CFO Round 3 Bill Spiby Lead Manager Corporate

CFO Round 3 Bill Spiby Lead Manager (Corporate) Marek Musiol Lead Manager (Research and Statistics)

CFO Round 3 • • • Focus on the Social Inclusion Priority group More Prison delivery Increases Payment by Results element Drives Provider behaviour Minimises reconciliation A holistic delivery model recognising distance of participants from the mainstream

Cost Breakdown • • Core Delivery Costs (44. 2%) Development Fund (8. 7%) DAF (3%) Programme starts (11. 8%) Participant feedback (2. 5%) Secured employment (8. 0%) Supportive measures, short courses and Vocational/Educational/Training (21. 9%)

Participant Pathway • Pathway stages applicable to all participant – Bespoke activities only available for the YJB cohort • Data Integrity (DI) and Quality Assurance (QA) aspects remain consistent across the programme • Finance profiles, ‘conversion rates’ and cost per pathway uniform across the programme – Different for the YJB cohort • Emphasis on performance management – Separate YJB sub-programme targets

Pb. R Payments – Participant Pathway Beginning • • Enrolment Assessment Action Plan DI Checks

Enrolment • Attachment fee – in DWP and SFA terminology • Entered onto CATS • Evidence Requirement – 100% DI check – Paperwork to be sent, scanned, received by DI team • Consent form, eligibility form (Non EU evidence), proof of NINO • Assessment has been completed

Assessment, Action Plan and DI Checks • Does the CATS assessment show significant barriers in ETE plus other resettlement pathways • Everyone must have an employment need • Action plans must be completed and revisited throughout the participant’s time on the programme • DI checks must be made and validated/verified • Succinct and relevant Case Notes added

Pb. R Payments – Participant Pathway Middle • • • Core Activity Supportive Measures Short Courses Vocational/Educational/Training Review Interview

Pb. R Payments – Participant Pathway Middle • Achievements must be sequential • CATS will not allow achievements to be submitted for QA to the DI team if the previous achievements have not been completed & submitted

Pb. R Payments – Participant Pathway Middle • In line with the CFO Participant Achievement Guidance • Aspects of each stage may be changed, deleted or added to through discussions with the Provider and NOMS CFO

Pb. R Payments – Participant Pathway Middle • On CATS, achievements are: – ENTERED – Information is added to CATS – SUBMITTED (or ‘pending approval’) – The information typed thus far is locked off and sent electronically along with scanned copies of required documentary evidence – APPROVED (to be paid) – DI team has reviewed the submitted information along with the documentary evidence and approved for payment.

Core Activity • Two (or more) of the less tangible supportive outcomes entered onto CATS – Items only visible & specific to the YJB cohort • There is no payment attached to this • Resources must be allocated from the Core Costs • Must relate to assessment and action plan with supporting notes • Where hard evidence exists (e. g. CVs, CSCS cards) it should be uploaded to CATS

Supportive Measures • One (or more) concrete supportive measures submitted on CATS – Includes YJB specific education outcomes • Evidence must be submitted to the DI team • No payment is made until all paperwork is QA’ed • The QA checks will ensure that all the previous stages have been correctly completed

Short Courses • One (or more) short course submitted on CATS – More than 10 direct learning hours per week – More than 7 direct learning hours per week for YJB cohort • Definitive list of eligible courses on CATS • Evidence must be submitted to the DI team • No payment is made until all paperwork is QA’ed

Vocational/Educational/ Training • Must be submitted on CATS with the appropriate supporting evidence • Completion of training/vocational course with a certificate from the awarding body • Voluntary employment with a recognised charitable or community organisation (30 hours minimum) • All courses must be completed by the end of the contract period (ESF regulations)

Review • The case must be reviewed regularly • Resources must be allocated from the Core Costs • Action Plan must be revisited • If the participant requires no further assistance then: – Refer to mainstream provision – Log referral onto CATS – Close the CATS record

Interviews • Details of all interviews should be entered onto CATS • The interview or job offer for any subsequent employment achievements must be entered onto CATS • The interviews must relate to previous stages, supported by notes, action plan and achievements

Pb. R Payments – Participant Pathway Middle • • • Supportive Measures Short Courses Vocational/Educational/Training Review Interview Participant Feedback

Participant Feedback • Participant feedback can occur many times throughout the participant’s time on the programme • Payment for the first participant feedback report submitted on CATS • Results will be used to help develop and improve the programme for the participant and the Provider

Pb. R Payments – Participant Pathway End • Secured Employment • Sustained Employment 13 Weeks • Sustained Employment 6 Months

Secured Employment • The employment must: – Be submitted on CATS – Be as a direct result of the Provider’s work – Be as a result of a successful interview (QA checks will confirm) – Relate to previous stages, supported by notes, action plan and achievements – Be in line with the achievement evidence guidelines (and associated examples)

Secured Employment • Part time, full time and self employment is acceptable • Zero hours contracts are only acceptable if the participant has worked a minimum of 30 cumulative hours

Sustained Employment • CATS allows this information to be logged and monitored • No payment associated • At what point should the case be closed? – Is further intervention required? – Can the participant access mainstream services? – Best use of Provider resources

QA of Achievements • All achievements where a payment is attached will go through the QA process • QA for all stages up to the current achievement • Timescales for QA completion must be realistic • QA process will take no longer than 28 days from submission – Quicker in reality – Subject to clarity of evidence provided

Targets & Profiling • Providers are to submit their own target profiles • Profiles must take into account a delay in the NOMS CFO QA process • Profiles must also take into account any delays in the Provider’s own internal QA processes • As payment is given on actuals, re-profiling is discouraged

Targets & Profiling • Month’s overachievement on the target profile will: – Not result in an increase in the monthly payment – Be ‘rolled over’ against the next month’s target 600 Achieved Target of 500 Payment up to the target 100 ‘rolled over’

Targets & Profiling • Month’s underachievement on the target profile: – May result in a breach of the contract – Can be ‘caught up’ with the next month’s target to achieve the total payment Target of 500 Target of 600 430 Achieved Payment only for 430 650 Achieved Payment for a further 170 (70 from May 100 from June) 50 ‘rolled over’

Transfers • Achievements attributed to where the event took place Enrolment Short Courses • Within Contracts Supportive Measures

Transfers • Achievements attributed to where the event took place Enrolment Short Courses • Across Contracts Supportive Measures

Transfers Short Courses d 1 9 Enrolment. H i nd ley nd Supportive Measures ley Hi • YJB Age • Achievements attributed to where the event took place

Transfers • Dialogue between sub-providers and prime Providers is essential • Previous stages can be revisited if required (no payment – Core Costs) • Should a Provider enter an achievement without submitting it, the Provider runs the risk of another achievement at that stage being submitted and approved with payment given

Demographics • The demographics are mandated by ESF through the ‘ESF Indicators’ • They have been set to reflect the offender population in the specified region/area • The ESF Indicators are gathered 1. Through the assessment 2. From other NOMS sources (Pnomis and n. Delius) • Errors corrected at sources

Demographics • Challenging targets for: – Disabled or with health conditions • Self declaration • 22% across the programme – Female participants • Regional variation from 3. 5% to 13% – Aged over 55 – Ethnic Minority groups • Regional variation from 2% to 63%

Demographics • Targets are numerical not as a percentage of total enrolments – E. g. 6, 000 enrolments of which 600 must be female – 10% of cohort – If 7000 enrolments are made, only 600 must be female not 10% of cohort

Any Questions? • • • Participant Pathway Payment Model DI and QA processes Targets and Profiling Transfers Demographics