EXECUTIVE ORDER for Voice Victim and Witness Services

Transcription

1 COMMUNITY JUSTICE SECURITY EXECUTIVE ORDER 0072 Agreement for Voice Victim and Witness Services By the authority of the Police and Crime Commissioner as designated by the Police Reform and Social Responsibility Act 2011, and, by democratic mandate invested in me by the electorate of Northamptonshire, I have taken the following decisions: To approve the decision to establish Voice Victim and Witness services as a Community Limited by Guarantee by 1 st October Equality, Diversity and Human Rights An Equality Impact Assessment was undertaken during the development of proposals Other Advice Taken Advice was taken from Evershed as part of this process. Stephen Mold NORTHAMPTONSHIRE 27 March 2017 POLICE AND CRIME COMMISSIONER

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3 COMMUNITY JUSTICE SECURITY Northamptonshire Police and Crime Commission Supporting Report to the Police and Crime Commissioner Date of Report 24th March 2017 Subject Voice Victim and Witness Services Report Author Vicki Martin, Head of Commissioning 1. Purpose of Report 1.1 The purpose of this report is to set out the approach to providing victim and witness Services in Northamptonshire from 1st October 2017 under Voice. 2. Decision(s) Recommended: 2.1 That the Police and Crime Commissioner for Northamptonshire formally agrees the decision to create Voice into a Company Limited by Guarantee (CLG) with the option to acquire charity status at an appropriate time in the future. 3. Relevant background I Chronology of Key Events: 3.1 In 2013, the Ministry of Justice announced it would be devolving the responsibility of delivering core, (but not all) victim's services locally to each Police and Crime Commissioner. 3.2 Pre-empting this devolved commissioning Victim Voice was undertaken, a consultation with over 1,000 victims in Northamptonshire which revealed their experiences of the criminal justice system and resulted in a series of recommendations for change. 3.3 Victims Voice became part of the needs assessment for the creation of Voice, the Victim and Witness Service in Northamptonshire, and as an early adopter, a threeyear contract was awarded to Victim Support, incorporating the Witness Care Unit of Northamptonshire Police. 3.4 The new service went live on 1st October 2014 and was accommodated at Riverside House in Northampton from summer 2015.

4 3.5 Voice for a Restorative Northamptonshire, a Restorative Justice Service, was also commissioned to join the Voice family from Aug 2014 with the aim of making Northamptonshire a 'restorative county' delivered by Restorative Solutions ending in July Voice Road Harm was added to the Voice family in Nov 2015 as the result of a pilot in the county to provide support to those involved in serious road traffic collisions. The contract was awarded to ASSIST Trauma Care until Oct In 2016 a further addition was made to the Voice family with Voice for Children and Young People, a service designed to offer advocacy and support to children and young people who have been the victim or witness of crime. The service is provided by ASSIST Trauma Care and the contract will end in March A contract for website, PR and engagement for Voice services was awarded to JUMP Media in 2016 for a period of six months finishing in March The Voice brand, website and MyVoice tool have been extensively developed over the last year in order to maximise our reach to the 723,000 residents of Northamptonshire 3.9 A new Police and Crime Plan was adopted in February 2017 with the flowing objectives for victims and witnesses: Victims at the heart of Justice Ensuring support to victims and witnesses in order that they be supported to cope, recover and thrive Swift and sure justice by ensuring victims are supported through the criminal justice system Ensure that Victims' Voices are constantly heard to provide feedback to shape the services they receive 3.10 Current contracts begin to end during 2017 prompting the need to consider the most efficient and effective methods to provide services for the next round of commissioning. 4. Consultation: 4.1 Key stakeholders and provid.ers were consulted as part of our engagement work between September -December A victims and witness consultation was undertaken in early 2017 in order to refresh our Victims Voice report. 4.3 The OPCC has consulted with the Chief Constable and key Force officers. 4.4 Other PCC Offices around England and Wales were also consulted as part of research into this approach.

5 4.5 The Ministry of Justice (MoJ) has also been consulted as one of the main funders of Victim and Witness services in England and Wales. 5. Compliance Issues: 5.1 Is this a decision of 'significant public interest?' The total amount of 1,557,764 ( 847,547 MoJ grant, the remainder from OPCC funding) mean that this is a decision of significant public interest. 5.2 Is the recommended decision consistent with the priorities set out in the Northamptonshire Police and Crime Plan 2014/17? The decision has been driven by the Police and Crime plan strategic objectives for Victims and witnesses as outlined above. 5.3 What are the financial and procurement implications of this decision? Advice has been sought from Eversheds on the legal implications for establishing a CLG for the Victim Hub Support will be given from Eversheds in establishing the CLG for the victim hub Procurement support as required will be sort form the East Midlands Strategic and Commercial Unit (EMSCU) 5.4 Will further decisions be required? No further decisions are anticipated at this time. 5.5 Legal Implications Eversheds will work with OPCC legal support to ensure the establishment of the Victims Hub is complaint with commercial law. 5.6 Risk Management Risks identitied for the establishment of the CLG will be mitigated by support sort from Eversheds Existing risks are captured within the business case 5.7 Has an Equality Impact Assessment been undertaken? Yes and it is available as an appendix

