carefully monitor our progress over the course of the year, not only to ensure that the service we provide is as effective as it can be but also to ensure that we are embedding the longer term improvements that will help to meet the future needs of people who rely on our service.

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our values

The Local Government and Social Care Ombudsman is a values driven organisation committed to achieving its service standards and meeting its strategic objectives.

our strategic objectives

Our priorities for the next three years are set out in our Corporate Plan 2018 – 21, along with a summary of how we will measure our success.

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our corporate strategy commitments

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our 2020-21 business plan commitments

1 – To make our service easy to find and easy to use, we will:

• Provide the public with easy access to our service and give prompt advice about their enquiry in line with our published service standards;

2 – To remedy injustice through fair and rigorous investigations, we will:

• Develop our strategic approach to working with CQC and others to increase our reach with social care providers;

• Develop our approach to incorporating Human Rights and Equality legislation into our casework;

• Ensure our new suite of skills-based training is fully accessible to caseworkers and provide staff with greater opportunities to develop and progress;

3 – To use learning from complaints to improve local services, we will:

• Maximise the impact of our casework;

• Ensure our Key Performance Indicators fully and effectively reflect and measure our business performance;

4 – To be accountable and use our resources efficiently, we will:

• Strengthen our management approach to help us be a high-performing organisation;

• Rationalise and better manage our shared records and management practices;

• Continue to use digital innovation to help support and improve our core work;

• Promote well-being at work, encouraging staff to flourish and achieve their full potential;

• Work with Local Authorities to improve the handling of premature complaints;

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Assessing progress: status categories; indicating progress against milestones and delivery against success criteria.

status considerations & features

Red

• Significant or major issues or delays; likely to fail final

delivery;

• Business goals and desired outcome(s) will not be

achieved;

• Scope is significantly reduced without clear business

agreement;

• Issues require escalation to Executive Team and / or

Commission;

• A remedial action plan is required;

Amber • Behind schedule; missed one or more milestone dates;

• Business goals and desired outcome will only be partially

achieved;

• Delivery dates extended without clear business

agreement or justification;

• On schedule but with some serious issues;

Green • On schedule, no issues anticipated, project progressing to

plan;

• Known issues being fully addressed; no impact on the

schedule;

• Delivery dates have been revised following approval of an

increase or decrease in scope;

Blue • Work completed;

• Work cancelled by agreement of the Executive Team (and

reported to the Commission);

• Work transferred e.g. to the next Business Plan;

Each initiative has a Senior Responsible Officer (SRO) and Delivery Lead

The Delivery Lead (in bold type) is responsible for managing delivery of the initiative and reporting its status; the SRO will act as the Business sponsor

Where there is more than one delivery lead the first noted is responsible for reporting progress

The Executive Team will consider and moderate the assessment of progress across the Business Plan

All initiatives are funded from core budget unless otherwise noted

All initiatives will conduct a GDPR screening assessment

Planning assumptions are not targets and will be reviewed periodically

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measures of success

1. Our service is easy to find and easy to use

1.1 The Intake Team effectively manages all complaints and incoming enquiries in line with our published standards

Paul Conroy / JB

We provide the public with easy access to our service and prompt advice about their enquiry in line with our service standards

All services standards for Intake, both internal and external, for our end to end service delivery model are actively monitored and achieved. Assumptions: Assumptions:

o Manage 38k – 40k new enquiries

o Manage 28k – 30k relevant enquires.

o Progress 11k – 12k relevant cases to Assessment


• Performance review undertaken - May 2020

• Performance review undertaken - July 2020

• Performance review undertaken – Sept 2020

• Performance review undertaken – Nov 2020

• Performance review undertaken – Jan 2021

• Performance review undertaken – Mar 2021



• 95% of calls answered within 60 seconds by the Intake Team

• Answer 98% of calls that are presented to the Intake Team

• Average answer time of 20 seconds or less by the Intake Team

• Handle 99% of written contacts within 24 hours of receipt by the Intake Team.


