DRAFT MEMORANDUM OF UNDERSTANDING
BETWEEN
The Department of Health and Social Care
and
North Yorkshire County Council
FOR THE PROVISION OF THE ADULT SOCIAL CARE CHARGING REFORM TRAILBLAZER INITIATIVE
FOR THE FINANCIAL YEARS 2022 – 2024
Ratification Date 24 March 2022 (subject to formal consideration by North Yorkshire County Council)
1.1.1 The Department of Health and Social Care has set out its policy for charging reform, which was announced on 7 September 2021. To test the Department’s implementation approach, a small number of local authorities (LAs) will be ‘Trailblazer’ early adopters of the charging reform package. This will give the Department an opportunity to test how the programme would work in practice and identify and share best practice across all LAs ahead of national roll out. Further information on the initiative is outlined in Annex A.
1.1.2 The purpose of the document is to confirm requirements in relation to the Department’s charging reform Trailblazer initiative, between the Department and the LA.
1.1.3 This MOU is not intended to be legally binding but outlines the expectations for both participants during the Trailblazer initiative. This includes the:
· purpose of the initiative;
· requirements of the Participants;
· timelines and milestones;
· review points at which DHSC and Trailblazers agree to continue with the initiative;
· funding arrangements; and
· support offer.
1.1.4 Trailblazers will join the programme from April 2022 until October 2023. However, Trailblazer authorities can carry out preparatory activity from March 2022. Funding will be made available from April or May 2022. The Department would also like to ask for Trailblazer authorities to feedback on core documents in March on a voluntary basis.
1.1.5 The Trailblazer initiative will include two formal review points before primary legislation is commenced. The first review point will be in August 2022 and the final review point will be in November 2022. The purpose of these review points is to provide time for the Department and Trailblazers to closely monitor progress on implementation and any risk materialisation.
1.1.6 There may be scope for extending working arrangements beyond October 2023 in a different phase of the programme.
1.1.7 All LAs will agree to participation by signing this MOU.
Definitions
1.1.8 The Department of Health and Social Care will be referred to as ‘The Department’. XXX authority will be referred to as ‘The Recipient’. Both parties will be collectively referred to as ‘The Participants’.
1.1.9 ‘Self-funder’ refers to anyone who currently has eligible assets above £23,250 and under the current charging system receives no financial state support to pay for their personal care. It also includes those with assets over £100,000, who under the reformed charging system will receive no state funding to pay for their personal care costs, other than when they have reached the cap on care costs announced by the Government. People who have eligible assets between £23,250 and £100,000 and will fall into the means test under the reformed charging system are not included in this definition but are another source of demand for assessments.
1.1.10 ‘Early assessments’ refers to the needs and financial assessments of self-funders that local authorities should conduct to manage demand for assessments and ensure people can benefit from charging reform at the earliest opportunity.
1.1.11 ‘Affirmative regulations’ are required to set the amount of the cap on care costs and the daily living costs. Trailblazers will be named in these regulations before other local authorities to ensure the powers can be used from January 2023.
1.1.12 ‘Negative regulations’ are required to make provision in relation to care account statements, to change provisions relating to top-ups and raise the Upper Capital Limit and Lower Capital Limit/ tariff income provisions. Trailblazers will be named in these regulations before other local authorities to ensure the provision can be used from January 2023.
1.1.13 ‘Commencement order’ refers to the Order/ Regulations required to commence section 15 in the Care Act 2014 (and the other associated amendments from the Health and Care Bill) for Trailblazers. Section 15 includes the powers to introduce a cap on care costs.
2.1.1 The Trailblazer early assessments and go-live dates are indicative and will be consulted on with the Trailblazer authorities.
