Appendix 2 LGO Business Plan 2012/13 final Commission Report (April 2013)

Transcription

1 Appendix 2 LGO Business Plan 2012/13 final Commission Report (April 2013) This report summarises the progress and status of all activities in the LGO Business Plan 1. Provide a complaints handling service direct to the public which is accessible, responsive, consistent and cost-effective. Activity Transformation Plan Initiatives 1.1 Introduce a fit for purpose Intake Unit by 1 April 2013, to: manage all incoming complaints, from all channels; screen out those complaints which are clearly premature or outside our jurisdiction manage expectations of complainants effectively Ref Group Guidance and instruction to staff completed Mar 13 Staff trained, prepared and ready to be operational 29 Mar 13 Go-Live with Intake Unit 1 Apr 13 None New Intake Unit operational. Will be managed as business as usual from 1 April 13 Risks will be held on the Operational Risk Register. New service model works effectively and efficiently and meets the needs of complainants 1.2 Introduce a fit for purpose Assessment Unit by 1 April 2013, to assess all incoming complaints received from the Intake Unit and make a timely decision on complaints; whether to screen out and deal with complaints that we do not intend to (or cannot) pursue or pass them on for investigation New service model works effectively and efficiently and meets the needs of complainants Paul Conroy Ref Group Guidance and instruction to staff completed Mar 13 Staff trained, prepared and ready to be operational 29 Mar 13 Go-Live with Assessment Unit 1 Apr 13 None New Assessment Unit operational. Will be managed as business as usual from 1 April 13 Risks will be held on the Operational Risk Register. We have strengthened our joint working arrangements with PHSO; For example,in response to a PHSO request, we have made changes to the management of joint complaints. This means that complainants, whose complaint spans both health and social care, no longer have to go through two separate complaints procedures e.g the local NHS complaints procedure and the Councils complaints procedure. New service model enables effective joint working with PHSO LGO Business Plan Commission Report April 2013 v final page 1

2 1.3 Introduce a fit for purpose Investigation Unit by 1 April 2013, to manage all incoming complaints received from the Assessment Unit to completion in line with the businesses standards and targets set for the year Karen Sykes Sharon Chappell Richard Shaw Guidance and instruction to staff completed Mar 13 Staff trained, prepared and ready to be operational 29 Mar 13 Go-Live with Investigation Unit 1 Apr 13 None New Invetigation Unit operational. Will be managed as business as usual from 1 April 13 Risks will be held on the Operational Risk Register. We have strengthened our joint working arrangements with PHSO. See note in 1.2 on joint working. New service model works effectively and efficiently and meets the needs of complainants New service model enables effective joint working with PHSO Flow through Initiatives 1.4 Complete the review of our printed/electronic information available at each stage of the complainant s journey Sept 12. Transferred to Section 5 Business As Usual Initiatives 1.5 Effectively manage all complaints and enquiries coming to LGO in line with our published service standards. All service standards, both internal and external, are actively monitored, managed and achieved. Richard Shaw Quarterly review with AOs completed - June 12, Sept 12, Dec 12 Quarterly performance review of estimates June 12, Sept 12, Dec 12 and Mar 13. To make at least 10,000 decisions - by Mar 2013 (see ** note) At 28 February 10,032 decisions (12 months rolling), We are strongly in line to achieve our expected number of decisions this year. There has been a significant reduction in cases held over 52 week in the last two months to year end. The number of cases held over 52 weeks at year end was 89. LGO Business Plan Commission Report April 2013 v final page 2

