Contents

About P&P

Background

Option 2- intention and implementation

Research purpose

Scope

Research questions

Methodology

Criteria

Timing

Budget

Consultant experience, skills and knowledge

Support from P&P

Project oversight

Deadline for proposals

What your proposal should contain

References

ANNEX A- National Outcomes for SDS

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Workstream: 2014 research project

Document: Research brief and proposal criteria

Version : 2 (DF)

About P&P

P&P is a four year fully SG funded programme of policy and practice change working towards the following outcomes:

  • Providers have the systems, skills and information needed to deliver more personalised services: this leads to increased choice and control for people receiving care and support.
  • Providers have a stronger voice in Self-Directed Support policy development and implementation. Policy is more effective where it is closely linked to practice and implementation is improved where policy is brought closer to the frontline.

This research project is intended to contribute to both of these outcomes by focussing on how local authority implementation of Self-directed Support (and in particular Option 2) affects the ability of voluntary sector providers to provide Self-directed Support. More information on our work is available at

Background

In 2010 the Scottish Government published Self-directed Support: A National Strategy for Scotland (2010) setting out a 10 year vision and plan for increasing people’s choice and control over the support they receive. The strategy defines Self-directed Support as: “Supported people, families and carers having an informed choice about the way support is provided [to them]”

The strategy describes a number of ways in which choice can be exercised including choice of support provider; choice and control over an individual’s funding for care and support and choice about achieving aspirations and personal goals and commits to bringing this into statute if required.

The Social Care (Self-directed Support) (Scotland) Act 2013, which came in to force on 1st of April 2014, places a range of new duties on local authorities, while retaining their responsibilities under the Social Work (Scotland) Act 1968 (and the Children (Scotland) Act 1995) for assessment, assistance and the provision of services to those deemed as ‘in need’ in their area.

Commencement is staged, with the new duties applying immediately to people entering the social work system for the first time. People already in the system will not be offered the four options until their care package is reviewed.

Section 4 of the Act describes the 4 options that must be offered to an individual who has been assessed as being ‘in need’ in the local authority’s area.

Option 1 The making of a direct payment by the local authority to the supported person for the provision of support. This option has been in statute since 1996[1] but uptake has been fairly limited since then

Option 2: The selection of support by the supported person, the making of arrangements for the provision of it by the local authority on behalf of the supported person and, where it is provided by someone other than the authority, the payment by the local authority of the relevant amount in respect of the cost of that provision.

Option 3The selection of support for the supported person by the local authority, the making of arrangements for the provision of it by the authority and, where it is provided by someone other than the authority, the payment by the authority of the relevant amount in respect of the cost of that provision.

Option 4 The selection by the supported person of Option 1, 2 or 3 for each type of support and, where it is provided by someone other than the authority, the payment by the local authority of the relevant amount in respect of the cost of the support.

The statutory guidance[2] provides further detail about how the Options work in practice and how local authorities should support people to make well informed choices as to how much control they wish to have over their budget.

The Act also recognises that there can be little choice if there aren’t services and providers to choose from. Section 19 sets out a duty to promote the availability of the four options, as well as a duty to promote, as far as is reasonably practicable, a variety of providers and types of support to ensure people have services to choose between.

Option 2- intention and implementation

The legislative and policy intention for Option 2 is that it should be significantly distinct from Option 3 and maximise choice and control for the person (short of being financially responsible for their budget.)

Option 2 of the Act (and as a consequence Option 4) is the provision that appears to be causing the most difficulty for local authorities. Each area is taking a different view of how this Option should operate including:

  • Operating a formal (tendered for) procurement framework on to which a restricted number of providers are admitted.
  • Operating a non- procurement framework ‘agreement’. These vary in application from low barrier to high barrier; open to closed.
  • Retaining control through the use of the ‘essential service’ approach deeming some parts of support delivered within the Option 2 budget to be non-negotiable.
  • Retaining control through contracts that require care and support planning to be done by the local authority rather than the provider.
  • Retaining control through the use of highly specified lengthy contracts.

Research purpose

The duties of the Act fall primarily on local authorities and each area is taking a different view of how the Act should be implemented. The purpose of this research is to identify:what some of the implementation models are; and to critically analyse how these models support or hinder voluntary sector providers in their efforts to provide more personal, flexible support to individuals in line with the legislative and policy intentions of Self-directed Support.

Scope

The analysis should focus primarily on the implementation of Option 2 (and by consequence Option 4) and consider the stages in the supported person’s “journey” through SDS (see Annex A) from initial information to assessment, support planning, budget agreement, option choice and support purchase. Reference should also be made to the commissioning and procurement context in which these stages operate.

Proposals should be based on the assumption that the main stakeholders in this research are voluntary sector providers with the primary interview groups being local authority staff (operational, commissioning, procurement) and voluntary sector providers. Gathering data from service users, carers, and other stakeholders should be secondary.

