PLUSS. Assessment Dates: 14/3/ /3/2016. TMX Report Template V

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1 PLUSS Assessment Dates: 14/3/ /3/2016 TMX Report Template V

2 Contents 1. About the Organisation Assessment Methodology Assessment Outcome Areas of Significant Strength Areas for Improvement Areas Requiring Significant Development Findings Against the Merlin Standard Conclusion... 22

3 1. About the Organisation Pluss (the Organisation) is a Community Interest Company that supports over 5,000 people with disabilities and other disadvantages into employment each year. This is achieved by working in partnership with a range of specialist, local employment services and through direct employment within their own Commercial Enterprises. Developed over its 40 years lifespan, established and proven methodologies exist for specialist employment programmes - either referred to as Supported Employment or Independent Placement and Support (the latter specifically used for those with mental health issues). Pluss are keen that that services should always include those furthest from the labour market and offer specialist employment support to people with a learning disability, mental health issues, physical disabilities and long term health conditions. Pluss values are key to driving behaviours throughout the Organisation and beyond and the Organisation is committed to directly employing disabled people themselves; around half of their 500 strong workforce has a disability, making this the largest social firm in the UK. Pluss operates with physical locations throughout South West England and West Yorkshire and with partner Social Enterprises across the UK. The Organisation currently develops, delivers and manages a range of employability programmes on behalf of the Department for Work and Pensions as a Work Choice prime contractor, together with a number of contracts with local authorities and other agencies. Pluss also operates as a sub-prime to other prime contractors in Somerset and the West of England. Pluss is a Company limited by guarantee that does not distribute profits and is owned by Devon County Council, Plymouth City Council, Somerset Council and Torbay Council. The Organisation directly delivers 95% of the Work Choice contracted services in West of England and 45% of the overall provision in West Yorkshire. 1 TMX Merlin Report Template

4 2. Assessment Methodology This assessment is the Organisation s second against the Merlin standard. The assessment team comprised of Andy Richardson (Lead Assessor) and two team assessors: Christine James and David Folland. At an initial planning discussion between the Lead Assessor and representatives of Pluss, including the individuals collectively acting as Coordinators for this Merlin assessment, a sample of Supply Chain Partners were identified that suitably reflected the make-up of Pluss present, potential and past supply chain. From this sample, the Coordinators created schedules for each of the assessors, modified marginally over subsequent weeks to accommodate the availability of individuals within the organisations selected. During the assessment, assessors reviewed a diverse and substantial range of evidence, including written documentation and electronic systems. This was supported by face-to-face and phone interviews with representatives of Pluss, collaborative partners, contractors and Supply Chain Partners. Each assessor completed the schedule of interviews over the first three days of this assessment, convening on day four to share findings and agree scorings for each criterion within the Merlin Standard. These detailed findings were provided to a panel of senior Pluss staff, at a feedback session on the afternoon of the fourth day. This feedback included the final outcome of the assessment, as well as providing an overview of the key areas of strength and areas for consideration when it comes to continuous improvement moving forward. 2 TMX Merlin Report Template

5 3. Assessment Outcome Overall % 80% Overall Outcome Good Supply Chain Design Excellent Commitment Excellent Conduct Good Review Satisfactory 3 TMX Merlin Report Template

6 4. Areas of Significant Strength A number of significant strengths and areas of excellence in practice were identified during this Merlin assessment and summaries of these are given below. The numbers in brackets refer to the criteria of the Standard to which the areas relate. With good quality connections across a wide network of organisations, Pluss has been able to demonstrate that it has a very proactive and collegiate approach to designing its supply chains. These networks and connections at both a local and regional level have enabled Pluss to engage with potential Supply Chain Partners and wider stakeholders at the design stage of bid development, i.e. through a genuine partnership approach. (1a.1, 1a.2 & 1a.3) Good up-front communications, through presentations, group discussions and one-to-one dialogue, enabled prospective Supply Chain Partners to understand what would be on offer throughout the contract in a transparent fashion. This included helping Supply Chain Partners to understand the processes, relationships and reporting lines throughout the supply chain. This communication throughout the onboarding process has enabled Pluss and its partners to establish a clear understanding of the underpinning principles, upon which supply chain relationships are founded. The collective approach to supply chain design and system development used within some recent bids clearly demonstrates a collaborative and partnership driven approach and all partners confirmed a highly respectful, open and transparent approach to communications at all stages and levels. (2a.1, 2a.2, 2a.4, 2a.5 & 2c.1) With the partnership-based approach to designing supply chain arrangements and systems, Pluss has been able to identify and agree fees up front and in a highly transparent manner. This has in turn, enabled Pluss to build its contract documentation in such a manner that Supply Chain Partners requirements are fully catered for. Supply Chain Partners indicated that their individual requirements had been taken into account in both pre- and post-contract arrangements. The introduction of new financial management systems has enabled the timely and accurate transfer of funds around the supply chain, with very few payment errors. The number of errors on the claims details submitted has significantly reduced over the last months as a result of support provided by Pluss to the Supply Chain Partners and partners were very positive in their comments in this regard. (2c.2, 2c.4, 2c.5, 2c.7 & 2c.8) With several TUPE situations under their belt, Pluss have been able to demonstrate that not only do they have robust and effective processes and practices in place to manage TUPE, but that they are also able and willing to go beyond minimum requirements in many cases, offering excellent support to not only their own staff who are transferring out of Pluss, but also to help organisations who are transferring people in to Pluss to manage the expectations of these staff as they transition in to their new roles upon transfer.(3a.2) With open communications and a consultative approach to doing business, Supply Chain Partners all reported that excellent relationships exist at all levels of both Pluss and the partners. They also confirmed that any changes to volumes or funding/payment arrangements had been managed in a transparent fashion and that all pre-contract agreements have been honoured. (3a.2 & 3c.1) 4 TMX Merlin Report Template

