Integrated Impact Assessments –Payroll Framework Agreement

  • The current Payroll Framework Agreement will be replaced by an updated one.
  • The new Payroll Framework Agreement will include a more effective and efficient structure and have an improved collaborative approach to managing the Framework Agreement.

 

Context

The Scottish Government introduced The Social Care (Self-directed Support) (Scotland) Act 2013 to support people to have control of their life. The Act came into force on 1 April 2014 and places a duty on local authorities to offer people who are eligible for social care a range of 4 options. In 2016 it was identified by Health and Social Care teams a need for a service to support option 1 of Self Directed Support (SDS) for employment and payroll of Personal Assistant/s (PA/s).

Option 1 of SDS enables a Direct payment to be made by the council to service users who have been assessed as in need of care.  An option for services users is to employ a personal assistant. To support this a payroll framework Agreement was created to support service users manage the payroll of their PA/s with the requirements such as Tax, National Insurance and pensions.

The service is currently provided by 3 payroll providers and used for the following functions

  • To provide a standard Payroll Service
  • To provide a Financial Management service
  • To provide both if Direct Payment recipient want this package

The beneficial advantage of using Financial Management Services is that it helps people manage their choice of SDS options by offering support where and when necessary. An increased awareness of the availability and benefits of FMS is needed to better promote the service.

A full review of the payroll service contract was required as it was established in 2017 and extended further to allow for the review. Public engagement and consultation was undertaken over a period of 5 months. This involved gaining views of Direct Payment recipients, their carers and families.  Views were also taken into consideration from the incumbent providers, their service users and internal EHSCP colleagues and partner providers who have clients who access their services via Direct Payment.

Service Users input

1346 surveys were distributed to Direct Payment Recipients for their feedback. 248 complete surveys were returned (18%).

These provided insight into their experiences and views regarding the service they have received from payroll provider services. The majority were positive and highlight what is working along with identifying some areas for improvement.

Face to face sessions were set up within each locality to encourage engagement with Direct Payment recipients and their family and carers to come along and share their experience of accessing and or utilising an managing a Direct Payment account.

7 face to face sessions were hosted by EHSCP staff across the 4 localities and also within Waverley Court. 19 people in total attended the face to face sessions.

The sessions provided useful insight into the experiences and views of Direct Payment recipients and their carers. Common themes were gathered and have been followed up.

No, but socio-economic impacts are considered within this IIA.

 Thursday 16th November 2023

Name Job Title Date of IIA training
Sarah Bryson Strategic Planning & Commissioning Officer, EHSCP (Facilitator) Nov 2017
Joanna Eceiza Contracts officer, EHSCP  
Emma Pemberton Disability Service manager, EHSCP  
Ashley Mazs; SDS Advisor, EHSCP  
Susan Robertson Strategic Planning & Commissioning Officer, Disability, EHSCP March 2023
Emily Johnston VoiceAbility   Scotland  
Emma Thake Transactions Team, EHSCP  
Maureen Martin Edinburgh Development Group  
Chris Crossland Contracts officer, EHSCP  
Juliana Heron Team Leader, Children, Education and Justice Services  
Caitlan McPherson Lothian Centre for Inclusive Living  
Catherine Maciocia Fife Business Services  
Janette Smith Fife Business Services  
Angela Voulgari Equally Safe Edinburgh Committee Lead Officer, CEC  
Rosemary Mcloughlin Vocal  
Emma Franklin Transactions team,EHSCP  
Emma Gunter Contracts Manager, EHSCP  
Hugo Whitaker EVOC  
Lorna Watt Change and delivery officer EHSCP  
Tracey Traynor Social Work Assistant, Children and Families Department  
Evidence Available – detail source

 

 

Comments: what does the evidence tell you with regard to different groups who may be affected and to the environmental impacts of your proposal
Information available to explain the Self-Directed Support

SDS options

Data on populations allocated a Direct payment budget

https://www.edinburghhsc.scot/livingindependently/payingforyourcare/sds/

https://www.edinburgh.gov.uk/paying-care/self-directed-support

https://www.gov.scot/publications/guide-social-care-self-directed-support-scotland-act-2013/

https://www.disabilityscot.org.uk/?s=SDS+

Internal data shows that there is currently 1413 Direct Payment recipients (including C&F) in Edinburgh. (as of 09/11/2023)

This can change week to week (slightly)

Some people receive one off- payments so the data frequently fluctuates

The Payroll service is a city-wide service and is currently available to those in EHSCP and Children’s Services who are assessed as needing a social care service, and who would like to arrange and pay for this service instead of managing their  SDS account themselves.