3 1.6 Manage effectively the expected changes to our jurisdiction: Internal Management of Schools (IMS) Sharon Chappell Last decision issued in Jan 13. No work transferred to the DfE All IMS cases closed. IMS funding ceased - 31 Jan 13 None Closure of the IMS service Paul Conroy Transitional arrangements are effective, staff are well informed and we maintain a constructive relationship with other bodies Housing Transfer of certain housing complaints to the Housing Ombudsman Transitional arrangements are effective, staff are well informed and we maintain a constructive relationship with other bodies involved (Housing Ombudsman) David Connolly DCLG decision on budget confirmed on 12 th Dec. Staff informed of outcome Dec 12 Responded to HOS consultation on its new scheme Dec 12 Guidance produced on signposting/referral arrangements end Mar 13 Link officer seminars held - Jan/Feb LGO Link message sent to local authorities - 28 Mar 13 Activity continued in the Business Plan No urgent need for a MOU during 2012/13 to be developed during 2013/14 Contact details exchanged with HOS to enable prompt discussion on jurisdictional queries or possible joint investigations. Casework Forum has not yet met so has not received report on the jurisdictional split Joint LGO/HOS article sent to Adviser for Mar 13 publication Shared message posted on both LGO and HOS websites - Mar 13. Wording of Intake, Assessment and Investigation manuals reviewed and updated where necessary Mar 13. Internal comms to staff on LuCY - 28 Mar 13 Social Fund Changes to Social Fund Watching brief in place for monitoring developments and potential impacts Activity continued in the Business Plan Paul Conroy Transitional arrangements are effective, staff are well informed and we maintain a constructive relationship with other bodies LGO Business Plan Commission Report April 2013 v final page 3

4 2. Ensure sound decisions and appropriate redress based on impartial, rigorous and proportionate investigations Activity Transformation Plan Initiatives 2.1 Ensure that our new complaint management system is fit for purpose in the light of the new business model. The new system is shown to effectively support the new Intake, Assessment and Investigation functions and the products we require to support and promote the business (e.g. performance and public value information) The new ECHO system enables effective joint working with PHSO Ricky Duveen Business Acceptance sign off 28 Feb 2013 Staff Training 27 Mar 2013 New ECHO system operational 2 April 2013 None An ECHO User Group will be established in April - May 2013 The new ECHO system went live on 2nd April. No significant issues reported. Following go-live CAS provided two days on site support in the Coventry office to ensure live running went smoothly. Any minor bugs in the Release will be identified and fixed under warranty. We expect to formally sign off the new system during w/c 15 th April, following an operational review. Sign off on behalf of the business will be by MK (User), NE (Sponsor) and RKD (Project Manager). The business sign off will include a list of 23 outstanding fixes. These are items which are in the Requirements but were agreed to be excluded from the Release. CAS will deliver these to an agreed timetable. A final acceptance meeting is being scheduled with CAS in late April. This will trigger the final payment to IPL/CAS and establish the delivery date for the outstanding work. Flow Through Initiatives 2.2 Develop a quality framework to apply effectively to the new business model. Quality Framework agreed and disseminated prior to the establishment of the new Business Model David Connolly Anne Flegg Quality Group established and operational Jan 13 Good Practice Seminars and training to staff delivered in line with the Quality Framework March 13 New Quality Framework ready to be implemented by the new Service 31 Mar 13 Activity continued in the Business Plan LGO Business Plan Commission Report April 2013 v final page 4

5 3. Use our knowledge of complaints to identify best practice and issues of wider public benefit, promote good public administration and service improvement, and influence public policy. Activity Flow Through Initiatives 3.1 Develop and finalise the Public Value Strategy, to guide and inform the work of the new Policy Communications team and the wider organisation. Public Value Strategy agreed and disseminated prior to the establishment of the new Business Model Tim Miller None - see notes Activity in the Business Plan Jan 13 - Activity transferred to the Business Plan Transferred. 3.2 Improve the quality, clarity and consistency of our statements in order that we can begin to publish our decisions. Sept 12. Transferred to Section 5 Business As Usual Initiatives 3.3 As part of the Public Value strategy produce a series of themed publications, drawing on learning arising from casework, to highlight topical issues of public interest and increase awareness of injustice New publications highlight relevant issues, generate positive media coverage and stakeholder feedback Tim Miller Planned series of publications published - 31 Mar 13 Activity continued in the Business Plan Publications included; ASC: LGO, The single point of contact for complaints Report published 31 July 12 Taking Possession: Council use of Bailiffs for local debt collection Report published 28 Nov 12 The IMS focus report was used as part of a policy programme. 3.4 As part of the Public Value strategy deliver a national programme of training and learning to bodies in jurisdiction Our national training and learning programme meets the needs of bodies in jurisdiction, evidenced through learning evaluation Deliver the training programme as cost neutral to the organisation Tom Grimes Reviews completed and training programme completed 31 Mar courses delivered (against target of 55) Training effectiveness monitored and evaluated to 31 Mar 13 Training based on a cost neutral objective and model Activity continued in the Business Plan New Training Coordinator to be appointed Deliver the agreed number of courses to be delivered during the year LGO Business Plan Commission Report April 2013 v final page 5