7 5. Areas for Improvement The following areas for improvement-could be considered for review and improvement. The numbers in brackets cross-reference the findings to the relevant criteria of the Merlin Standard. Whilst several examples exist of partners being developed in a strategic sense, this tends towards the inconsistent, across both geography and tier. Opportunities therefore exist, especially for the Tier 4 call-off partners and specialists, to ensure that partner organisations are operating effectively and efficiently. This will help to ensure their long-term survival and thereby retain the integrity of the Pluss supply chains. In a similar vein, Pluss could look to identify and assist partners to access alternative/additional funding, even where this may not involve Pluss directly. (2b.1 & 2b.2) Following on from the initial assessment in 2014 and the recommendations at the time, Tier 4s generally are an area where Pluss could continue to develop their approaches. To support this, there may be benefits to be had from using the Service Level Agreements (SLAs) to more clearly define the responsibilities and expectations of both parties (at Schedules 1 and 2). Both Tier 4s and Tier 3s could also benefit from being kept up to date with legislative changes on a more robust and consistent basis and the sharing of good practice could also be expanded to encompass Tier 4s similarly. It became evident during the assessment that some of the Tier 2 partners are not fully aware of all the Tier 4 (and Tier 3) providers that they may be able to utilise as part of their service offerings. It may therefore be of benefit to raise the awareness of specialist resources available to other partners, as this would be advantageous all round.(2c.3, 3a.4, 3b.8, 3c.4) All parties confirmed that the Pluss supply chains are governed by principles that they uphold and support themselves. In order to help new partners coming in to the supply chains however, and to support staff coming in to these partner organisations (and Pluss itself) to understand the meaning of the principles ( values ) in each contract, it is recommended that context statements be created, for example to demonstrate what customer focussed looks like for each target client group and commissioner. (3a.1) In reviewing arrangements for the quality assurance (QA) of services provided, it is recommended that further consideration be given to how customers provide feedback on the quality of services provided by Pluss and the supply chain. In particular, consideration could be given to how this feedback dovetails back in to the values of Pluss and its supply chain, thereby helping to reinforce the principles throughout. Further benefits could also be gained from investigating how the results of quality assurance activities could be used more effectively to introduce changes that significantly impact on outcomes that are measurable. (3b.1 & 3b.2). With both Pluss staff and Supply Chain Partner staff all offering a degree of information, advice and guidance to end-users, it is recommended that the senior team consider how the quality of IAG can be more robustly and comprehensively assured at the point of delivery. With some partners holding the matrix accreditation, this may be worthy of consideration for both Pluss and as a requirement for any end-to-end providers, whilst information, advice and guidance qualifications, or similar, could form the basic requirements for small specialist organisations. (3b.3) 5 TMX Merlin Report Template

8 In reviewing evidence of quality assurance, it would appear that much store has been placed in the checking of policies and procedures as part of the initial due diligence process. The quality assurance of service delivery, including data security, safeguarding and health and safety for Tiers 3 and 4 could however be made more consistent and robust, for example by carrying out physical checks and ensuring that quality is maintained regardless of the delivery point. Several Supply Chain Partners commented that they have their own models and practices for these aspects and that in some instances, Pluss staff have in fact carried out site visits, even for some partners who only provide referral services and for whom, no fee changes hands. In looking to enhance the approaches in these aspects, Subject Matter Experts within Pluss could also provide much valued support to Pluss field staff and in having specialist input into training sessions for supply chain staff. (2b.3, 3b.4, 3b.5 and 3b.6) 6 TMX Merlin Report Template