Direct Payment recipients can choose which of the 4 SDS options they think is best suited to meet their needs and achieve their desired outcomes. Only a percentage choose to use a Payroll service.

Others choose to use a private family solicitor or another payroll service, manage it themselves or via their family.

Data on payroll service uptake/access

Demographics of who is using SDS Direct Payments option1.

Internal records show the following data on current Direct Payment Payroll service accounts.

See Appendix 1.

There are currently 420 payroll services accounts.

311 are using the standard payroll service and 109 are using the Financial Management service. (data indicates some are using both).

Approximate number of Direct Payment recipients are listed in Appendix 1. according to:

Locality, health condition and gender

Data on socio-economic disadvantage e.g. low income, low wealth, material deprivation, areas of deprivation. Self-directed support is available to those who have been assessed as eligible for certain services from social work and/or housing for services such as home-help, transport, day care services, counselling, personal care etc.

Some services are free of charge, such as personal care for people aged 65 and over and nursing care for those assessed as needing it, but there may be a charge for other services and this is means tested.

Emergency payments are available to those who have been assessed by a Council employee as meeting the criteria for a payment.

A high proportion of the service users will therefore have lower socio-economic status.

Data on equality outcomes Population health and inequalities in Edinburgh

Director of Public Health Annual Repor

The Joint Strategic Needs Assessment (JSNA)  papers provide further information on a range of equality outcomes:

 

 

 

 

 

 

 

 

New Scots Refugee Integration Strategy 2018 to 2022 evaluation: key findings summary – gov.scot (www.gov.scot)

https://www.gov.scot/publications/national-carers-strategy/

The majority of Direct Payment recipients will have a physical disability, a learning disability, be older or have a mental health issue. Many Direct Payment accounts are managed by unpaid carers.

Mitigations are required to avoid a negative impact of discrimination in regard to those mentioned above and in the following text who may be unable to access or manage their DP budget without the necessary support and assistance.

Children are also Direct Payment recipients and their accounts are often managed on their behalf by an unpaid family member or carer. Many carers and family members use the payroll service so they can focus on spending quality time with the cared for person rather than being occupied processing tax returns and Insurance etc.

There is widespread data available on equality outcomes for people within these protected characteristic groups, for example,

people with a learning disability do not enjoy the same life chances as others (‘Keys to Life Implementation Framework’, 2019).  They have some of the poorest health of any group in Scotland. They are considerably more likely to die at an early age than the general population – on average 20 years before. Some of the causes of death are potentially preventable.

We need to consider the Impact on people with English as a second language and how they converse and access ( or not) the budget they are entitled to.

Need to explore what literature is available or provided. It is not just a language barrier – its more about understanding the system of services. An example was given regarding supporting polish people- options and choice is common or familiar but information needs to be looked at regarding the use of terminology and direct support being available to help people to digest and understand the subject, it is more than just translation.

Need to balance the information and formats to make it accessible and inclusive. Promotion material and mechanisms to reach as many people who may not have access to this information currently.

From perspective of Lothian Centre for inclusive Living service- HMRC regulations state that they have to have materials and resources in English for their purposes. Working with MECCOP for example to address this as people from ethnic minority groups could be impacted upon due to language and culture differences.

Need to ensure advocacy has a range of appropriate literature available, not just access to translators.

Consideration needs to be given as to whether refugees and migration of people from Poland and Ukraine etc are accessing information re SDS options and have the support to decide whether SDS options are appropriate for their needs and outcomes along with the subsequent support to manage their DP budget.

Need to consider impact upon gypsy travellers/Romany community in regard to not having the necessary ID evidence required ( Driving licence,  Passport or permanent address etc) to process DP accounts.

It was pointed out that payroll accounts can be set up via Financial Management services  as long as a main contact is on the account and available when required  However, All pay card accounts does require ID evidence.

Consideration needs to be given to the impact upon vulnerable people such as individuals experiencing domestic abuse and potential financial abuse whereby their DP budget may not be used appropriately. Indeed the DP recipient may themselves not be using their budget appropriately.

We need to ensure there is a follow up procedure to monitor and check the use of budgets and to safeguard the person in receipt of a DP budget. Training and good practice guidelines are required regarding assessment and monitoring from Social Workers to understand and be aware of the various and potential fragile and volatile situations that may be around and how to assertively and competently address or better still avoid these issues arising.

FMS can help monitor and consistently keep up conversation, collaboration and the reporting of potential misused funds. This would help mitigate and minimise such scenarios.