Research questions

  1. What implementation models are local authorities are putting in place to deliver Self-directed Support?
  2. How do these implementation models relate to wider local authority activities such as procurement, commissioning and integration?
  3. To what extent do the models identified help or hinder providers in delivering the policy and legislative intentions of Self-directed Support?

Methodology

This is a short term research project designed to include analysis of secondary data (stage 1) and the collection and analysis of primary data (stage 2) with a view to using these to compare the impact of implementation of SDS on providers.

Stage 1: Collation and analysis of local authority documents: This includes analysis of LA Self-directed Support strategies; market facilitation/shaping strategies and statements; Option 2 contracts etc.

Stage 2: Qualitative interviews: interview/focus groups of local authority staff in selected areas of Scotland. Separate interview/focus groups of providers in the same areas.

Stage 3: analysis and report writing: production of a short report

Stage 4: presentation and research launch event.

Criteria

Detailed criteria will be developed in conjunction with the P&P project manager. However the criteria will be based on:

  • The policy and legislative intentions for Self-directed Support
  • The expectations placed on providers by these intentions
  • The outcomes expected from providers as part of the National Monitoring and Evaluation Strategy for Self-directed Support. (See Annex C)

Timing

Indicative timings for the project are given below.

Proposals due / 18th July 2014
Interviews (if required) / 22-25th July 2014
Set-up meeting / w/b August 11th 2014
Stage 1 / September 2014
Stage 2 / Oct- Nov 2014
Stage 3 / Jan 2015
Stage 4 / Feb 2015

Budget

A maximum budget of £11,600 (inclusive of VAT)is available a guide breakdown is given below:

Set- up and progress meeting (s) / 1.5 days
Stage 1- review of documents / 5 days
Stage 2- focus groups/interviews / 6 days
Stage 3- report writing / 4 days
Stage 4-launch / 1 day (1/2 day prep; ½ day delivery)

This breakdown is intended as a guide- if you have an alternative approach please indicate this in your proposal.Payment will be made in two stages the first on set-up and the second on successful delivery of stage 3 (report.)

Consultant experience, skills and knowledge

Consultants who will work on this project should have the following skills and experience:

Research skills and experience /
  • Experience in conducting 1:1 interviews and focus groups.
  • Experience in thematic analysis of qualitative data.

Knowledge of the sector /
  • Knowledge of social care legislation and policy in Scotland
  • Knowledge of context in which social care is outsourced in Scotland (procurement and commissioning)
  • Knowledge of Self-directed Support.

Values /
  • Understanding of the ethos of voluntary sector social care.

Report writing skills /
  • Ability to write in plain English for a primarily non-academic audience.

Presentation skills /
  • Ability to give a clear presentation to a non-academic audience.

IT skills /
  • Ability to use standard Office software (e.g. Word, Excel, Outlook)
  • Ability to use online survey tools if required (e.g. Survey Monkey)

Support from P&P

Project manager contact

Dee Fraser

0131 475 2676

P&P will:

  • Support the researcher(s) with access to relevant documents and P&P/CCPS data on local authority implementation (e.g. anonymised data from the provider readiness survey.)
  • Support the researcher(s) with recruitment of interviewees/focus group members through the P&P provider network, personalisation leads and the P&P reference group.
  • Arrange and pay for transcription of interviews and focus groups up to the value of £3,000.
  • Meet regularly with the researchers to track progress and address issues.

Project oversight

The P&P reference group (a group of 12 senior staff from provider organisations with expertise in personalisation and Self-directed Support) will form the research advisory group for this project.

Deadline for proposals

Proposals should be sent by email to no later than 5pm on 18th July 2014. Interviews will be held between 22 and 24 July and you will hear if your bid has been successful by Friday the 25th of July.

Queriesabout this brief should be addressed by email to .

What your proposal should contain

Scoring %
An outline of how you would go about the work / 40
Your interpretation of the context and research questions / 25
A summary of your skills knowledge and experience / 20
A breakdown of your proposed budget and project schedule / 10
An analysis of any risks to the project and what you will do to manage these / 5
A contact name, number and email address / n/a

References

The Social Care (Self-directed Support) (Scotland) Act, 2013

Self- directed Support: A National Strategy for Scotland, 2010

Self-directed Support (Audit Scotland, 2014)

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Workstream: 2014 research project

Document: Research brief and proposal criteria

Version : 2 (DF)

ANNEX A- National Outcomes for SDS

Foundations for Self-directed Support
There are things to choose from
Strategic commissioning makes a wider range of support options available to people / People have resource
Financial resources are allocated to people in a fair and transparent way / People have information
There is better access to information services for people who are eligible for care and support and, where appropriate, the wider population / People know where to get information
Supported people are more aware of the information services available to them to help them to make their choice and manage their support

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Workstream: 2014 research project

Document: Research brief and proposal criteria

Version : 2 (DF)

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