6 6. Evaluation of alternative option(s): 6.1 An options report was compiled prior to the full business case being written to ensure all other vehicles for the delivery of victim and witness services has been considered. Both are available as appendices to this report. 7. List of background reports used to compile this report: 7.1 College of Policing Peer Review documentation 7.2 What Works in Supporting Victims of Crime: a Rapid Evidence Review - Victim Commissioner report 8. List of appendices accompanying this report (if any): Business Case - Voice Victim and Witness Service Options report for Voice Victim and Witness Service Equality Impact Assessment Victim Consultation report Eversheds Report Eversheds table 9. Approvals Date 27/3/17 Has this report been approved by the author's line manager? y Paul Bullen Has this report been approved Martin Scobie by the Chief Executive?

7 Business Case Victim and Witness Services Version Date Changes Author VM Financials and final read over PB FINAL PB 1 P a g e

8 Contents 1. Vision 2. Strategic Objectives 3. Current Position 4. Position for change 5. The Proposal 6. Other options appraised 7. Assessment of the Proposed Option 8. Proposed Governance Arrangements 9. Risks 10. Timescales for implementation 11. Dependencies 12. Plan, Estimated Costs and Timescales 13. Other options appraised 14. Equality Appendixes A- Options appraisal B- Eversheds report C- Eversheds table D- Victims Consultation E- Project plan F- Equality Impact Assessment 2 P a g e

9 1. Vision The vision of the Commissioner is that victims and witnesses in Northamptonshire receive a range of personally-tailored, seamless services from highly skilled professionals that provide all the information, guidance, support and specialist help they need, when they need it. This should be in a simple and easy to navigate pathway for victims to tell their story once, have their needs assessed and then be offered appropriate support in order that they cope, recover and thrive. 2. Strategic Objectives To ensure the delivery of the Police and Crime Plan objectives: Victims at the heart of Justice Ensuring support to victims and witnesses in order that they be supported to cope, recover and thrive Swift and sure justice by ensuring victims are supported through the criminal justice system Ensure that Victims Voices are constantly heard to provide feedback to shape the services they receive 3 P a g e

10 Figure 1: Northamptonshire Police and Crime Plan on a page 4 P a g e

11 3. Current Position Crime in Northamptonshire Over the last 52 weeks in Northamptonshire 53,890 crimes were committed. Of those crimes 50,127 victims were identified. The services under Voice supported over 15,000 people in the county Voice Victim and Witness Services In 2013, the Ministry of Justice announced it would be devolving the responsibility of delivering core, (but not all) victim s services locally to each Police and Crime Commissioner. Pre-empting this devolved commissioning Victim Voice was undertaken, a consultation with over 1,000 victims in Northamptonshire which revealed their experiences of the criminal justice system and resulted in a series of recommendations for change. Victims Voice became part of the needs assessment for the creation of Voice, the Victim and Witness Service in Northamptonshire, and as an early adopter, a three-year contract was awarded to Victim Support, incorporating the Witness Care Unit of Northamptonshire Police. The new service went live on 1st October 2014 and was accommodated at Riverside House in Northampton from summer Voice for a Restorative Northamptonshire, a Restorative Justice Service, was also commissioned to join the Voice family from Aug 2014 with the aim of making Northamptonshire a restorative county delivered by Restorative Solutions ending in July Voice Road Harm was added to the Voice family in Nov 2015 as the result of a pilot in the county to provide support to those involved in serious road traffic collisions. The contract was awarded to ASSIST Trauma Care until Oct P a g e