Whilst carers are not listed as a protected characteristic, they are taken into consideration in every element of this IIA as their contribution and consequence of their role and responsibilities have an impact on their own health and wellbeing as well as restricted opportunities to access work, hobbies and other lifestyle choices. This may impact on the carer’s social status, income, mental and physical health and ability to access services.  The Covid pandemic restrictions brought further challenges for carers’ which exacerbated the impacts of caring on carer’s mental and physical health.

It is estimated that around 60 percent of unpaid carers are women (higher for working age carers) and women are four times as likely to give up paid work due to multiple caring responsibilities and are more likely to be in low-paid, part-time employment than male carers. The responsibility of care has significant ramifications on women’s access to employment, career development and progress, access to training and higher education, as well as on physical and mental health.

The Director of Public Health report highlights a decline in overall population health over the last ten years. The COVID-19 pandemic and the cost-of-living crisis have amplified these negative health trends with particular impact for the most vulnerable members of Edinburgh’s population.

Public/patient/client experience information The Payroll Framework Agreement has been undergoing a full review throughout this year (2023)

It was decided that a full review of the service was required, this was undertaken over a period of 5 months this review was through with service users, their carers and families, the review also took into the consideration the views of the incumbent providers and internal colleagues. The Contracts Team have completed a full review of the services and highlighted recommendations.

Service User input

1346 surveys were distributed to Direct Payment recipients asking  for their feedback. 248 complete surveys were returned (18%).

These provided insight into their experiences and views regarding the service they have received from payroll provider services. The majority were positive and highlight what is working along with identifying some areas for improvement.

Face to face sessions were set up within each locality to encourage engagement with Direct Payment recipients and their family and carers to come along and share their experience of  accessing  and or utilising a Direct Payment  account. 7 face to face session were hosted by EHSCP staff across the 4 localities and within Waverley Court. 19 people in total attended the face to face session.

Further in-depth feedback was gathered from the payroll provider services staff and their customers as well as from colleagues within our internal depts. Along with interaction with key provider organisations we work in partnership with who support Direct Payment recipients via their budgets in order to access a multitude of opportunities.

Evidence of inclusive engagement of people who use the service and involvement findings The vast majority of the feedback has been extremely positive with only minor isolated cases highlighting specific issues.

A huge amount of productive meetings have taken place and a stronger collaboration formed from open and transparent communication.

These have generated vital learning points to follow up on going forward and some changes have already started to be put in place.

Evidence of unmet need Standard 12.Funding Availability, budget calculation and flexibility of spend

https://www.sdsscotland.org.uk/development-of-the-12th-standard-for-good-sds-discussion-sessions/

https://www.disabilityrightsuk.org/news/strong-links-between-disability-and-destitution-shocking-new-jrf-research#:~:text=In%20an%20earlier%20research%20report,to%20work%20disabled%20people%20face.

Standard 12 states the function or outcome of SDS is  : ”For people to be able to live as they wish and enjoy their human rights, flexibility is afforded to how, where, when and on what people can spend their personal budget”.

Unmet need is ultimately related to funding availability, budget calculations and flexibility to spend. So systems and processes in relation to; assessments, allocation of funds and resources, pricing, capacity of staff to process as well as capacity of Personal Assistants etc are all factors in whether people’s needs are met.

Unmet need relates hugely to poverty.

Joseph Rowntree Foundation has found that almost two-thirds of people experiencing destitution in the UK were disabled or had long-term health conditions.

Majority of people supporting direct payment recipients will be unpaid carers.  They could also be single parents or woman living on their own, We know there is evidence to support this and is not something we don’t already know.  Various projects highlight that unmet need offers a wealth of evidence in terms of the people who are struggling to administer option 1.

People who may be impacted upon are; single parents, the unemployed and those on benefits and young, single woman living on their own. All are likely to be living on a low income. Others who could be impacted upon are people who are homeless. How would these people be supported to access and manage a DP budget?

Due to covid a lot of people maybe used the digital mode, but do not want to now and prefer a face to face option to discuss these complex issues and would suit them better. Older people and people with limited literacy or digital skills may be negative impacted upon re utilising digital communication or the processing of timesheets and e-mails  etc.  Alternative inclusive and accessible options need to be available and any areas for improvements will be considered in the new contract.

Good practice guidelines SDS Scotland provided the above link for practitioners to attend a series of discussions to gain more knowledge about Standard 12 for good  SDS. The discussions covered a wide range of topics all about SDS to help them be equipped to offer sound guidance.

The statutory principles of SDS have to be considered when making decisions.