9 6. Areas Requiring Significant Development Although the Merlin Standard overall has been achieved with a Good outcome, there are a number of criterion within the requirements of the Standard where limited evidence was presented and requires significant development in order to support the Organisation to achieve excellence in supply chain partnership working. The numbers in brackets cross-reference the findings to the relevant criteria of the Merlin Standard. Whilst the due diligence testing done at the procurement stage for new partners is robust in terms of checking policies are in place across a number of areas, this tends to be the extent of any influence Pluss has on environmental sustainability across its supply chain. Pluss should now seek to define and communicate/agree some clear and measurable targets for each of its supply chains to achieve. In some cases, Supply Chain Partners may already have measurable objectives that form part of their own Sustainability Policy, but for those that don t, this will help them to understand just how they are contributing to this issue both for themselves and for Pluss. It is also suggested that consideration be given as to how Pluss can look to identify further the impact it and its supply chain as a whole is having on the other broader social objectives of the various commissioners generally. With the connections that Pluss has with various networks, including LEPs, and with local, regional and national organisations concerned with poverty, homelessness and health and well-being, Pluss is ideally placed to use these connections to build a more robust picture. Sharing this with Supply Chain Partners will then help them to understand their own contributions, not just to the area in which they primarily operate, but also to the wider perspective. (3b.7, 4a.3, 4a.4 & 4a.6) A similar picture as described above also exists for Diversity and Equality, with policies and practices being checked at the point of procurement and data being provided through the Management Information System. There is less evidence however, as to how Diversity and Equality data is being collated and analysed by Pluss, or how any outcomes are being shared with the supply chains and then thereafter used by Supply Chain Partners to modify, or improve approaches that address any issues identified. This then is an area where development could help support supply chain understanding and identify, for example, how services are meeting local needs and matching demographic trends. (3e.2 & 3e.3) 7 TMX Merlin Report Template

10 7. Findings Against the Merlin Standard 1) Supply Chain Design 1a) Supply Chain Design The scope and variety of the supply chain was found to be of a very high standard with a good representation of public, private and third sector organisations forming the network used to deliver services. This use of a diverse range of delivery partners, including local partnerships and other Prime contractors, enables the commissioner s objectives to be addressed effectively. These wider social objectives are typically included in the Invitations To Tender (ITT) issued by the commissioner and form part of the considerations within the bid development process by Pluss and its partners. The inclusion of certain Supply Chain Partners has enabled Pluss to provide support for people with learning difficulties, mental and physical health issues amongst others. The organisations within the supply chain are able to deliver services to a targeted range of customer groups with varying needs. Supply Chain Partners were initially, and continue to be, selected based on geographical coverage, experience and track record, as well as for their specialisms. Element 2c carries more detail of the selection process itself. The starting point for the design of any new supply chain by Pluss is the question how will our customers/service users be best served and how will we address the strategic objectives of the contract? Alongside this sits the principle of Asset-Based Community Development. There is clear evidence that Pluss undertook effective research and consultation regarding local demographics and existing supply chains and delivery models, as well as employer and customer needs. In addition to an analysis of their own experiences in delivering a range of contracts, this research consisted of discussions with various Local Authorities, government departments, existing providers, Job Centre Plus, Local Enterprise Partnerships (LEPs) and other key players in the areas covered by the various contracts. We don t want to displace existing assets with our own, that s not what we re about and the commissioners these days are looking for localism and additionality. (Pluss Manager). Having used a consortium based approach to designing the BBO (Building Better Opportunities) partnership bids, we decided to adopt a similar approach for the DWP ESF bid we ve recently submitted and that seems to have worked really well so far. (Pluss Manager) Over the course of the contract bid development, there is evidence of an evolving supply chain and examples were provided of a small number of new Supply Chain Partners being brought in to reinforce and enrich the range of provision on offer, for example to provide additional support for people who are hard to reach, to support disabled people on Employment Support Allowance (ESA) and to provide specialist support for those individuals who are furthest from the jobs market. Pluss is also able to identify a number of organisations outside its own supply chain that are used to provide further support of a more specialist nature and this was confirmed in some of the discussions with Supply Chain Partners. Examples here include: Job Centre Plus, housing associations, borough and district councils and various NHS trusts and health sector support groups, including the Mental Health Vocational Network. 8 TMX Merlin Report Template