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measures of success

GDPR: no screening required



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measures of success

1.2 The Assessment and Investigation Teams effectively manage all complaints and incoming enquiries in line with our published standards

Paul Conroy & Karen Sykes / AH

We conduct detailed investigations, focussing on the most significant complaints we receive, in a timely manner and in line with our service standards

We make an early assessment of every complaint to give the public a prompt decision in line with our service standards on whether we will investigate further

All services standards for Assessment and Investigation, both internal and external, for our end to end service delivery model are actively monitored and achieved

Assumptions:

o Assessment Manage 11k -12k cases received from Intake

o Assessment Make 6k – 6.5k substantive decisions

o Investigation Manage 4.5k – 4.75k complaints received from Assessment

o Investigation Make 5k decisions (with

• Performance review undertaken - May 2020

• Performance review undertaken - July 2020

• Performance review undertaken – Sept 2020

• Performance review undertaken – Nov 2020

• Performance review undertaken – Jan 2021

• Performance review undertaken – Mar 2021


Our key external service commitments are;




• No more than 60 outstanding cases over 52 weeks held at one time

The Investigation Team service commitment is:

• To hold no more than 325 unallocated cases

The Assessment Team service commitments are;

• 80% of all cases will be decided by Assessment or allocated to an investigator within 20 working days of receipt by Intake Team

• To hold no more than 500 unallocated cases

Our 20-day service commitment is measured from the receipt of the complaint by the Intake Team to either receiving a decision from the Assessment Team or having the complaint allocated to an investigator Detailed performance data will be reported in the KPI report.

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measures of success

no increase in backlog cases)





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measures of success

1 2. We remedy injustice through impartial, fair and rigorous investigations

2.1 Develop our strategic approach to working with CQC and others to increase our reach with social care providers

Karen Sykes / DCa

We will work with CQC, care providers and others to:

• promote our work and ensure that individuals know they can complain to us

• focus on how CQC host our information, and reference our service and data on their website, and in doing so aim to better share the information we have

• look at new ways of promoting what we do with relevant others

We will build on recent work to increase our reach with care providers and, for example, extend how much CQC signpost to us.

• Promote our Part 3a work by putting out public interest issues stemming from those complaints – throughout 2020-21

• Review what we already do in terms of reaching out to care providers – Apr 2020

• Consider how we promote our training offer to care providers (in the context of our ability to deliver more training) – Apr 2020

• Develop ASC key messages so that we are consistent when promoting what we do – Apr 2020

• Review the questions we ask in the customer satisfaction survey to better identify how people know about the LGSCO to gain intelligence on where we should focus our efforts – by end Jun 2020

• Work with CQC on services that are not but maybe

• Awareness of our service has reached a wider social care audience [evidenced by: we have used key ASC messages in our external communications, and we have presented to provider groups who we have not previously targeted – by end June 2020]

• We have worked with CQC to ensure that the CQC website provides a better and more accurate reflection of our service [evidenced by Adverse Findings Notices being accessible on the CQC website – Mar 2021]

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measures of success

should be registered e.g. introductory agencies and day care – Dec 2020

• Ensure Adverse Findings Notices (AFN) are placed on CQC website, in order to give potential users of care services the best information possible when choosing services – by end Mar 2021

GDPR : PIA screening form completed; This work will not involve the processing of personal data

Finance : Fully funded; core budget.


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measures of success

2.2 Develop our approach to incorporating Human Rights and Equality legislation into our casework

Paul Conroy / EL

Through this initiative we will:

• Standardise our approach to incorporating the Equality Act and Human Rights Act into our decisions;

• Support staff in identifying and understanding when Human Rights and Equality Act issues are Involved in our casework investigations; and

• Help staff better articulate their decisions where Human Rights and Equality Act issues are involved.

Thereafter, we will explore ways to promote this new aspect of our casework to external audiences.

