Option 2
Interactive Process Tool

Collate information on available supports, good and other services in the area so there are choices available under Option 2.

What makes it work?

• Co-producing the analysis and planning stage of commissioning with providers, community organisations and supported people.
• Gathering the widest range of data and information to create the most complete picture possible.

What stops this working?

• Writing a commissioning/market facilitation plan in isolation.
• Failing to align procurement processes with commissioning priorities.
• Not asking people and communities to help design supports and services.
• Taking a ‘market management’ approach and failing to model/consider the effects of your decision making for people, providers and the wider system.

How do I do that?

• Guide to market facilitation (CCPS)
• Threading the Needle (ESS)
• Asset mapping (individual and community)
• Market facilitation (IPC)
• Coproduction guides

Tell me more about the legislation and guidance

s.19 The Social Care (Self-directed Support) Scotland, Act (2013) highlights the importance of facilitating a range of providers and types of support in an area. People can’t have choice if there aren’t services and supports to choose from.

Develop a flexible procurement/ purchasing process that allows Option 2 budgets to be spent as flexibly as possible

What makes it work?

• Confidence in using the flexibilities open to you as a procurement officer.
• Awareness of the range of processes available (including direct award.
• Proper use of the flexibilities in the Light Touch Regime (LTR) should a framework be selected.

What stops it working?

• Poor pre- market engagement.
• Over-specification, short timescales, unrealistic pricing and de-risking clauses.
• Disproportionate tendering processes.

How do I do that? 

Option 2- a short guide to policy and practice.

SDS and procurement best practice- key points and myth busting (includes useful case studies.)

Tell me about the legislation and guidance.

s.12 of the Procurement Reform (Scotland) Act, 2014.

s.76 of the Public Contracts (Scotland) Regulations, 2015.

Ensure commissioning plans include community development and community resources

What makes it work?

• taking time to co-produce with a wide range of groups (supported people, carers, families, voluntary sector, providers and others.
• Co-producing early in the commissioning process.

What stops this working?

• Consulting groups once the commissioning plan is finished.
• Running consultation events where you tell people what is going to happen instead of listening to their views.

How do I do that?

• resources to help with asset mapping (community and individual)
• resources to help with co-design
• resources to help with co-production

Be clear that Best Value is not just about price in purchasing supports and goods in Option 2

What makes this work?

‘Best value’ in procurement isn’t just about price- it includes quality too. This is of particular importance in the procurement of services for people.

What stops this working?

• Setting a price that is too low to allow providers to pay the Scottish Living Wage for Option 2 budgets.
•  Failing to be transparent about how you have reached the hourly rate (or total budget) figure you have arrived at.

How do I do that?

• CIPFA guidance on working with providers to establish hourly rates.
• Component rate template and other hourly rate resources.

Tell me about the legislation and guidance 

Best value legislation 

Make sure the procurement/purchasing approach is flexible.

What makes this work?

• Taking time to explore all the procurement tools available to you to deliver Option 2.
• Supporting ‘off framework’ purchasing. Operating an open framework that allows you to add new providers easily (where these have been chosen by supported people.)

What stops this from working?

• Assuming you need a closed framework to deliver Option 2.  Refusing ‘off framework’ purchases.
• Adding additional levels of competition to the framework (e.g. mini- competitions) decisions should be made by the supported person.

How do I do that? 

• SDS And procurement- key facts and myth busting.
• Option 2- a short guide to policy and practice (CCPS)
• Option 2- key considerations for procurement officers (CCPS)

Tell me about the legislation and guidance

s.8.24 of the statutory guidance to accompany the SDS Act. 

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

Set up a contract that best expresses people’s outcomes and everyone’s responsibilities and rights.

What makes this work?

• Using accessible language.
• Being clear about contract responsibilities.
•  Refraining from trying to manage social work risk at a contractual level.

What stops this working?

• Lengthy, difficult to understand contracts.
• Using ‘boilerplate’ terms and conditions without reviewing them.  Attempting to place unreasonable business risk on to providers.
• Failing to include mechanisms to allow price renegotiations in longer term contracts.

How do I do that?

• Use our template (editable) contract.

Develop professional knowledge of both Self-directed Support itself and the range of available supports in the area.

Knowledge of Self-directed Support 

Self-directed Support is now the mainstream approach to social care in Scotland following the commencement in 2014 of the Social Care (Self-directed Support) Scotland, Act 2013.

The Act requires that professionals have due regard to the principles of Self-directed Support as they work with supported people to assess their needs; identify their outcomes and arrange supports.

• Involvement: a person must have as much involvement as they wish in both assessment and arranging support.
• Collaboration: practitioners must collaborate with the person through assessment and support provision.
• Informed choice: the person must be provided with any reasonable assistance to express their own view about their options and to make an informed choice.
• Participation & Dignity: treating people with dignity and supporting them to participate applies across assessment, choice- making and support.