11 2) Commitment 2a) Collaboration, Cooperation and Communication The procurement processes for Supply Chain Partners within Pluss were found to be well structured, effective and transparent. Supply Chain Partners commented that they found the communications throughout the procurement process to be of high order and that there are good levels of transparency and trust. The communication processes included a number of presentations and meetings for all interested parties, together with s, face-to-face discussions with existing networks and individual organisations. We were kept up to date at all stages they even told us that they didn t know any more (Partner). Pluss was the only organisation who were in touch daily. They called many meetings and highlighted the financial risk. (Partner) I particularly liked the partnership approach. We actually turned down other opportunities because of how Pluss worked. (Partner). And they had a partnership ethos. I was always able to contact them - they made us feel important to Pluss. (Partner) Following procurement, communications have continued to be effective, with Supply Chain Partners citing the support and discussions with their Regional Business and other Managers, as well as ongoing s and networking events. There were several examples provided of where Pluss staff have worked with Supply Chain Partners on a one-to-one basis to help Supply Chain Partners understand contractual requirements, service deliverables and service related processes. We initially said the risk for us was too much and that was taken into account and listened to and changes have been made as a result. (Partner) We suggested a key worker way of working for the Big Lottery Bid based on our experiences and this was discussed positively. (Partner) Unsuccessful supply chain applicants are routinely ed with a description of the outcomes of the procurement process, together with a brief explanation of why they had been unsuccessful. They are offered the opportunity to receive more detailed feedback regarding their application should they wish. As described above, Pluss has certainly proved to the satisfaction of its Supply Chain Partners that they take a consultative approach to business and listen and act on what they hear through the range of feedback opportunities. Examples of feedback and consultation opportunities include Partner Meetings, webinars and the monthly performance and compliance reviews for the endto-end providers, though collaboration for the specialist partners tends to be less robust. All those Supply Chain Partners interviewed within this assessment were clear as to the business relationships underpinning supply chain arrangements now in place and there was no ambiguity evident. All specialist Supply Chain Partners operate under a formal Service Level Agreement, whilst end-to-end partners work to a more detailed formal contract. It is through these formal contracts and as a result of the pre-contract discussions that partners are clear as to the relationships that exist. In only one case was a specialist uncertain as to their relationship with Pluss, relating in preference to the Tier 2 partner from whom they take referrals. I think we all have a very good understanding of the various relationships that exist within the contract where we ve had any questions, Pluss have been quick to address them and get back to us. (Partner) We had very detailed contracts and the new agreements have even more information in them. (Partner) 9 TMX Merlin Report Template

12 With effective working relationships in place at both senior and operational levels, the cascade of information was cited by all Supply Chain Partners to be good in both directions, with many Supply Chain Partners commenting on the willingness of Pluss staff to listen and take things on board. All Supply Chain Partners questioned commented that they found the communications to be open and honest. Some commented on the improvements in communications over the last 12 months, citing the introduction of new staff and the development of various new processes as major contributory factors. The team is really approachable and the restructured management team is especially supportive and their management style encourages us to be innovative (Partner). 2b) Developing Supply Chain Partners Many Supply Chain Partners are already well established and at an advanced state of organisational development, requiring little in the way of further development by Pluss. There were some examples provided by both Pluss and the Supply Chain Partners of development activities that have helped to build capacity and to develop partners strategically. In one case, a Supply Chain Partner received hands on support in order to develop their own strategic business model and another was guided and supported in looking to increase its own capacity, with a view to becoming an end-to-end partner. They really supported us with the DWP spreadsheet which was asking for salaries, hours worked, etc and we really didn t understand what was being asked. **** was really helpful and we even had webinars it s really helped us to develop. (Partner) There is good evidence to show that additional funding streams have been brought to the attention of Supply Chain Partners, including for example the signposting of partners to the NOMS Development and Innovation Fund. Several Supply Chain Partners commented that they had been able to identify alternative bid opportunities as a result of advice and information from Pluss. There were some examples to show that some Supply Chain Partners have secured additional funding, for example by tapping in to the Skills Funding Agency provisions, though additional funding opportunities shared with partners tend to be those in which Pluss will have an involvement. We get to know from partner meetings that there may be other orgs delivering services that our clients could use and we do get updates on funding opportunities from Pluss. (SCP) In regards to developing the staff within the Supply Chain Partners, there are many examples of training being offered, in the main associated with systems and processes, but also including wider aspects such as data security, safeguarding and Equality and Diversity (E&D). The training offered thus far has been without cost to the Supply Chain Partners and has been delivered by Pluss own training staff in some cases and by online courses in others, for example Prevent training. Supply Chain Partners are also actively encouraged by their Pluss Manager to raise areas where they consider that their staff would benefit from training or development activity not already planned by Pluss. Pluss are very encouraging towards our staff development and I feel it is one of their strengths. (Partner). 10 TMX Merlin Report Template