Key Trailblazer Milestones
|
Key Milestone |
Date |
Financial Year of Reform |
i. Trailblazer authorities sign MOU with indicative financial allocations, agreeing to go live with charging reform early, nothing that there will be review points. |
End of March 2022 |
|
ii. Start of Trailblazer programme |
April 2022 |
22/23 (FY 1) |
iii. Regulations and guidance published – start of implementation period (Trailblazers may begin earlier) |
Expected to be May 2022 |
22/23 (FY 1) |
iv. First review point for Trailblazer authorities following finalisation of operational guidance post consultation, taking account of any transitional arrangements for s18(3) |
Expected to be Maylate May or June 2022 |
22/23 (FY 1) |
v. Second review point for Trailblazer authorities before they begin early assessments |
August 2022 |
22/23 (FY 1) |
vi. Early assessments of self-funders begin in Trailblazer LAs |
September 2022 |
22/23 (FY 1) |
vii. Final review pont before Trailblazer authorities before they are included in legislation |
November 2022 |
22/23 (FY 1) |
viii. Commencement of cap on care and new capital limits effective in Trailblazer LAs |
January 2023 |
22/23 (FY 1) |
ix. Early assessments of self-funders begin in non-Trailblazer LAs |
April 2023 |
23/24 (FY 2) |
x. Charging reform ‘Go Live’ in which the cap on care costs and a lower and higher Upper Capital Limit goes live for all local authorities |
October 2023 |
23/24 (FY 2) |
2.1.2 The Department has built in review points into the Trailblazer plans before primary legislation is commenced.
2.1.3 The Department has designed these review points to coincide with times when the Recipient and other Trailblazer authorities will have access to information to move forward with the working arrangements set out in this MOU.
2.1.4 This will work as follows:
· In early March 2022, Trailblazer authorities will sign this MoU, agreeing to implement charging reform according to the Trailblazer timescales and noting the the forthcoming review points. The Department will work with the Recipient and other Trailblazer authorities to share evidence and insight that will inform these review points.
· In May/ June 2022, the Department will finalise operational guidance for charging reform; including taking account of any transitional arrangements for commencement of s.18(3). At this point, trailblazers are invited adopt the approach for commencing s.18(3) that the Department will confirm nationally. By this point, the Recipient will be able to discuss what the s.18(3) approach will mean for their authority and make a decision about how they continue participating in the Trailblazer initiative.
· In August 2022, Trailblazer authorities will have another review point before they begin conducting early assessments in September 2022. By this point, the Department will have shared informtion with the Recipient about the indicative charging reform allocations towards the costs associated with the means test extension, and the Recipient will have completed much of their early implementation activity. If a Trailblazer authority withdraws from the initiative there will be time for their name to be removed from the relevant regultations (affirmative and negative) and the commencement order to commence provisions in primary legislation will not name that Trailblazer authority.
· In November 2022 there will be the final review point before section 15 of the Care Act 2014, along with other associated provisions, are commenced naming the Recipient and other Trailblazer authorites. This will be the final point at which the Recipient can withdraw before legislation is commenced. At this point, the Department will have provided the Recipient with the figures for their final funding allocations for the means test extension and additions funding to move towards a fair rate of care from January 2023. By this point, the Participants will have closely monitored the main cost pressures associated with conducting early assessments, and the Recipient will have identified many of the additional people in their authority that fall within the new means test.
o This review point will be too late for the Trailblazer to be removed from the affirmative regulations which will name their authority, however the Trailblazer will be removed from the commencement order for section 15 in the Care Act, meaning the regulations will have no effect.
2.1.5 At each review point, the Department or the Recipient should inform each other in writing if they do not wish to proceed with the initiative. Otherwise, the Recipient will continue to work towards implementing charging reform activities according to Trailblazer timescales- as outlined in the key milestone table above- and to undertake the actions required of them outlined in this document. The Department will also support and fund the Recipient in the ways outlined in this document.
2.1.6 If the Recipient withdraws from the initiative at any point before the final November review point, then they will no longer be required to undertake the actions outlined below and will no longer receive support and funding from the Department that was due to be paid for the remainder of the financial year 2022-2023.
2.1.7 The Recipient acknowledges that they will not be able to withdraw from the initiative after the November 2022 review point has passed.
Requirements of DHSC
3.1.1 Trailblazers will receive funding to defined limits for (i) the direct costs of charging reform (assessments, means test changes, cap); (ii) to help the Recipient move toward a fair cost for care earlier to reflect the required timeframes; (iii) recruitment and IT system change; and (iv) Trailblazer-specific funding to cover burdens of accelerated implementation.
3.1.2 The Department will outline the indicative funding that the Recipient will receive in FY 1, 2, and 3, based on the Department’s financial modelling.