Staff Training

• Provide Human Rights training to all remaining staff - by end Jun 2020

Business procedures

• Embed new policy approach (which includes casework examples, standard paragraphs and new business procedures) - by end Sept 2020

Quality assurance

• Working group to quality assure decisions that feature human rights and equality issues, to ensure compliance with new business procedures, and to consider any feedback from BinJs/complainants. – by end Dec 2020

Communications

• Deliver communications to BinJs and other key stakeholders about initiative - by end Sept 2020 (to coincide with launch of internal comms)

• Use Casework Briefings to promote initiative - Oct 2020

• Begin drafting the content for an external document which will promote our findings – Feb /

• We have improved processes to identify cases where Human Rights and Equalities legislation are engaged [evidenced by training to all staff and new business procedures, delivered by the start of Q3]

• Staff are confident about articulating these considerations in their investigations in an appropriate and proportionate manner [ evidenced by a paper to Casework Policy Forum in Jan 2021, reporting the results of the quality assurance exercise]

• Our new findings are promoted through external communications [evidenced by an external publication/s (format to be decided by the Casework Impact Group), by the end of Q4]

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measures of success

Mar 2021 (to publish in Q1 21/22)

GDPR : PIA screening form completed. This work will not involve the processing of personal data.



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measures of success

2.3 Ensure our new suite of skills-based training is fully accessible to caseworkers and provide staff with greater opportunities to develop and progress

NK / SC

This is a Knowledge management project which supports our Learning Organisation initiative. It focuses on the professional and personal development of staff and our core competencies.

This initiative will continue the work we have

done to develop and evaluate the skill and

subject based training we offer, and improve

the opportunities for staff (particularly those

based in Intake) to progress within the

organisation when they have a desire to do so.

We will:

• Ensure all new and existing staff have

access to quality skills-based training,

which will support them in reaching

timely and defensible decisions with

the aim of increasing productivity.

• Develop and support our staff to enable them to progress within the organisation.

• Ensure the training offer (skill and subject) is up to date and available for managers to use in appraisals and FWP’s – May 2020.

• Evaluate the impact and effectiveness of the existing PDM and EWM training. Consider if any adaptations are needed before delivering to new cohorts - June 2020

• Request feedback from corporate managers to identify gaps in current provision for staff they manage - May 2020

• Produce a development programme to help support advisors in Intake and increase potential for progression within the organisation - Dec 2020

• Develop expertise within the Intake team with provision of specialist training to enable advisors to become subject/behaviour experts (including dealing with persistently difficult complainants/autism spectrum/mental health/self-harm/ learning disabilities) - Dec 2020

• Develop arrangements to ensure the expertise developed is utilised appropriately and effectively

• Increased productivity within Assessment and Investigation teams following completion of EWM and PDM training. [evidenced by data recorded in Echo indicating an increase in the number of decided cases, within two months of the training – rolling throughout the year]

• Advisors have been invited to express interest in specialist training programmes [ August 2020]

• Advisors access the development programme and opportunities offered, and report increased confidence and knowledge of subject areas. [Evidenced by results of mid-year and end of year appraisals. October 2020 and March 2021].

• Following the completion of specialist training by Advisors, there is a reduction in CAU’s about failure to manage difficult or challenging behaviour appropriately or adapt a communication style to meet specific needs. [Evidenced by reviewing the relevant CAU data recorded in Echo - March 2021]

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measures of success

within the Intake team when complainants present behaviours or issues which staff find challenging - Mar 2021




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measures of success

2 3. We use what we learn from complaints to improve local services

3.1 Maximise the impact of our casework

Mick King / Karen Sykes



impact of our investigations for complainants

and the wider public.

This work will be delivered through the

Casework Impact Group (CIG).

It will support our strategic objectives to:

• Be recognised as an authoritative body in our field, which highlights the learning from complaints

• Report better information to the public about service improvements achieved

• Work closely with others to drive improvement without compromising independence

• Improve local complaint handling in BinJs

Oversee the External Communications Strategy, monitor

progress and ensure it is delivered:

• Conduct reviews at CIG meetings – monthly throughout

the year

• Periodic progress reviews - at 6 and 12 month intervals.

We will deliver the full range of reports and communications in

line with our planning targets and schedule. Our commitment in

2020-21 includes:

External Training

• Conduct a strategic review of the role we want our external training to play and how we can deliver a sustainable solution – end June 2020

• Aim to deliver between 60 and 70 training courses to local authorities and care providers.