13 2c) Contracting and Funding From a thorough review of the processes and discussions with Supply Chain Partners, the contracting processes were found to be highly effective, fair and equitable by all those interviewed and, as identified above, communications are good throughout the procurement and contracting process. The procurement process commences with preparation for procurement and includes the research and consultation efforts mentioned earlier, including discussions and consultation with intended/potential supply chain partners and in the provision of events and briefing sessions with potential partners. Applications to join a Pluss supply chain is by the submission of a formal Expression of Interest (EoI) and these are scored by Pluss staff against pre-determined criteria. For those selected to become part of the supply chain, applicants were put through a standard due-diligence process that included financial stability, Health and Safety and other policy and resource checks. Unsuccessful applicants receive an with brief details of why they had been unsuccessful and an invitation to seek further feedback should the applicant wish. The EOI was clear and when they then asked for additional information, it felt like they wanted us to provide our best information I felt it was a really supportive process. (Partner) Supply Chain Partners commented favourably on the fact that the communications had made the funding arrangements and payment structure clear from the very start. There were several examples of the funding/payment structures being varied to help mitigate any undue financial risks for Supply Chain Partners, e.g. by having a variable management fee and, by exception, making payments to a small number of Supply Chain Partners outside of the standard terms, where finances were seen to be tight. Due diligence also includes financial viability checks as a standard item where the Supply Chain Partner is an unknown entity. Pluss actually brought their fee down and I thought they were very fair and upfront. (Partner) Supply Chain Partners confirmed that Pluss has devised and distributed effective and robust contract and guidance documents that generally define the obligations of both Pluss and its Partners. End-to-end partners receive a robust contract, though the SLAs provided to specialist partners are less clear when describing the obligations/responsibilities of both parties (Schedules 1 and 2 of the SLA document). We received a huge file with all the DWP stuff in it as well as the contract. Although it was a lot of information, we knew where to look for all the important bits and so that wasn t a problem for us. (SCP) The starting point for allocating volumes to partners by Pluss is always to ask the partner to determine their own capability and capacity. This self-determining capacity is one of the principal factors in determining market for share for partners and sits alongside overall contract size, partner expertise and geographic reach. Areas of deprivation are also factored into the support offered to various communities, with strong efforts made to support existing schemes and leave legacy projects and this is also considered when allocating contracts. It was really clear. We negotiated between us. They re very much in favour of us deciding what was manageable. (Partner) 11 TMX Merlin Report Template

14 As already highlighted, there is evidence to show that proactive negotiations took place regarding volumes and expectations, with examples being provided where numbers have been adjusted under contract variations to better reflect demand and capacities/capabilities. We have had preliminary negotiations regarding volumes and funding and we re happy with the way it went and the outcome. We discussed initial budgets in the early days with other potential partners and it was all very open and transparent between us. (Partner) The payment by result model used to determine the payment structure directly mirrors that of DWP and the other Commissioners and all Supply Chain Partners are aware of this and its implications. That said, as the DWP determined that outcome payments should rise from 25% to 75% on the Work Choice programme, Pluss was able to lobby on behalf of its partners and was successful in agreeing a 50:50 split with DWP. With this change in payment model, Pluss was able to offer partners the choice of increasing the Payment By Result element from 25% to 50% in one hit, or to adopt a sliding scale with which to manage the transition. In reality, all but one partner decided to take the sudden hit. The transfer of funds throughout the supply chain is generally working effectively for the majority of Supply Chain Partners, though there were a number of incidents identified where payments had been delayed due to inaccurate or incomplete paperwork. Performance statistics show that 20% of claims are submitted by partners with errors (mainly minor), with only 5% being recorded on the Claims Management System (significant errors). Over the last 3 years, in only 3 cases have DWP returned claims from Pluss as inaccurate. The claims are generated as a result of the MI system. and our claims always paid on time. (Partner) The initial presentations and discussions around procurement, together with contracting arrangements have done an effective job and all Supply Chain Partners are aware of the level of their management fee and its purpose, citing the management information system, staff training, Pluss infrastructure, the development of systems and processes, communication tools and Pluss support generally. I understand that its gone up for year 6 but I feel we are clear that we are getting more for the fee including more information and support, systems etc. (Partner) The management fee is designed to be one of the lowest in the sector, as we believe in getting as much money to the front line services as we can do. (Pluss Manager) 12 TMX Merlin Report Template

15 3) Conduct 3a) Demonstrating Commercial and Business Integrity The working relationships between Pluss and its Supply Chain Partners across the range of supply chains are overall at a good level. There are particularly good relationships emerging with the recently appointed staff and feedback from Supply Chain Partners suggests that these relationships are fundamental to the effective working of the supply chain going forward. All Supply Chain Partners are clear that they share Pluss values and that this was one of the key drivers for them engaging with Pluss at the start. The willingness of Pluss to be flexible, supportive and to be influenced by Supply Chain Partner comments, demonstrates to the Supply Chain Partners that the core principles are being carried in day-to-day practices and behaviours. There would always start a meeting with who are Pluss and their values. The first meeting of potential partners was with a lot of people after the presentation and discussions with Pluss, a lot of organisations didn t come back to the next meeting I think that s because they didn t feel they were the right fit and that says to me that there was a mismatch of values. (Supply Chain Partners). With significant experience under their belt and the support of internal HR experts, Pluss demonstrated an excellent understanding of the TUPE processes and requirements and the transfer of staff between organisations were effectively managed. Workshops, regular meetings and discussions and frequent s all helped TUPE d staff to make the transition and allay any concerns they might otherwise have had, with Pluss central contact playing a key role in ensuring robustness and consistency. In one case, a partner contested that TUPE applied however, Pluss continued to apply the basic TUPE principles in order to transition staff in the most effective and people centered fashion. When I was TUPE d from **** Pluss handled it really well, with lots of communication and I found their support to be really beneficial. (Partner). The relationships and interactions between Pluss and its SCPs are wholly positive and, in particular, Supply Chain Partners are responding well to the efforts of the Regional Business and other Managers. These Pluss staff have contact with their Supply Chain Partners on a monthly basis and there are operational discussions and exchanges held at frequent intervals. Supply Chain Partners equally commented on the highly positive and effective relationships they hold with the Organisation, from senior management levels within Pluss to front-line operational staff. The feedback is very supportive, like we are working together its not them and us. It s a really supportive relationship we re working together to deliver outcomes it s moved on a lot in the last 3 years. I know if I ve got an issue I d be able to raise it it s not like I would have any concerns raising performance issues or anything else with them. (Partner) Changes in legislation and statutory requirements are notified effectively and reinforced within the monthly partner meetings and ongoing discussions with Pluss, whilst s also play a large part in helping Supply Chain Partners to keep up to date with latest legislative and regulatory requirements. The effective relationships and open dialogue provide for a good degree of understanding amongst Supply Chain Partners regarding interpretation and implications of funding, regulatory and legislative changes. Pluss don t assume that because we re a council that we have everything in place they update us and make sure we ve got all the necessary policies/legislation. (Partner). 13 TMX Merlin Report Template