Underlying principles of SDS:

There is a requirement on the Local Authority to take into consideration these 4 statutory principles of Involvement, Collaboration, Participation and Informed Choice, in any aspect of the planning and delivery of services. Therefore, they can be applied as a ‘test’ to the way in which SDS is implemented at a local level.

 

The Guidance states that:

The aim of this Guidance is to help duty-bearers within the relevant authorities to fulfil their duties under the 2013 Act.’ (p.4)

This update emphasises the importance of rights, and that SDS is the way that social care must be delivered in Scotland (for children, adults and those in transition to adulthood), and that authorities must therefore take reasonable steps to uphold the rights of supported people and carers as described in the statutory principles.’ (p.5)

The Guidance goes on to state:

SDS is ‘the way that care and support is delivered, making the principles of choice and control central to care and support, and giving individuals full opportunity to take control of their support and their lives.’ (p.5)

SDS helps supported people and carers to make informed choices – based on their unique needs and circumstances – on what their support looks like and to have choice and control over how that support is arranged, managed and delivered.’ (p.5)

The statutory principles are important because they set out the underlying aims or ‘spirit’ of the legislation and complement the detailed duties and powers provided elsewhere in the Act.

This means that duty-bearers in the relevant authorities must follow both the letter and the spirit of the guidance . . . ‘ (p.5)

Finance functions should provide the necessary support to the social work function to support collective objectives, ensuring effective systems to support social care provision and encouraging choice, control and flexibility for supported people, including supporting the pooling of budgets where appropriate.’ (p.30)

You can find details of the Statutory Guidance here: https://www.gov.scot/publications/statutory-guidance-accompany-social-care-self-directed-support-scotland-act-2013-2/documents/

There is a section in the guidance on the use of Pre-Payment Cards. This states:

While the use of pre-paid cards is not mentioned in the Act, authorities should give supported people and carers a choice about whether they want to use a pre-paid card. Where authorities want to introduce their use, they should consult appropriately with supported people and ensure that the use of pre-paid cards is compliant with the SDS statutory principles of collaboration, informed choice and involvement when providing support, and with SDS Framework of Standards on flexibility of spend.’ (p.58)

Direct Payments are public funds.

Our practice is as good as any other Local Authority.

Our DP numbers far outweigh other Scottish Local Authorities, pro rata to population.

All new DP recipients should go onto the All pay account. this is CEC’s preference/default.  Edinburgh have the highest number of DP’s to manage.

If someone refused this would need to be a Locality decision and would need to be an exceptional circumstance as to why they refuse.  The other options are Financial Management Service (FMS) or if their account is managed by a Solicitor.

Carbon emissions generated/reduced data The services are likely to be building based with some remote/hybrid  working for staff.  PAs could be travelling around from client to client or with their employer to activities of their employer’s choice.

Encourage services to reduce number of e-mails, photocopying, printing and production of too many resources etc

Is it possible to encourage or signpost  DP recipients to consider more eco- friendly and effective options such as energy saving strategies? If so we need to ensure they were accessing and receiving accurate advice from authorised and competent  sources to make informed decisions

Environmental data All positive to promote the economy and finances and wider SDS scheme and ideally on a locality basis.
Risk from cumulative impacts
Other (please specify)
Additional evidence required
Equality, Health and Wellbeing and Human Rights

 

Affected populations
Positive

The benefits of the Payroll Framework Agreement:

·       Provides payroll services to ensure care workers are paid correctly without impacting on Council resources.

·       Allows the Council to benchmark organisations costings to create reasonably assessed rates for an equally reasonable service.

·       Compared to internal service matching provisions, Direct Payments allows service users with capacity a choice in who and how their care is provided. Payroll support services helps facilitate the use of these payments for a Personal Assistant (PA).

·       Helps Direct Payment recipients to maintain some independence in their choices regarding their care needs without needing knowledge and experience of pay legislation.

·       Improved Health and Well-being and sense of self-managing their own lifestyle.

·       Receiving right care in right place at right time

 

Children and families, Older people, those with learning and physical disabilities and neurodivergent, people with sensory loss, those with mental health issues and unpaid carers and all other protected characteristics.

Also noted in the IIA activity were; Single parents, unemployed, single young woman living alone, refugee an migrants as well as gypsy travellers/Romany Communities along with those who use English as a second language.

Negative

·     People may find some aspects of the role of being an employer challenging but support should be on offer to address this- and if need be use an FMS service, otherwise, reconsider if SDS is a viable option for them.

·     Choice may be restricted dependent on procurement activity and rates agreed.