• We have delivered effective communication in accordance with the key priorities and targets in the External Communications Strategy.

• Our staff are aware of our external communications work, know where to look for information about it and understand its importance

• We take a strategic approach to deciding what external policy consultations on issues relating to casework to respond to, to maximise the impact of our casework insights externally

• We have actively sought and monitored feedback from the external training courses we have delivered by asking delegates their views on the course and trainer

• We have agreed a clear strategic view of the role our external training will play over the

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measures of success

The approach and activities needed to achieve this are outlined in the revised External Communications Strategy, which will inform individual performance objectives across the organisation.

Press Coverage

• Maintain 98% positive / neutral press coverage

• Report on volume information

Public Interest Reports

• Planning assumption of 65 – 70 reports

Themed Reports

• 4 Focus reports published

• 2 Guidance for Practitioners documents produced and published

Interviews and Opinion Pieces

• Local Government interviews – 4 pieces published

• National press – 4 pieces published

Speaking Engagements

• Speak at practitioner level events in key sectors

Public enquiries and consultations

• Reporting of opportunities to CIG monthly for consideration

Our strategy, objectives and the full range of our commitments are outlined in the External Communications Strategy 2020 v2

next few years [evidenced by a document with recommendations being reviewed and approved by the business – July 2020]


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measures of success



3.2 Ensure our Key Performance Indicators fully and effectively reflect and measure our business performance

Nigel Ellis / RM

Our key business aims in this initiative are to:

• Review the existing Key Performance Indicators (KPIs) to make sure they are still accurate, relevant and meaningful.

• Make sure we are regularly utilising a concise set of data, across the organisation, which enables LGSCO to determine whether, and to what extent, we are achieving our strategic objectives.

• Ensure the Board, The Executive Team and managers use the same key indicators to assess the performance of the organisation.

• Map all the information currently used to monitor our key performance to identify any gaps and/or inconsistences (this should include, for example, the quarterly Commission KPIs, monthly performance reports to the Executive Team, bi-monthly reports to CMM and CMG, monthly Intake performance updates) – July 2020

• Seek views from those who use the data about its usefulness, clarity and relevance, as well as the format in which it is best presented – July 2020

• Work with our internal auditors, RSM, to critically appraise the suitability of the current KPIs and any proposals for change – Oct 2020

• Ensure any changes to the KPIs are informed by, and inform, the development of LGSCO’s strategic objectives for 2021-2024 – Nov 2020

• Our KPIs are expressed clearly and enable senior leaders to assess how well LGSCO is meeting its strategic objectives [evidenced by feedback from senior leaders].

• There is a clear read-across in the performance indicators used by the Board, the Executive Team and other managers and each is complementary to the other [evidenced by Exec Team, Commission, and other relevant paperwork being consistent].

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measures of success

• Gain agreement from the Executive Team and the Board about the future format and content of LGSCO’s KPIs – Nov 2020




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measures of success

3 4. We are accountable to the public and use our resources efficiently

4.1 Strengthen our management approach to help us be a high-performing organisation

Nigel Ellis / NK

As an organisation we want to actively manage staff performance in a fair and consistent way to enable staff to give their best and get the most from their roles.

To achieve this we will ensure that :

1. All managers have a clear understanding of their role in creating a high performing organisation

2. Managers understand our systems and processes for managing performance and are confident about operating them

We have communicated the behaviours, responsibilities and attributes of a high performing organisation across the business

• The Leadership Team has agreed a clear definition

of what we mean by a “High Performing

Organisation”, and every LT member understands

their personal responsibility for promoting this

within their own team - by end April 2020

• Deliver workshop on high performance organisations to all managers, to ensure they have a clear understanding of performance management and their role - April - May 2020

• Provide support and innovative advice to managers,

ensure managers are aware and have access to the

suite of support available to them through

probation, capability procedure & appraisal (review

if necessary) - May - Jun 2020 onwards

• Ensure that the right statistical information is

available to managers to ensure a consistency of

approach and that individual conversations about

• Managers understand what constitutes a high performing team and feel able, confident and supported by HR to manage performance in their teams [evidenced by feedback requested from Managers – July 2020]

• Managers and the HR team are working together constructively to resolve any difficulties in a fair and consistent way [evidenced by feedback requested from Managers – December 2020

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measures of success

performance are properly informed - May – Dec

2020.