16 3b) Quality Assurance and Compliance From discussion with Pluss staff and Supply Chain Partners, Quality Assurance (QA) processes and practices are considered to be good at this time, driven as they are by the Organisation s Quality Policy. Quality assurance is first established at the checks done within the procurement and due diligence stage and by the use of well qualified and experienced partners. Alongside this, the Organisation has developed a QA matrix with which to track/monitor various aspects of quality for both the partner organisation and the individual advisors, including the results of session observations and throughout these methodologies, the Supply Chain Partner has the opportunity to provide additional material for consideration and to suggest opportunities to improve performance where appropriate. Quarterly quality audits by the Pluss Supply Chain Managers play a part in determining the quality of provision, though this appears to be more around compliance and performance than genuine quality assurance thus far. They did introduce a feedback form, but now we do our own as it works better with our client group. QA of this contract (Work Choice) is full-on. (Partners) Supply Chain Partners commented that they have found the quarterly partnership meetings useful for discussing quality issues, which have then been picked up in the discussions with their Pluss Manager. The result of the QA activities has been to see a steady improvement in the delivery of services. Smarter target setting, for example and more information is now included in the initial assessment on clients. For instance, they don t just put the client has autism, they also add what this might mean to their prospects of employment what working environment might be beneficial (and not). (Staff). As a result of the quality audits and ongoing support, we were able to improve the quality of our SMART targets, leading to us actually exceeding Pluss KPIs for compliance, when initially we were underperforming in this area. (Partner) Through its supply chain design and with well established Supply Chain Partners, many of whom having a long history in the field of Information, Advice and Guidance (IAG), Pluss is able to demonstrate that access to good quality provision is made available and promoted to customers. Some good examples of high standards where partners have matrix and highly qualified IAG practitioners. The observations referred to above also include IAG sessions and the use of EoIs highlights each partners approach to delivering information, advice and guidance. Equally, there is good evidence to demonstrate that good IAG is being provided to the partners themselves by Pluss, though Pluss is not matrix accredited themselves. Through the various communication channels, networking approaches and one-to-one dialogue, all Supply Chain Partners are aware of the IAG available in their geographic areas. Data security within Pluss is closely reviewed during the due diligence process at the outset and through physical visits and penetration tests by an in house subject matter expert and external agencies. The performance reviews undertaken by the Pluss Contract Managers provide ongoing opportunities to ensure compliance with data and asset security and laptops and s are all encrypted, whilst permissions levels ensure that data is ring fenced and only accessible by appropriate persons. With all types of partner, including Tier 4s, required to complete an EoI and supply a suite of policies, Health and Safety (H&S) policies are equally assessed at the initial stages as part of the procurement process and again reviewed as part of the monthly performance discussions between the Supply Chain Partners and their Pluss Contract Managers and other Pluss staff. 14 TMX Merlin Report Template