6 4. Ensure proper stewardship of public funds through the proper use of resources and effective public accountability Activity Transformation Plan Initiatives 4.1 Implement the Transformation Plan to achieve the required staffing levels needed by the new organisation Our resourcing plan supports the business restructuring process, delivers the savings required in the Transformation Plan and successfully supports the new business model units. Maureen Kelly All operational units fully staffed end March 13 Phase 1 recruitment programme completed March 13 Redundancy process for completed - 31 Mar 13 Activity continued in the Business Plan The Phase 2 recruitment programme will continue during This will fill the remaining posts in the Corporate Services and Policy Communications Teams. We are ahead of target to achieve the savings, associated with staff reductions which we will deliver through the Transformation Plan. All new units have staff selected and in position when each Unit goes live. 4.2 Provide training, induction and guidance for staff moving into the new organisation, ensuring that new business practices and culture are fully embedded. David Pollard Training programme delivered to staff by 31 Mar 13 Further on demand training to be picked up in None Gill Wilson Clear and effective arrangements agreed by Dec 2012 for implementation during Jan to March Introduce and deliver a fit for purpose Corporate Services (Business Support) team to support the new Business Model in line with the Transformation Plan. Heather Lees Phase 1 completed by 31 Mar 13 Activity continued in the Business Plan The recruitment programme for Corporate Services is in two phases and covers and The remaining posts in the new unit will be filled in early New Business Support team works effectively and efficiently and meets the needs of the new Business Model and users LGO Business Plan Commission Report April 2013 v final page 6

7 4.4 Manage the Commission s accommodation in line with the requirements of the Transformation Plan. Our accommodation Strategy and plan delivers the savings required in the Transformation Plan and successfully supports the new business model. Heather Lees Matt Holden Accommodation proposals drafted by end May 2012 Decision on extension to lease for Coventry office - Dec 2012 Notify Landlord of intent to leave MBT end Dec 2012 Complete refurbishment of Cov Office by end March 2013 Final confirmation of new London accommodation site - Mar 13 All deliverables in the Accommodation Plan required during were completed. Some snagging activity in the Coventry office was completed during the first week of April. The new London accommodation site (Eland House) was agreed in Dec 12. DCLG then raised the option of Marsham Street due to issues with its own occupancy of Eland House. We have received firm indications from DCLG that Marsham Street will be the location but await formal confirmation of the decision. Initiative 4.2 in the Business Plan covers the planning and execution of the London move. Amber. To date we have not received formal confirmation from DCLG of the move to Marsham Street. This prevents any detailed planning work for the move and any firm discussion with the MBT landlord. We continue to press the DCLG Property team for a response. Flow through Initiatives 4.5 Monitor the effectiveness of the agreed performance appraisal scheme. year end, all staff are working to the new performance appraisal scheme that properly reflects LGO s strategic priorities. Performance of staff has improved over the reporting period. Heather Lees Maureen Kelly First awards under Exceptional Contribution Scheme - by Mar 13 Mid Year reviews completed for all staff Oct 12 Complete end of year appraisals. Monitor effectiveness on an organisation wide basis Team Managers have been responsible for reviewing and amending performance targets during this period. The monitoring aspect of this activity was impacted due to the pressure of other activity and the high level of restructuring of teams during the year. Performance targets and objectives have been reviewed and amended by team managers. An organisation wide review will be completed. Amber. This activity cannot be fully evidenced until the year end appraisals have been completed. Business As Usual Initiatives 4.6 Ensure that we efficiently meet our ongoing statutory and contractual responsibilities Heather Lees See below See below This activity will be included in the new Business Plan Produce the Annual Accounts July 2012 Ian Threadgold Annual Accounts produced July 2012 Activity in the Business Plan The Annual Accounts produced are accurate, clear and timely LGO Business Plan Commission Report April 2013 v final page 7