Assess progress and improvement with managers

and their teams; evaluate the need for further

action and support - Oct – Dec 2020




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measures of success

4.2 Rationalise and better manage our shared records and management practices

Jayne Spence / SB

This initiative will make our business information better structured, more accessible, and better able to help us meet Data Protection requirements.

It will also continue to improve the integrity of the information we store.

Clear policy and guidance will be developed and embedded across the organisation to provide clear instruction about file management and data integrity.

• Identify and record the top-level folders stored on the k: drive. Working with IT, identify owners for each folder and current people with access rights - end of Mar 2020

________________________________________

• Work with all folder owners to communicate the initiative’s aims and timescale and agree programme of work, including agreeing final list of top level folders to be taken forward – end of Apr 2020

• Folder owners to have completed review and rationalisation of all folders and their content and specified who requires access in line with file management principles and guidance – end of Aug 2020

• Develop a register containing information about folder owners, access and review monitoring – end of Sept 2020

• Establish a clear protocol and process with IT for access and control of folders in particular, a process for when staff move roles within the organisation, join or leave the organisation – end of Oct 2020

• There is a documented owner for each folder who controls information created, stored and deleted as well as its review in line with retention schedule. The owner specifies who has access and works with IT to ensure this is put into practice [Oct 2020]

• We have developed, shared and embeded the principles and guidance, and worked to ensure that staff understand the importance of file management and its relationship with data integrity [Communication to staff outlining principles, operation and responsibilities – by end Oct 2020].

• We have established a schedule of reviewing information with agreed procedures for managing folders when staff move within or leave the organisation [Sept 2020].

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measures of success

• Progress will be reported to the Corporate Management Group at their meetings - scheduled for May, July, Sept and Nov 2020


Finance : fully funded from core budget.

Progress & Issues :

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measures of success

4.3 Use digital innovation to help support and improve our core work

Nigel Ellis / AB

The focus of this initiative is to:

Fully implement the new web-based portal so that it:

• forms an integral part of our end-to-end complaint management process,

• improves the efficiency of our case handling, and

• encourages users to access our service online.

Develop IT into a proactive service, working in collaboration with frontline staff to:

• identify problems, challenges and opportunities as early as possible, and

• propose new and innovative ways of working, rather than waiting to react to helpdesk enquiries.

Work with casework managers and their staff to pilot the use of Skype, FaceTime (or similar technology) to help communicate effectively with complainants and progress those cases where face-to-face discussions are beneficial.

Online Portal

• Complete any remaining work on the portal (Phases 1-6) to add in complaint status, email notifications, live data, messaging, case creation, keeping in touch reminders - end Apr 2020

• Deliver Phase 7 – Provide Local Authorities access to a section of the Portal to allow secure exchange of casework data - by end Aug 2020

• Develop and Implement a continuous improvement mechanism to capture and implement feedback - end Sept 2020

IT Service Team Development

• Meet with Technicians & ITUG to clearly define pro-active working so that stakeholders are engaged and understand the benefits - end Apr 2020

• Technicians attend team meetings to gather feedback from colleagues on common issues and ideas for solutions - by end Jun 2020

• Use feedback from meetings, ITUG and statistics to identify projects that bring benefits to the organisation and to reduce common helpdesk issues - by end Sept 2020

• The portal has been effectively integrated into our casework processes as a user-friendly online area [evidenced by: we can send and receive information securely from ECHO, and complainants and BinJs can see progress on their cases, upload documents and comment on drafts; by Sept 2020].

• We have successfully identified opportunities to improve IT support and implemented positive changes in a timely way [evidenced by : the need to react to Helpdesk enquiries has reduced, as we identify problems earlier. Staff recognise that the IT service has become more proactive (from Pulse survey results, Oct 2020).