3.1.3 The Department will share further information about funding allocations to the Recipient as soon as it is able.
Funding for the direct costs of charging reform that all LAs will receive, but that Trailblazer authorities will receive earlier
3.1.4 The Department will provide funding to the Recipient for the direct costs of implementing the reforms, as set out in the Department’s Impact Assessment for Charging Reform. This funding will reflect the fact the Recipient is ‘live’ with charging reform 9 months ahead of other local authorities. This funding will be the Recipient’s allocation of the overall funding quantum the Department has secured for reforms to the adult social care charging system, uplifted to reflect the longer timeframe. This will include:
Funding for early assessments of self-funders
3.1.5 The Department will provide funding for early assessments of self-funders. This funding is intended to cover the salary costs of the resource needed to complete the additional assessments needed for reform, not recruitment costs. Funding towards recruitment of resource is outlined below.
3.1.6 Trailblazers allocation for early assessments funding in 2022/23 will be paid in two installments. The first instalment will be paid in either April or May 2022 and will amount to 50% of the Trailblazers allocation for 2022/23. The Department will use a formula developed in 2014[1] to determine the amount the Recipient will be paid. The Department will ‘consult’ on this formulae and its input data.
3.1.7 The Department will update this formula and its input data in April – October 2022, and it will then adjust the Recipient’s second installment of Early Assessments funding (the remaining 50%) and pay the Recipient by January 2023, based upon the updated formula. The Recipient’s second instalment will be adjusted if they have been over or under funded.
3.1.8 The Department will seek to pay both funding instalments in accordance with Section 31 of the Local Government Act 2003.
Funding for the means test changes and cap costs
3.1.9 The Department will provide funding to the Recipient toward the costs of the means test extension from January 2023-March 2023 to reflect that new users will be receiving local authority support during this time. The Department will seek to pay this funding to the Recipient by January 2023 at the latest under Section 31 of the Local Government Act 2003.
3.1.10 The Department will provide funding to the Recipient toward the costs of the means test (the revised upper and lower capital limits) and the costs associated with the cap on care costs between 2023/24 and 2024/25. This will form part of the Local Government Finance Settlement for the relevant financial years.
3.1.11 The Department is working to update the extension to the means test formula that will be used to calculate the means test funding that will be allocated to the Recipient and other local authorities. This was developed in 2015, and the updated formula will be subject to external consultation. The Department will keep the Recipient updated on developments during the consultation process, and it aims to inform the Recipient of their final funding allocation by November 2022.
Funding to help move toward a fair cost of care
3.1.12 The Recipient will be expected to increase their fee rates in January 2023, when they go-live with charging reform, to help maintain the sustainability of their markets.
3.1.13 The Department will provide additional funding by January 2023 to enable the Recipient to move towards a fair cost of care to cover the period of January- March 2023. The Department will also provide funding to the Recipient to help them increase fee rates in FYs 2023/24 and 2024/25.
3.1.14 To support the Department to formulate its allocation approach for fair cost of care funding in FYs 2023/24 and 2024/25, the Recipient will undertake a fair cost of care exercise and submit market sustainability plans to the Department. Please see more information about this under section 4 of this document.
3.1.15 The Department will inform the Recipient about the quantum of Fair Cost of Care funding it will will receive by December 2022, and will be frequent communication with the Recipient about the Fair Cost of Care policy and funding.
Funding for recruitment and IT system changes required to implement reform that all LAs will receive but that Trailblazers will receive earlier
3.1.16 The Department will also provide funding to the Recipient for the costs of implementing charging reform in FY 2022-23, as set out in the Department’s Impact Assessment for Charging Reform. Trailblazers will receive their fair share of this funding at the same time as other non-Trailblazer local authorities. This is expected to be paid to the Recipient by May 2022. The Recipient will receive the following funding for recruitment and IT system changes to support implementation:
· Y1 (FY 2022-23) implementation funding to support recruitment of resource to conduct assessments, and set up costs. The Department is still finalising how this support should be structured and will confirm allocations in due course. This pot of funding is different from to the early assessments funding, which is intended to cover salary costs.
· Y1 (FY 2022-23) Trailblazers will receive their fair share of funding to support business change costs for technology development. The Department is still finalising how this support should be structured and will confirm allocations in due course.
Trailblazer-specific funding to support early implementation that only Trailblazer authorities will receive
3.1.17 The Department will provide funding in FY 2022-23 to cover the additional costs associated with being an early implementor. This is in addition to the funding that will be provided to Trailblazers outlined above. The exact amount to be provided to the Recipient is to be agreed between the Participants, and once the amount is agreed, it will be outlined in a S31 grant document.