8 Produce the Annual Report July 2012 Jackie Feeney Annual Report produced July 2012 Activity in the Business Plan. Annual Report laid before Parliament on 11 July. 4.7 Review management data, collection and presentation We have identified a set of management data and information which accurately reflects and serves the needs of the business, both internally and externally. The improvements identified will enable us to manage the organisation more effectively and efficiently in future. Paul Conroy Review of management data undertaken and example reports of revised management data produced for Commission Dec 12 Finalise new presentation of data and agree new management information metrics end Mar 13 Finalise agreed reports in ECHO April 13 Review and development of management data covered in the Business Plan This activity is linked to our current Strategic Risk Assessment and the recent internal audit report. The writing and production of reports from the new ECHO system in time for go-live in April is being addressed and finalised in April 13. The Executive Team have agreed the minimum data set required for reporting PIs after April The presentation of the PIs will be refined over time and this initiative will be included in the Business Plan. LGO Business Plan Commission Report April 2013 v final page 8

9 5. Activity resulting from the Parliamentary Select Committee recommendations (at September 2012). Activity Transformation Plan Initiatives 5.1 Undertake an independent Staff Survey Survey and Report presented to all Staff by 5 th Nov 12 Activity in the Business Plan Ref 17 in the Select Committee report. Donna Campbell Survey completed and results made available to Staff TDP 5.2 Develop and publish a clear methodology for measuring customer satisfaction over a longer time-scale to give longitudinal data Tim Miller Executive Team Chair approve methodology and approach March 13 Publish customer satisfaction methodology by end March 2013 Activity continued in the Business Plan Ref 19 in the Select Committee Report The methodology was approved and published in March 13. The methodology was produced by looking at other Ombudsmen schemes. We have an approved and robust methodology, based on the requirement, which is ready to use and fit for purpose. A researcher from the University of Birmingham carried out some benchmarking research (at no cost to LGO). 5.3 Monitor all cases held over 40 weeks on a regular basis Implement an operational procedure to ensure all cases held over 40 weeks that have not gone to PV are monitored and managed. AOs Set up monitoring and specific PIs for this measurement by end Sept 2012 Conduct monthly reviews of cases held for +> 40 weeks - monthly None Ref 21 in the Select Committee Report Monitoring activity for 40+ week cases is being carried out by the Assistant Ombudsmen. Monitoring activity for 52+ week cases is being carried out by the Executive Director Investigation, and overseen by the Casework Policy Forum. There has been a recent reduction in the number of cases held over 52 weeks, with a year end total of 89 cases. LGO Business Plan Commission Report April 2013 v final page 9