 
Environment and Sustainability including climate change emissions and impacts.

 

 

Children and families, Older people, those with learning and physical disabilities and neurodivergent, people with sensory loss, those with mental health issues and unpaid carers and all other protected characteristics.

Also noted in the IIA activity were; Single parents, unemployed, single young woman living alone, refugee an migrants as well as gypsy travellers/Romany Communities along with those who use English as a second language.

Positive

Current services are provided digitally or from a base which enables flexibility for people and families.

The tender process will include a review of contractors compliance with City of Edinburgh Council Sustainable Procurement Strategy, 2030 Climate Strategy and Fair Working Practices.

 
Negative

Some people prefer to meet face to face or have this option available should it be needed.

 
  Affected populations

Children and families, Older people, those with learning and physical disabilities and neurodivergent, people with sensory loss, those with mental health issues and unpaid carers and all other protected characteristics.

Also noted in the IIA activity were; Single parents, unemployed, single young woman living alone, refugee an migrants as well as gypsy travellers/Romany Communities along with those who use English as a second language

Positive The aim is to provide a realistic, fair and value for money DP budget which then can access a realistic, fair and value for money service.

Offering a payroll service encourages more people to take up the offer of DP, particularly where they may not be in a position to manage the payments directly themselves.

The positive is offering SDS to help a create further positives such as DP’s family/carers to help them go out to work. This will in turn increase the workforce and contribute to the economy.

 

All positive to promote the economy and finances and wider SDS scheme.

 
Negative

The biggest impact for all is the current cost of living crisis.

Dependent on procurement activity and rates agreed, if people choose a provider with higher rates there may be an incurred cost to the person.

 

 

Yes – guidance and policy with regards to the above will be adhered to as part of the commissioning and procurement process and included in contractual requirements.

The needs of individuals are assessed by the allocated social worker, OT or social care staff member and SDS payments and options are agreed in their personal support plan.  Each personal support plan will therefore be bespoke to the individual including providing best communication channel or mode for effective communication and information etc.

Details will be produced allowing all stakeholders to review the options for a payroll service and the associated costs.

Alternative formats can be requested and the Translation services and 3rd sector organisations can offer more specific support if and were needed.

Common guidance and collaborative practice can highlight areas for providing accessible and inclusive information to suit individual communication needs.

When preparing communications, simple, plain English with the avoidance of jargon will be used and alternative formats such as BSL, easy read etc. will be available on request.

There is no evidence or intention that the new contract will have significant environmental effects.

If further evidence is required, please note how it will be gathered. If appropriate, mark this report as interim and submit updated final report once further evidence has been gathered.

N/A

Specific actions (as a result of the IIA which may include financial implications, mitigating actions and risks of cumulative impacts) Who will take them forward (name and job title Deadline for progressing Review date
Explore the literature available and required in regard to explaining and promoting SDS options and what is involved in choosing each option. Balance the information and formats, including for BSL users and those with sensory loss in relation to promotion material and processing DPs in order to make it accessible and inclusive.

Consider the use of terminology and direct support being available to help people to digest and understand the subject of SDS.

Susan Robertson and collaborative working with specific and relevant organisations and EHSCP colleagues

Susan Robertson

Ongoing

ongoing

January 25th 2024
Ensure there are mechanisms to reach as many people who may not have access to this information currently and the support available to assist where required Susan Robertson ongoing
SDS Training has been delivered to all locality hubs, cluster teams and hospital teams. This training will be considered for 3rd sector organisations, including advocacy who support DP recipients on SDS options and spending their budgets. Susan Robertson and Ashley Maz ongoing
An implementation plan will be developed in collaboration with operational colleagues and ensure clarity of roles and processes. Information will also feed into the review of the SDS Policy and procedure. Susan Robertson and Internal EHSCP colleagues 12th January 2024
Develop a contract monitoring and performance plan between commissioning and contracts colleagues Susan Robertson and Joanna Eceiza 4th December 2023
Complete an options appraisal with procurement and planning/ commissioning colleagues to determine how we approach the market and pricing methodology. Susan Robertson and Anna Penman 5th January 2024
Alternative inclusive and accessible options need to be available to engage and interact with DP recipients as digital and remote methods will not suit or meet the needs of everyone. To include BSL and other formats for  those with sensory loss.

Any areas for improvements will be considered in the new contract

Susan Robertson working in collaboration with specific relative organisations and EHSCP internal colleagues ongoing

This will form part of the contract monitoring and commissioning review programme.

Name  Mike Massaro-Mallinson, Service Director – Operations

 Date  19 December 2023