Resources

• Statutory guidance to accompany the Self-directed Support Act, 2013
• Self-directed Support Practitioner Guidance
• Social Work Scotland reflections on personalisation and the 1968 Act

Range of available supports

s.19 of the Act requires the local authority to, as far as is reasonably practicable, ensure a range of providers and types of support. While this is primarily the responsibility of commissioning colleagues; social workers tend to have excellent local knowledge of both paid-for and community supports in a local area. The social worker is in an important position to ensure meaningful choice for the person both through talking through the options and helping the person think widely about the type of support and provider they would like to work with.

Resources 

• Search for Support -searchable directory of not-for-profit support providers in Scotland.
• ALISS- a searchable directory of a wide range of community supports in Scotland.

Meet the person (and their family/network) to discuss outcomes and needs.

About

There are a wide range of books and other resources discussing approaches to assessment in social work (See ‘resources’ for a short selection.) Current approaches to assessment emphasise establishing the person’s strengths, assets and personal outcomes with a view to supporting them to be as independent as possible. This aligns with the core principles of the SDS Act and supporting guidance.

It is important to note, however, that social work legislation and most local eligibility criteria are focussed need and in this it can be helpful to see the outcome as the ‘mirror’ of the need. “I want to be more involved in my community (outcome) so I need support to get out of the house (need.)”

Although the focus on strengths and assets is very positive, supported people, and their carers have told us it is important that this focus does not deny the reality of living with social care needs or be used to inadvertently minimise their support requirements.

Resources 

• SSSC Understanding Personal Outcomes
• Strengths based approaches to social work (SCIE)
• IPC- New Developments in Social Care – explores the use of strengths based social work and outcomes based commissioning in practice.
• IRISS accessible Self-directed Support materials for working with people who do not have capacity.

Establish eligibility and explore community and informal resources.

Your local authority’s eligibility criteria should be a public document so that supported people and their families understand the framework in which decisions are made.

Using eligibility criteria to ‘manage’ demand is a contested approach. When, developed or applied incorrectly this can be a major barrier to people getting the support they need.

In 2009 Scottish Government and COSLA developed a National Eligibility Framework with four ‘levels’ of risk (critical, substantial, moderate, low.) However as it is left for local authorities to interpret the definitions of the risk levels there is significant variation in criteria across Scotland.

Where a person is ineligible for council funded support the social worker may put them in touch with community or universal supports that may be able to help.

Resources 

• p18 of the Self-directed Support Practitioner Guidance
• ALISS- a searchable directory of a wide range of community supports in Scotland.
• Community Led Solutions report (a new approach to assessment, eligibility and the social work task.)

Make a plan and establish an indicative budget.

In planning support and setting an indicative budget it is important to ensure

• That the budget is realistic and the person’s outcomes can be met within it.
• That the budget is clear and the reasons for the level its set at are transparent and communicated to the person clearly.
• That the budget is really in the control of the person.
• That the budget can be used flexibly.
• That there are no additional ‘rules’ about what the budget can be spent on- if the expenditure is legal and meets the person’s outcomes then it is legitimate.

Resources

More detailed information about setting budgets and Individual Service Funds in general can be found here: individual-service-funds-isfs-guide

Work with the person to establish the best choice of Option for their plan (this sequence focusses only on Option 2.)

Work with the person to agree their support and the organisation(s) that will provide it.

Helping a person find the right provider and type of support is challenging, particularly in the context of reducing budgets and pressure on frontline social workers. Helping someone find the right provider includes both due dilligence (e.g. Care Inspectorate gradings and financial sustainability) and helping the person find the right ‘fit’.

The 2018 In Control Scotland guide to Individual Service Funds has useful lists of what you can expect from a provider including:

• is the provider clear about what they can and can’t offer and the costs of their support?
• Is their support planning personalised?
• Is the provider set up to provide financial information about budgets in an accessible way?
• Is the provider willing to be flexible about the support they provide and make sure (as far as possible) it responds to changes in your life?

Resources 

• What you can expect from an Option 2 provider 
• Self-directed Support Practitioner Guidance
• ALISS- a searchable directory of a wide range of community supports in Scotland.

Explain and set up the contract between the person, provider(s) and the local authority.

What makes this work?

• Using accessible language.
• Being clear about contract responsibilities.
•  Refraining from trying to manage social work risk at a contractual level.

What stops this working?

• Lengthy, difficult to understand contracts.
• Using ‘boilerplate’ terms and conditions without reviewing them.  Attempting to place unreasonable business risk on to providers.
• Failing to include mechanisms to allow price renegotiations in longer term contracts.

How do I do that?

• Use our template (editable) contract.

Review how the support is working with the supported person.

I think I need support so I get some help to think about it and prepare to talk to social work.

Preparing before you speak to social work can help you think about what you need. It is also useful to think about Self-directed Support and how much control and choice you want over your support.