3.1.18 The Recipient will outline the amount of funding it will require from this fund and its plans on how to spend it in the Trailblazer Support Fund Form and send this to the Department. The Department will then enter discussions with the Recipient about the quantum it will receive.
3.1.19 The Recipient will inform the Department if it wishes to spend this funding in a way different from that outlined in this form.
3.1.20 The purpose of this funding is to cover the burden of delivering the reforms to an accelerated timeline, including to work in partnership with the Department to feedback early evidence and insights, co-produce the Department’s implementation plan and approach, and to provide their insights of early implementation to other LAs. LAs could use this funding to put in place a designated lead on planning and implementation of charging reform in the LA.
3.1.21 LAs are encouraged to spend this additional funding that is specifically for Trailblazer authorities on activities related to early charging reform implementation. For instance, the Recipient might use the funding to:
· Recruit transformation professionals to help manage the transition to the new system;
· support sharing and reporting of information and data with the Department team and other LAs;
· participate in the insight generation and evaluation process;
· contribute to events and sharing learning on behalf of the Department;
· acquire resource that can help it assess the number of self-funders in their jurisdiction and model the costs that charging reform might entail;
· hire IT specialists to help manage the system upgrades associated with reform.
3.1.22 The Trailblazer-specific funding can be changed by mutual agreement between the Participants with the Department by way of variation to this MOU.
Financial Reporting
3.1.23 The Department intends that the funding outlined above should be spent to support the following activity only:
· Towards the costs of conducting early assessments reform and towards the costs associated with the changes of the means-test and cap under the reformed system;
· Towards implementation costs of becoming ready to implement reform, including costs associated with IT and workforce readiness.
· The Trailblazer specific funding to support early implementation.
3.1.24 More detail on the purpose of these funding streams will be set out in the section 31 grant determination documents. The Recipient should complete the financial contributions reporting requirements outlined in Annex D. This includes the completion of a Statement of Grant Usage every month and a final Statement of Grant Usage on the completion of the Trailblazer period.
Access to national support
3.1.25 The Department will have a Trailblazer team dedicated to supporting the Recipient and other Trailblazer authorities to implement charging reform earlier. The Department will allocate a Trailblazer support officer to the Recipient, who will work within the Department’s Trailblazer team and act as the Recipient’s first point of contact for raising concerns or asking questions.
3.1.26 The regularity in which the Recipient will meet with the Trailblazer support officer will be agreed between the Recipient and the Department.
3.1.27 The Department will draw upon the expertise of its adult social care delivery team and the knowledge of a range of policy teams within the Department to help the Recipient navigate planning and implementation.
3.1.28 The Department will share information and consult with Trailblazer authorities about the Department’s charging reform planning and delivery approach.
3.1.29 The Department will inform the Recipient about whether any information that is shared with them is confidential or whether it can be shared outside of the Trailblazer cohort. If it is confidential, the Department will clarify whether the information can be shared more widely with other employees in the Trailblazer authority.
3.1.30 The Department will work with the Recipient to respond to briefing requests or media questions about the Trailblazer initiative. The Recipient will not respond to media queries about Trailblazers or produce briefing about the initiative without consulting and asking for and obtaining clearance from the Department.
Access to peer support
3.1.31 The Department will facilitate the sharing of learning and best practice identified during the Trailblazer period among the Trailblazer cohort. For example, the Department will organise meetings and events for Trailblazer authorities to discuss the scheme and provide advice, fostering a peer-to-peer support network. The Department expects this to run these every month. The Recipient will send representative(s) to contribute to these meetings and provide advice to other Trailblazer LAs. The Department will send its plans for peer-to-peer support with the Trailblazer cohort when the cohort is confirmed.
3.1.32 The Department will facilitate learning events in which Trailblazer authorities can meet representatives from authorities that are not part of the Trailblazer initiative and share their best practice and experiences in implementing reform. This will allow the Recipient and other Trailblazer authorities to share their experience and best practice with other LAs.
Early implementation of charging reform
4.1.1 The Recipient agrees to implement the following statutory requirements when the legislation comes into force, which is expected to be at least nine months ahead of wider national roll-out:
· the £86,000 cap on personal care costs (no later than January 2023);
· enhanced lower and upper capital limits of the means test (£20,000 and £100,000 respectively) (no later than January 2023); and,
· the creation of a care account for individuals with eligible care needs.