17 H&S audits of Pluss sites are performed annually, though the approach for partners is less comprehensive. That said, some clients have been supported with accompanied visits to ensure their premises are safe / secure. In the event of any shortfall, or corrective action being required, an action plan is drawn up by the Supply Chain Partner and agreed with their Pluss Manager, The monitoring of Tier 4s in relation to Health and Safety however, was found to be inconsistent across the supply chain. A similar situation exists for safeguarding, with initial checks on policies in place through the procurement processes and ongoing monitoring of Supply Chain Partners for effective practices during the reviews and analysis by Pluss staff. With safeguarding having a high profile, many Supply Chain Partners have developed their own approach and policies, including the appointment of their own Designated Safeguarding Officer, and many have undergone specific training provided by Pluss in this regard, including that related to the Prevent Agenda. This issue is very much at the forefront in our sector and we take nothing for granted. Pluss are always keen to reinforce this, through the review meetings and during training sessions and good practice sessions. (Partner). There are policies in place throughout the supply chain related to Environmental Sustainability (ES) and this forms part of the selection criteria for all supply chain applicants. Pluss itself is subject to DWP audits on a regular basis and these factor in their approach to environmental sustainability. Whilst Pluss has made some strides forward in starting to understand its own approach and impact towards Environmental Sustainability, for example in reducing business miles and increasing the levels of recycling, there are currently no targets defined for Supply Chain Partners specifically related to Environmental Sustainability issues, beyond those that the Supply Chain Partner organisations may have in place of their own volition. Throughout this assessment, there are various examples of good practice being shared and demonstrated, e.g. the introduction of internal compliance meetings for partners, resulting in 100% compliance however, Pluss at this time has not set out to define what the term actually means and consequently has not communicated with the supply chain in this respect. This leaves supply chain partners identifying what they believe to be good practice and sharing the same through the various formal and informal networking opportunities, such as the quarterly Supply Chain Partner meetings, though this tends to be restricted to Pluss tier 2s. Despite this lack of definition, comments made by Supply Chain Partners were positive when describing Pluss approach to identifying and sharing good/excellent practice, with several citing improvements they have made to their own approaches and processes as a result of hearing what other Supply Chain Partners have done. We have a dedicated in-work support adviser and this has supported our 100% sustained employment target it s been shared with the other partners and I think they will be adopting the same way of working. (Partner) 3c) Honouring Commitments Pluss has managed Supply Chain Partner expectations well with effective and improving communications throughout the procurement phase and during live running. Expectations have been clearly defined from the outset and communicated in both written format through the contracts and variations and verbally through discussions, for example at the bid and supply chain design phase. Within this assessment, Supply Chain Partners confirmed their understanding of these expectations and that post-contract arrangements reflect pre-contract agreements. 15 TMX Merlin Report Template

18 Examples were provided of Supply Chain Partners having contracts extended, for example for Work Choice Year 6, and in each case these changes were confirmed through a variation to agreement (contract). Supply Chain Partners also commented on the supportive and positive approach taken by Pluss staff in managing this shift and were complimentary when describing the changes made to the fee structure described earlier in this report. In discussing the complaints/disputes procedure within the Pluss supply chain, Partners were generally aware of the dispute resolution processes and how to access these through their Pluss Managers, or senior manager within Pluss where this relationship exists should the need arise. Again, all Supply Chain Partners interviewed indicated a high level of satisfaction with regards to concerns being quickly addressed and in a positive manner. The lack of formal complaints is due largely to the positive relationships existing between Pluss and its Supply Chain Partners. Any concerns are addressed as they occur, drawing in senior Pluss staff as appropriate, where the issue determined that it be escalated to a more senior level, though these are few and far between. Pluss senior staff also indicated that the Organisation would abide by any decision made by the Merlin Mediation Service (MMS), though this service was relatively unknown to the Supply Chain Partners, due in the main to the fact that it has not been required to this point in time by any Supply Chain Partner, this despite the Supply Chain Handbook carrying references to both dispute resolution and the Merlin Mediation Service. Whilst no cases exist, all those Supply Chain Partners interviewed in this regard commented that they felt Pluss would abide by any findings of an external adjudicator, but that in their experience, they felt Pluss would work to resolve any issues before this became necessary, as this was part of their values set. As identified earlier in this report, expectations regarding processes, practices, performance and standards have been built into contracts and service guidelines, e.g. the Supply Chain Handbook. These expectations continue to drive the monthly performance reviews with individual partners, though performance expectations are not shared across the supply chain at this time. In some cases, Tier 3 and 4 partners are aware of each other, though this is not consistent. We got to know about other partners through the s circulated and you can see why some of them are involved in delivery, as they have a good local reputation. (SCP). 3d) Performance It is clear that the recent approach to supply chain design has encouraged and enabled partners to work collaboratively, e.g. in the origination of the Big Lottery and recent DWP bids, leading to a sense of us when partners were describing arrangements and efforts. The regular and phone contacts, monthly review discussions and attendance at Supply Chain Partner meetings also evidence Pluss approach to creating opportunities for collaboration within its supply chains. They were very keen to understand our detailed plans. They were unique amongst the other potential primes that we had contact with, as they wanted to know how we would get the job outcomes. (Partner) An area for development could be the further encouragement by Pluss for Supply Chain Partners at all levels to collaborate, for example in joint funding bids and in the sharing of resources, as this could also reinforce this supportive approach to supply chain development and position the Organisation as a catalyst for change and improvement in the eyes of the supply chain. 16 TMX Merlin Report Template