Resources 

• My Support My Choice- SDS guide for supported people.
• The Scottish Government guide to Self-directed Support for Carers. 
• MySDS Toolkit- a website from Penumbra that can help you prepare to talk to social work. 
• MECOPP Guide to Social Care Law in Scotland.

I, or someone from my network/family make a referral to social work.

You can contact your local authority (Council) to talk about the support you need with daily life. This is called a ‘referral’.

Resources 

• List of social work departments in Scotland.
• My SDS Toolkit: resource to help you prepare to talk to social work.

I discuss my outcomes and needs with a social worker. Other significant people from my life may be involved too.

Your local authority (council) has teams of social workers. They will work with you to find out what is important to you in your life and the support you might need. If they agree you need support they will arrange it with you. This is called an assessment.

Resources 

• Self-directed Support Scotland (SDSS) short video about assessments.
• Self-directed Support Scotland (SDSS) short video about good conversations. 

The social worker explains whether my needs are eligible for formal support.

Anyone can ask for support from their council. Whether or not you get support depends on what your needs are and your council’s rules about what suppor you can get. These are known as ‘eligibility criteria.’

You can bring along someone you trust to talk about your needs. This might be someone from your family or an independent advocate. (2) if you don’t get support from the council the social worker should work with you to find other things (like clubs, community groups or information) that might help you.

Resources

• SDSS ‘get help’ button– this takes you through a few short questions and suggests local support organisations that can help you with Self-directed Support.
• Find an advocate

We make a plan and establish a budget.

A support plan sets out how you will use your money to buy support and how that support will help you live your life.

I choose Option 2 to manage my budget.

With Option 2 you don’t have to manage your money directly but you can direct how it is spent. This means you should know your budget and plan with your social worker how it is to be spent.

Resources

• SDSS video explaining the four options.

I decide who will provide my support.

Your social worker or support organisation can help you find a provider. A provider is an organisation that provides support to people who need it. You can also search for providers on the internet. You can check how good providers are on the Care Inspectorate website.

Resources

• Search for Support helps you find out what providers are available in your area.
• SDSS video: what you can expect from an Option 2 provider.
• The Care Inspectorate checks how good providers are- you can read gradings and reports on their website. 

I sign a contract about my support.

A contract is a written agreement about what support you get and how much it costs. Your contract can be between you, the council and the organisation that provides your support.

Your social worker, support worker or other person involved in your support should explain your contract to you. You can ask for an easy read version if you find it hard to understand. If you don’t understand something it’s OK to ask before you sign.

Resources

• You can see a template contract here.

I get the support I need to get on with my life.

Once your support starts you still have a chance to make changes. You can talk to your provider if something isn’t working. They will work with you to solve any problems.

I check how my support is working and get accessible information about how my budget is spent.

Your provider will check with you if your support is working OK or if there need to be changes. The local authority (Council) might check as well. This is called a ‘review’.

You get regular reports on how your money is being spent. These should be written in a way that is easy to understand.

Develop staff knowledge and skills about Self-directed Support and Option 2.

Most organisations have developed in-house training on Self-directed Support and how it fits with the work they do. A number of online/national resources are available for those who don’t have access to organisational training (listed below.)

• IRISS evidence review- workforce development implications of Self-directed Support.
• Open University Foundations of SDS in Scotland course (free)
• List of current learning resources (from SKSS) 

Provide accessible information about the support/services we provide.

Use knowledge of local community/informal resources as part of support planning.

Organisations don’t simply provide support with the tasks of daily living- support workers connect people to universal services, community and informal groups and resources as part of their work with people. Some providers have dedicated projects or people who can help link the people they support with their local community.

Specific projects include:

• Community Compass (Carr Gomm)
• Centre of Wellbeing (Thistle) 
• The Advisory Group (TAG) – the group is now an independent organisation but started out as part of Key Community Lifestyles
• Loretto Community Engagement and Activity Team

Establish if the budget is sufficient to deliver quality support

What makes this work?

• The local authority is clear and transparent about how it has arrived at a budget/hourly rate.
• The provider is transparent about the components that make up their hourly rate.
• Hourly rates take account of rises in the Scottish Living Wage (SLW) and on- costs.
• Contracts include a rate uplift mechanism (avoiding costly and disruptive re-tendering)

What stops this from working?

• The provider being required to set a multi- year hourly rate at the beginning of a framework/contract.
• Cuts to personal budgets that are applied without discussion with the provider.

Resources 

• Download the living wage guidance and component rate template. 

We sign a contract to provide the support.

What makes this work?

• Using accessible language.
• Being clear about contract responsibilities.
•  Refraining from trying to manage social work risk at a contractual level.

What stops this working?

• Lengthy, difficult to understand contracts.
• Using ‘boilerplate’ terms and conditions without reviewing them.  Attempting to place unreasonable business risk on to providers.
• Failing to include mechanisms to allow price renegotiations in longer term contracts.

How do I do that?

• Use our template (editable) contract.