4.1.2 In addition to implementing the statutory requirements, the Recipient also agrees to implement the following non-statutory requirements:
· To adopt the approach for commencing s.18(3) that the Department confirms in final operational guidance, including taking into account any transitional arrangements. As per section 2.1.4. above, there will be a review point for the Recipient for this matter in May 2022.
· The recipient will assess market sustainability requirements in light of reform ahead of early go live on the statutory requirements. This will involve conducting a fair cost of care exercise and using its findings to create a market sustainability plan ahead of 2023/24, as well as making progress towards paying a fair cost of care in 2022/23. The Department anticipates that the Recipient will have conducted and submitted their cost of care exercises and sustainability plans to the Department by June 2022, but the Department will consult with the Recipient about the exact deadline.
· To begin preparing for the early assessments of self-funders and implement the cap on care costs and changes to the means test capital limits between April 2022 and September 2023. The specific milestones within this period, including exactly when Trailblazers will go-live with charging reform changes, are to be discussed and agreed with the Trailblazer cohort by March 2022.
4.1.3 Trailblazers will be expected to implement the policy as set out in the charging reform operational guidance. This includes changes that are made following the consultation on this gudiance. If changes to the policy are made following the consultation period, then the Department will work with the Recipient to agree an approach to their implementation.
4.1.4 Legislation for these reforms will be commenced early for Trailblazer authorities, and the authorities will be named in secondary legislation after the last Trailblazer review point in November 2022. Once the secondary legislation is commenced, the Recipient will become a confirmed Trailblazer in legislation. The Recipient must carry out its legal duties that come into effect from January 2023. The Recipient understands that the Department will be unable to revoke the commencement of the cap on care costs in respect of the Trailblazer authorities from this point onwards.
4.1.5 If any unforeseen issues arise before the final review point in November that might affect the ability of the Recipient to implement charging reform from January 2023, the Recipient will immediately notify the Department.
4.1.6 If the Recipient encounters any unexpected difficulties after January 2023, they should raise this with the Department through their allocated account manager or during the Trailblazer working group meetings.
Activities
4.1.7 The Department will ask for Trailblazers to feedback on core documents such as the operational guidance from March 2022 onward. Initial activities around this period are expected to include:
· Providing detailed feedback on national operational guidance as part of the consultation, including being consulted by the Department about the themes and comments raised in the response to consultation on charging reform guidance;
· Providing feedback on draft Fair Cost of Care (FCC) guidance that will be provided to all LAs;
· Helping contribute to data monitoring, financial reporting and assurance requirements; and,
· Helping contribute to implementation plans and approach to charging reform, including Trailblazer milestones.
4.1.8 Other co-production activities for the remainder of the Trailblazer implementation period are expected to include:
· helping the national programme’s approach to workforce approaches and IT system requirements;
· co-producing support offers;
· working together to design the second year of funding for the fair costs of care policy;
· working together to produce documents and information updates to support the sector (throughout the Trailblazer period);
· sharing information, best practice and implelmentation plans to other local authorities. Trailblazer authorities will be supported by the Department and/or key sector stakeholders to do this;
· sharing information, best practice and implementation plans to other Trailblazer authorities. Trailblazer authorities will be supported by the Department and/or key sector stakeholders to do this and,
· sharing local implementation plans and models with other Local Authorities.
4.1.9 In instances when the Recipient is sent confidential information by the Department, the Recipient agrees not to share information outside of the Trailblazer cohort. The Department will clarify in these instances whether the information can be shared more widely with other employees in the Trailblazer authority.
4.1.10 The Recipient will be required to complete a fraud plan and fraud risk assessment during the Trailblazer period to be sent to the Department. The type of fraud assessment and deadline for completion will be agreed between the Recipient and Department.
4.1.11 If any party has any concerns about how the MOU is being implemented, they should contact the Senior Responsible Officer (Samantha Atkinson) for the Department’s charging reform programme.
Reporting
4.1.12 The Recipient will share charging reform local delivery plans with the Department.
4.1.13 The Recipient will share data and management information with the Department that will be used for the purposes of understanding Recipient progress in preparing for and implementing charging reform; for informing the national implementation plan and approach; and for programme monitoring and evaluating. The data and management information requirements are outlined in Annex B.