19 Pluss has demonstrated effective performance management processes and practices, primarily through the monthly monitoring reviews with Regional Business Managers and during the Supply Chain Partner meetings. These discussions are underpinned by the Supply Chain Handbook document, the contracts/slas and the Management Information (MI) system that provides the raw data. Opportunities exist for Supply Chain Partners to raise issues and discuss concerns at the various meetings and these are shared across the operational teams and with specialists within Pluss in order to resolve them effectively; the example of providing in-work support is a good example of how the supply chain is working to improve performance. Innovation is typically more implied and encouraged by Pluss, rather being overtly driven, though innovative ideas and lessons learned are noted and shared across the network through s and ongoing discussions. The clarification of just what innovation is within the contracts offered however, could well help Pluss to raise Supply Chain Partners perceptions and understanding, leading to greater dialogue in this regard. Any under-performance identified within a Supply Chain Partner results in targeted discussions as to how this will be addressed and this drives any subsequent reviews, until such time as the shortfall is remedied. One good example was provided of a Supply Chain Partner falling short of performance targets and then working alongside Pluss staff to identify the causes of the poor performance and introducing measures to remedy. The result was to see the Supply Chain Partner significantly improve their performance, to the point where they now consistently exceed performance expectations. We were asked to produce an improvement plan and they have been very open with us. I definitely see it as supporting us and it gives us a chance to improve. (Partner) Through good communication, effective contracting and consistent and robust monitoring and reporting, supply chain partners confirmed that they are very clear as to their performance expectations and that the review processes and meetings infrastructure as described throughout this report, provide for effective analysis of such performance. The questions in the EoI took us a long time to work out what they were looking for, but they (Pluss) were very patient and supportive and the questions made us sure how we would find jobs I think we really benefited from that. (Partner) The management information facilities are now becoming established and have developed over time with input from the supply chain itself and now have the capability to store, analyse and report information in a comprehensive, robust and consistent fashion. Supply Chain Partners commented that, once they had developed their understanding of it, it had allowed for accurate data to be maintained and reported upon by Pluss. The only negative comment to come from the supply chain really was centred on the use of DigiPens., an electronic device to capture handwritten notes and convert them in to word processed documents. The popular sense is that the technology struggles to understand some handwriting, leading to multiple manual corrections being required, though Pluss are working hard to resolve the issues raised by the Supply Chain Partners. Pluss has built the concept of Value For Money (VFM) into all aspects of their negotiations and contracting processes and senior Pluss staff are very clear on how the design of the supply chain is conducive to VFM for the Supply Chain Partners. With Pluss developing services in consultation with partners and having strong moral values, providing VFM and safeguarding the financial integrity of partners are seen as critical success factors by the management team. 17 TMX Merlin Report Template

20 Those Supply Chain Partners questioned indicated that VFM is an implied aspect of service design and delivery and were able to describe what this meant to them as a partner. We decided to close down some of our offices that weren t being productive and that s helped build value for money for us. (Partner). I think we are all adding value to the basic services, that s why we ve been brought in and I think we feel the fees we receive are fair. (Partner). A number of SCPs however did comment that they are unsure as to what represents value for money in the eyes of Pluss (they tend to use their own definitions) and it may be worth considering the preparation of a statement or statements, that defines VFM for the various stakeholders. Simply providing Supply Chain Partners with basic questions they can use to determine if a particular contract provides VFM for them and their service users can often clarify thinking and create greater consistency across the supply chain. This could also be factored in to the organisational values for Pluss, thereby demonstrating application in a day to day context. In looking to measure and encourage demonstrable outcomes and performance improvements, for the various contracts, the main criterion tends to be the detailed assessments and reports and the detailed individual plans for clients that are then used to monitor progress. A number of partners commented on their use of the Customer Management System to produce reports from which they can determine overall progress and distance travelled, for example in the number of qualifications attained by clients. There is also evidence to demonstrate that some partners themselves have improved their organisational performance, for example in improved outcomes as a result of Pluss support, leading to improved RAG ratings, whilst others described improvements in quality as a result of their own internal monitoring and improvement activities. 3e) Promoting Diversity and Equality Diversity and Equality (D&E) is seen as a key issue for all customers and stakeholders aligned to Pluss. All those within the supply chain are required to have and maintain a D&E policy that at least matches that of Pluss and compliance with this requirement is confirmed during the procurement process as part of due diligence checks performed. Thereafter, Supply Chain Partner discussions, communications, webinars and training sessions have helped to define expectations all round and partners were clear that Pluss ethos clearly supports this aspect. You only have to see what Pluss are achieving to know that equality and diversity are a large part of who they are. I think we all support their views on this and that is what makes this such a strong network of partners. (Partner) In designing the supply chains, Pluss were able to contract with Supply Chain Partners that share its own beliefs and values, including those related to diversity and equality. All Supply Chain Partners indicated that they feel Pluss approach to due diligence checks makes sure all policies (including D&E) are fit for purpose and the large stakeholders of Pluss all themselves have very clear guidelines and requirements in this respect and all Supply Chain Partners are clear as to expectations. The CRM MI system used across the contracts is designed to capture diversity and equality data and this has enabled Pluss to capture effective data on take up of provision. Supply Chain Partners however, reported that for some of those interviewed, whilst they had provided data as required, they had yet to receive any comparative data of how they themselves measured up in comparison to local demographics and that they had relied on their own processes and analysis. 18 TMX Merlin Report Template