• We have successfully tested the use of Skype in several teams; staff involved in the pilot are able to use Skype whenever it is beneficial to do so; have a clear agreed position on the use of Skype conversations to help progress cases.

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measures of success

We will research how an IVR (Interactive Voice Response) system might help reduce the number of calls handled by Intake, by directing calls to a more appropriate place in the organisation.

• Pulse survey to measure effectiveness of working proactively and determine if the IT service has improved as a result - Oct 2020

• Technicians to identify and champion new tools and ways of working - by end Mar 2021

Skype Pilot

• Identify AOs and investigators that can provide a balanced view on the use of video conferencing with the public as an investigative tool. Work with KS and PC to validate findings and to set a clear goal for the pilot project - by end May 2020

• Provide a paper to Exec Team outlining the views of our colleagues and the potential benefits & pitfalls of providing this service. Paper should also consider how we advertise this service without impacting adversely on casework - Jun 2020

• On approval of the pilot project:

o Identify champions and setup pilot equipment in each office - end Jun 2020

o Develop a simple process and explanation for using the system - end Jun 2020

o Pilot the use of Skype – July 2020 to Jan 2021

o Seek views of the Advisory Forum - tba

o Evaluate outcomes – by end Feb 2021

o Agree way forward - Mar 2021

Telephony (IVR)

• Draft proposals for an IVR service – July 2020

• Consult with staff and TCs with the proposals to

• We have thoroughly explored and consulted within the business on the use of an IVR service and have drafted a proposal to the Exec Team. If implemented, the number of calls handled by Intake will be reduced, as some calls will be directed elsewhere in the organisation.

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measures of success

consider the impact – by end Sept 2020

• Update the proposals and present to Exec Team, with an implementation plan if required – Oct 2020

• If approved by Exec Team, commence a project to implement the proposals – Jan 2021

GDPR : PIA screening forms completed for three projects;

o The IVR Telephony project will not process personal data.

o The Skype project will manage some personal data, as identified in the screening document. A full assessment will be scheduled.

o A full PIA was completed for the Portal project in January 2019. The assessment has been shared with the supplier and the requirements will be incorporated in the design and business procedures.

Finance : Fully funded; core budget. Costs and budget for the Portal project are being monitored with the Finance team

Progress & Issues

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measures of success

4.4 Promote well-being at work, encouraging staff to flourish and achieve their full potential

Nigel Ellis / MPH


Our key aims are:

• By listening to and learning from our people, to provide wellbeing at work support and services that help them to have mastery of their work, to reach their full potential and contribute to a high performing organisation.

• For all staff to have a strong sense of purpose and have an awareness of their own and others wellbeing at work by encouraging positive mental health in the workplace.

• To promote our wellbeing at work programme, related policies and services within our Total Reward offer, demonstrating our commitment to be a Great Place to Work for potential and existing staff

Listening to and supporting our people

• Using the data collected in the ‘Great Place to Work’ survey, specifically the additional Wellbeing questions to set a base line, review and respond to wellbeing issues raised. Use this learning to inform and shape our plans to improve our support and services - May 2020

• Use the learning from our Wellbeing visits to Home based workers in 2019-20, to ensure our staff who work remotely for some or all their working week have an appropriate level of support in place so that that their out-of-office working environments are safe, and in no way detrimental to the health and wellbeing, and that they can continue to be engaged and productive members of staff.

o Produce and introduce a checklist/aide

memoire for managers to support

conversations with their staff about home

working. Promote to Leadership team to help

them to support occasional home workers.-

July 2020

Listening to and supporting our people

• We see an improvement and responses to Wellbeing specific questions compared to year one [evidenced by - Great Place to Work survey year 2 results - Mar 2021]

• Managers periodically and systematically check with their team members about their home working, to ensure safe and productive work is maintained [evidenced by check lists and issues being reported to Operational Support for resolution]