4.1.14 The Recipient will share their experiences or any concerns regarding early implementation with the Department through attending Trailblazer working groups organised by the Department or by raising concerns with their designated Trailblazer support officer.
4.1.15 The Recipient will share their experiences and contribute to learning events organised by the Department and share best practice and their experience as an early implementer to non-Trailblazer authorities.
4.1.16 The Recipient will report any instances of fraud they detect to the Department.
5 Impact evaluation
5.1.1 The Department will evaluate the impact of Trailblazers in relation to Trailblazer and wider charging reform objectives as part of its evaluation of the social care charging reforms. This will include- but not be limited to- analysing the data and information collected from Trailblazers during the Trailblazer period.
5.1.2 The Department is currently exploring options to conduct a formal evaluation of the Trailblazer initiative and might ask the Recipient to contribute to this process. The Department will consult with the Recipient about how they might contribute to this process.
6 Designated Partnership Leads
6.1.1
The Recipient will appoint a senior member of staff to lead on the
work on the Trailblazer initiative. This may or may not be the
person who represents the Recipient at the Trailblazer working
group and other engagement sessions organised by the Department.
The roles and names of these leads are outlined in Annex
E.
This arrangement has no legal status under UK Law or any other law and cannot be construed as a contract or grant agreement in the sense of a legally binding agreement between the Department and the Recipient which is enforceable in the courts. Nevertheless, both Participants intend to comply with its provisions.
Neither Participant will be authorised to act in the name of, or on behalf of, or otherwise bind the other Participant, save as expressly permitted by the provisions of this arrangement. This MOU is not intended to be legally binding and no legal obligations or legal rights shall arise between the Parties from the provisions of the MOU. The Parties enter into the MOU intending to honour all their obligations.
If the Recipient has concerns about how the MOU is being implemented they should notify the Department’s Senior Responsible Officer (Samantha Atkinson). If the Department has concerns it should notify Richard Webb (Corporate Director, Health and Adult Services, North Yorkshire County Council). The Recipient and the Department agree to use their respective best efforts to resolve any dispute that may arise regarding the Trailblazer initiative through informal negotiations. If the dispute cannot be resolved, the Recipient and the Department can terminate the agreement in this MOU before the final review point in November 2022.
Disclaimer
It should be noted that by signing this document or by participating in Trailblazer initiative, the Participants are not committing to legally binding obligations. It is intended that the Participants remain independent of each other and that their collaboration and use of the term ‘Participant’ does not constitute the creation of a legal entity, nor authorise the entry into a commitment for or on behalf of each other.
Signed on behalf of the Recipient [North Yorkshire County Council[AH1] ]
Richard Webb
Corporate Director Health and Adult Services (statutory director of adult social services)
Date 24 March 2022
Signed on behalf of the Department
………………………………………………………................
Date
………………………………….
[NAME,
POSITION]
Annex A- Background and Purpose of the Trailblazer Initiative
1. DHSC will work with several LAs that will ‘go live’ with charging reform earlier than all others. Going live with charging reform will require Trailblazer authorities to conduct early assessments of self-funders in their jurisdiction to prepare for implementing charging reform entitlements, and after this, to implement the £86,000 cap on personal care costs and the more generous upper and lower capital limits of the social care financial means test.
2. Trailblazer authorities will allow the Department to test:
· the demand for the policy among care users;
· the capacity of LAs to implement reform;
· care users’ perspectives of charging reform and its impact on them;
· the technology system architecture requirements for reform;
· the capacity of provider markets to respond to the reform; and,
· support required to enable implementation.
3. As such, the charging reform Trailblazer initiative will generate valuable evidence and insight that will support national roll out. Trailblazer authorities will act as charging reform co-production partners, contributing to the development of the Deptartments implementation plan, guidance, service design, and support offer. Early adoption of charging reform will enable barriers and challenges to be identified early and addressed.
4. The Department will use insight and data gathered from Trailblazers to inform its plans for charging reform implementation, monitor progress, and inform key decision points embedded within the Department’s implementation plan.
Annex B- Monitoring and Information Sharing: Requirements for Participants
Monitoring
1. The Recipient will provide the Department with data and management information with which the Department will monitor the Trailblazer initiative.