10 5.4 Review operational timescales for Investigation process and invite an external peer reviewer from another Ombudsman Scheme to assess and advise on our targets review with outcomes integrated into our Quality Framework for the new Business Model. Chair Establish TOR and resource for the Review end Dec 2012 Conduct the review by end Feb 2013 Review report completed end March 2013 None Ref 22 in the Select Committee Report A two phased approach was implemented for this initiative. An initial review was undertaken to enable an assessment to be made of how well we compared with a range of Ombudsman schemes. If the outcome suggested significant issues were evident in how our operational timescales compared for the Investigative process, then a second and more comprehensive review was planned. The review was completed in March It showed that generally we compared well with comparable schemes. The review was based on the respective ombudsmen s own published key performance information. Given the assurances gained from the review no further action is planned. 5.5 Conduct an external review and publish a review report to provide assurance that LGO decision making is independent, fair, effective, open and accountable. An external review is completed and a report produced. Recommendations and an action plan to be provided as necessary. Chair Nigel Karney Establish TOR and resource for the Review end Dec 2012 Commission external review resource end Dec 2012 Undertake Review Jan / Feb 2013 Draft report produced 25 Mar 2013 Commission to review the Review Report 23 April 2013 Publish Report April 2013 Ref 32 in the Select Committee Report A first draft of the report was delivered on 25 March. A further draft is expected shortly after Easter. The final report will be presented to the Commission on 23 April and can be published in April in accordance with the plan. 5.6 Establish a Stakeholder Advisory Group to help inform the delivery of the Service. Stakeholder Advisory Group established and are fully aware of our service delivery model Tim Miller No activity in Activity in the Business Plan. Ref 20 in the Select Committee Report This initiative will be delivered in the Business Plan. Transferred LGO Business Plan Commission Report April 2013 v final page 10

11 5.7 Plan to make Ombudsman s Decisions to be published on the LGO website from April 2013 [Ref 3.2: Improve the quality, clarity and consistency of our statements in order that we can begin to publish our decisions] We demonstrably improve the quality of our statements (via LGO quality review). Tim Miller LGO Quality Review - 28 Feb 13 Communications with LAs / BinJ completed - Mar 13 Staff guidance and instruction for scheme provided Mar 13 SOR Scheme goes live 2 Apr 13 Publish our Decision Statements - QTR /14 Activity continued in the Business Plan Ref 28 in the Select Committee Report The SOR scheme went live on 2 nd April Online functionality delivered by CAS,Weblabs and Cintra. Four quality reviews conducted by LGO / Senior Management, and several quality reviews conducted with Operational teams. Stakeholders notified. The SOR scheme was included in the Local Authority seminars held (in seven cities) during Jan 13. No issues reported. Stakeholders are aware of the SOR changes introduced to the service We have the ability to publish our statements to the internet, which achieves a higher level of transparency and accountability for the service 5.8 Review all our public information in time for the implementation of the new Business Model. [Ref: 1.4 Complete the review of our printed/electronic information available at each stage of the complainant s journey ; ensure these are reflected throughout the whole organisation and promoted externally. Tim Miller AO Conduct Technical review of material end Feb 13 Conduct consistency, look feel review of material by mid Mar 13 Core public information reflects the new service and business model by end Mar 2013 A post go-live review to be conducted of our external service information. A full review of our public communications is in the Business Plan. Ref 27 in the Select Committee Report The new Assessment code is publicly available on the website. The operational manuals for the three new units are on the web site. Service leaflets are under review. Guidance on changes to the Housing legislation has been updated. The full range of factsheets (x60) have been reviewed and updated. Greater clarity about the case handling process Criteria for allocation for investigation publicly available We will continue to review our publicly available information to ensure all related material is aligned and consistent. LGO Business Plan Commission Report April 2013 v final page 11

12 5.9 Conduct an internal review of evidence handling and put in place revised arrangements when we introduce the new Business Model. Complainants have clear understanding and information regards our evidence handling. Specifically we will; Paul Conroy Richard Shaw Anne Flegg Arrangements built into the development of the new operating guidance Nov 12 Operating guidance refined in the light of the pilot experience and further work on procedures Jan 13 and continuing New guidance rolled out with training in all offices Feb 13 Guidance published on the LGO website Mar 13 Further work to fully embed the revised arrangement will be implemented in April 2013 onwards Links to a detailed review of policy on disclosure of information is included in the 2013/14 Business Plan Ref 29 in the Select Committee Report The broad remit is to examine the new Business Designs and the procedures which apply in cases of serious service failure by the BinJ. Provide complainants, who request it, with copies of evidence from their case Provide a PV on investigated cases prior to making a final decision LGO Business Plan Commission Report April 2013 v final page 12