• Wellbeing Champions Network is central to coordination and facilitation of wellbeing activities. Staff are engaged, and feedback is obtained to help shape future wellbeing at work initiatives [evidenced by: post activity feedback undertaken by Wellbeing champions Network and Pulse survey about wellbeing to measure staff awareness and engagement of services]

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measures of success

Better support for Mental Health in the workplace

• Brief Leadership team about Time to Change, so they know what the expectations are and how we will communicate this with staff - TBA

• Sign up to the Time to Change Programme, a commitment to changing the way we all think and act about mental health in the workplace.- TBA

• Develop and then deliver an Action Plan for the Time to Change programme - TBA

Total Reward

• Work with the Head of HR to produce a document which sets out our Total Reward Package and specifically includes what we do to promotes wellbeing among staff - June 2020

• Update staff on the work and share the Total Reward Package - Sept 2020

• Promote and communicate to existing colleagues and potential candidates of the organisation - Oct 2020

Supporting Mental Health

• We have completed the Time for Change programme and signed the employer pledge.

• Staff are better able to support their mental health and wellbeing, using interventions before they risk becoming unwell [evidenced by a reduction in absences due to Mental Health issues from 2019-20 to 2020-21]

• Total Reward

• Our Total reward offer is documented and communicated on the intranet, website and other online platforms so it is available to existing colleagues and potential employees.




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measures of success

4.5 Work with Local Authorities to improve the handling of premature complaints

Paul Conroy / AP

We will work with Local Authorities to better ensure that complaints only reach the Ombudsman when all stages of local resolution processes have been completed.

We will introduce new working procedures with Local Authorities, in which they will issue a letter (or form of words) which clearly invite a Person Affected to approach the LGSCO should they remain dissatisfied with the Local Authorities complaint response.

• Draft and agree new letter to be piloted with Local Authorities – April 2020

• Conduct pilot scheme with Local Authority group and assess results – end June 2020

• Implement the roll out of the new completion letter with Local Authorities – July 2020

• Revise Intake procedures - to check for letter when carrying out prem checks – July 2020

• Monitor the operation and effectiveness of the new procedure with Local Authorities – end Aug 2020

• Local Authorities have provided input to and

support the new procedure and have

implemented the new procedure [evidenced

by early feedback to the ETRC and further

supported by analysis and data gathered by

Intake – to July 2020]

• The Intake Team can clearly identify

“premature” complaints [evidenced by

reviewing targeted Intake data – Aug 2020]



Progress & Issues

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tracking residual benefits and activity (from the 2019-20 plan)

the 2019-20 business benefit or activity

outstanding action and progress

date expected

status

X X ✓

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meeting schedule for reviews and approvals:

Executive Team Meetings


April 2020

May 2020

June 2020 BP4.1 - Strengthen our management approach to help us be a high-performing organisation – review progress – tbc

BP 4.3 - Using digital innovation to help support and improve our core work - paper outlining the views of our colleagues and the potential benefits & pitfalls of providing new (VC) service

Planned

Planned

NK

AB

July 2020

Aug 2020

Sept 2020

Oct 2020 BP 4.3 - Use digital innovation to help support and improve our core work – present proposals on IVR telephony, with an implementation plan if required

Planned AB

Nov 2020

Dec 2020

Jan 2021 BP 3.2 - Ensure our Key Performance Indicators fully and effectively reflect and measure our business performance - Gain agreement from the Executive Team and the Board about the future format and content of LGSCO’s KPIs. – Date TBA

Planned RM

Feb 2021

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Mar 2021

Commission Meetings

Note: Papers to be submitted to the Governance and Committee Clerk one week prior to the Commission Meeting.


April 2020 Business Plan progress reviewed at the Commission meeting Planned NE

July 2020 Business Plan progress reviewed at the Commission meeting Planned NE

Nov 2020 Business Plan progress reviewed at the Commission meeting Planned NE

Business Plan progress reviewed at the Commission meeting Planned NE

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LGSCO Business Plans for 2019-20 and 2020-21 · social care providers. Our powers to investigate...

Documents

Transcript of LGSCO Business Plans for 2019-20 and 2020-21 · social care providers. Our powers to investigate...