2. The Department will outline the data points that the Recipient will collect for the purpose of monitoring implementation. The Department will consult with the confirmed Trailblazer authorities on the data collection requirements and the frequency of collection. The Department will consult with its lawyers when finalising the data collection requirements and ensure they are GDPR compliant. The Department will also consider transparency principles and whether data should be publishable. The Recipient will be required to begin submitting data through the existing Client Level Data Local Authority collection before the early assessments for Trailblazers commence. Also, the Recipient will be required to submit user level data around the results of financial means assessments and metering. The Department will outline the collection method in due course.
3. The Department will monitor this data as well as the informal feedback provided by the Recipient to the Department, and summaries will be presented to the Department’s Charging Reform Delivery Programme Board (see Annex C below). The Department will analyse the data to monitor performance against milestones and assure itself that the Recipient and other Trailblazer authorities are on track to complete the objectives of the Trailblazer initiative according to agreed milestones. It will also use this data to inform its implementation plan and approach for all other local authorities.
4. The Department will analyse this data and inform the Recipient of the findings, as well as the common themes identified in the data provided by other Trailblazer authorities. This will form part of a continuous feedback loop that will help the Recipient plan for potential implementation barriers.
Annex C- Governance and Oversight of the Trailblazer initiative
2. The Charging Reform Delivery Programme Board will provide high-level oversight of the Trailblazer initiative and will focus on the strategic and operational risks to delivery against objectives, and it will do so in its capacity as the overseer of strategic and operational risks for charging reform. The Department may also convene a governance forum specifically for the Trailblazer initiative.
3. The Department’s Trailblazer support team will be responsible for informing these boards about the progress of the Trailblazer initiative, informing them at the earliest opportunity if significant barriers to implementation are recognised. The Recipient will notify the Department of any potential implementation barriers, or funding issues, that should be raised with these boards at the earliest opportunity. The decision as to whether issues are raised with these boards will be a matter for the Department.
4. The Department will monitor Trailblazer progress through analysis of data and information provided by the Recipient and other Trailblazer authorities and through issues raised by the Trailblazer authorities through the Trailblazer working group.
1. The Recipient should prepare a Statement of Funding Usage and send this to Amy Hawkes (amy.hawkes@dhsc.gov.uk) and the Trailblazer shared mailbox. It is expected that this will be required monthly, but the department will consult Trailblazer authorities on the frequency. The Statement of Funding Usage should provide details of eligible expenditure in the period. The Statement of Funding Usage template will be provided to Trailblazers before the first instalment of funding and the department will consult with Trailblazer authorities on the content of the template. The Statement of Funding Usage may be signed by the Recipient’s Financial Director or a person of equivalent deemed responsibility.
2. On completion of the Trailblazer period a final Statement of Funding Usage should be submitted to xxx (xxx.gov.uk) on xxx. The Statement of Funding Usage will be in the form of the interim statements and must be certified by the Recipient’s Chief Finance Officer that, to the best of his or her knowledge, the amounts shown on the Statement are all eligible expenditure and that the grant has been used for the purposes intended.
3. The Statement of Funding Usage submitted to the Department should be accompanied by a report from the Recipient’s Chief Executive or Chief Finance Officer setting out whether he or she has received an audit opinion from the Recipient’s Chief Internal Auditor that he or she can provide reasonable assurance that the Statement of Grant Usage, in all material respects, fairly presents the eligible expenditure in the Grant Period in accordance with the definitions and conditions in this Memorandum.
4. The Recipient will provide evidence of how they have spent the Trailblazer support fund to the Department by xxx. Where possible, the Department can provide advice about which partners the Recipient might engage with to obtain the most appropriate resource.
1. The designated lead member of staff for each Participant will be:
· For the Department, the lead member of will be Amy Hawkes. Where appropriate, Amy Hawkes will delegate responsibility to the Trailblazer team.
· For the Recipient, the lead member of staff will be Richard Webb, Corporate Director Health and Adult Services (pending identification of management lead to support SRO)
2. The designated leads will report about progress through the fortnightly Trailblazer working group meetings and through regular correspondence.
3. All activities and expectations will be reviewed every quarter by the Participants’ partnership leads to ensure that they are being delivered as agreed, and that they are having the intended impact.
4. If Amy Hawkes is unable to continue as lead member of staff for the Department, then Nina Thorpe will assume the role of the lead staff member. If Nina Thorpe is unable to continue as lead member of staff for the Recipient, then Joshua Ravenhill will assume the role.
[AH1]Have deleted the signature (we don’t put these on electronic documents to mitigate against fraud)