12 In 2016 a further addition was made to the Voice family with Voice for Children and Young People, a service designed to offer advocacy and support to children and young people who have been the victim or witness of crime. The service is provided by ASSIST Trauma Care and the contract will end in March A contract for website, PR and engagement for Voice services was awarded to JUMP Media in 2016 for a period of six months finishing in March The Voice brand, website and MyVoice tool have been extensively developed over the last year in order to maximise our reach to the 723,000 residents of Northamptonshire 4. Position for Change In the last three years services commissioned under Voice have supported over 50,000 victims and witnesses with practical and emotional support delivered in the county. In order that high quality services can continue to be delivered to victims and witnesses, and that more service users can be encouraged to use Voice, a consolidation of current provision is required and a more sustainable model of delivery developed. Statutory Requirements and Opportunities Voice Victim and Witness Hub and Trauma Service In January 2012 the Ministry of Justice published a consultation paper, Getting it right for victims and witnesses, which outlined proposals for the future delivery of victim and witness services across the country. As a result, the responsibility for commissioning core (but not all) victim services was devolved, with grant funding allocated by population, by the Ministry of Justice, to Police and Crime Commissioners for the provision of local victim services. Northamptonshire was one of the first PCC areas to be an early adopter of this new devolved commissioning and Voice has grown as a result. In Northamptonshire, putting victims first and at the heart of the criminal justice system is writ large in the Police and Crime Plan with an ambition to create a victim-centred, victim-sensitive and victim-shaped criminal 6 P a g e

13 justice service in Northamptonshire. As a result the model for Voice has been evolving over the last few years and the PCC, as the elected representative and the responsible body for the victim and witness service, must ensure that the model is sustainable and dynamic enough to deal with changing needs of victims and to respond to new and emerging types of crime. Current service contracts will begin to expire from July 2017 and no extension options are available within existing contracts. Therefore, a new model of delivery must be explored which is focused on creating a dedicated entity, owned and operated by the PCC to deliver victim and witness services to the people of Northamptonshire. This will create closer working arrangements with statutory and non-statutory services within the county and provide the single point of contact outlined as paramount for the experiences of Victims in Baroness Newlove s report What Works in Supporting Victims of Crime: a Rapid Evidence Review. The PCC also holds a pivotal role within the county in holding the Police Force to account for its activity around supporting victims and witnesses. The creation of a new entity owned by the PCC will allow for a greater level of oversight across both organisations with a new specification devised for the Force to deliver against, a better understanding of the offer from Voice and clearer guidance for officers to understand their role in providing support to victims. A senior member of Northamptonshire Police will be invited to become part of the new governance board for Voice alongside the PCC and independent board members. A new Trauma service will be commissioned for victims and witnesses in the county who require access to therapeutic and trauma based support. This will be based on the current Road Harm service. Recent consultation with victims and witnesses, and with key stakeholders in the county, identified this as a key gap in current provision (some specialist counselling and trauma services are offered in both the Road Harm service and the Children and Young People s Service) for sexual abuse and more generally for adults who require support outside of the clinical mental health pathways. Access to the service will be through the new Voice Victim and Witness Hub with needs assessed by a qualified Community Psychiatric Nurse from the 7 P a g e

14 trauma service. This service will be financed through the efficiencies made from the creation of the Victim Hub and will be commissioned to a suitable provider. At this stage whether this is a single contract or a sport purchase arrangement has not been decided. As the new arrangements for the Voice Victim and Witness hub will not be contracted, any future devolution of victim and witness services from central government would be absorbed within the new entity without the need for lengthy negotiations and contract variations. Operational Drivers for Change Voice has developed over time to be a collection of five contracts under the Voice brand which has created a complex pathway. Whilst this was not the original intention for services commissioned under Voice these arrangements have resulted in some inefficiencies, overlaps and continued gaps which, without further costly and lengthy contract variations, cannot be mitigated under the current arrangements. In order that these inefficiencies are minimised all services under contracts due for expiry in 2017 will be consolidated into the Voice Victim and Witness Hub. The hub will continue to offer the level of service currently experienced by service users but will also look to ensure greater value for money can be achieved with the financial resources available, minimising overlaps and gaps through the development of Voice as entity for the people of Northamptonshire. The new Voice Victim and Witness Hub will be led by a Chief Executive to lead and develop Voice in Northamptonshire whilst also looking to ensure the sustainability of services by attracting funding from other sources available to the organisation. This will enable staff in the OPCC to remain involved as members of the Board whilst the operational delivery and service development becomes the responsibility of the new Voice CEX. 8 P a g e

15 The creation of an independent entity will also enable greater opportunities for collaboration and joint tendering with the third, faith and community sectors in the county as well as with statutory bodies. Financial Drivers for Change Victims Hub Funding constraints will require commissioners to look to protect and sustain victim and witness services by developing innovative models of delivery. Future grant funding from the Ministry of Justice is uncertain so other methods/options of funding services have been considered as part of the drivers for change in services locally. The new Voice victim and witness hub will seek to develop its business model by seeking opportunities for further funding within the teckal exception rules from funding organisations not currently available to PCC s and through the development of its offer to other stakeholders either within the county of Northamptonshire or further afield. VAWG A strategic review of these services will take place during 2017 to inform future service provision of this element. 5. The proposal Scope New arrangements are required for Voice functions commissioned in contracts which expire in 2017 to enable all service provision to align from P a g e

16 The functions of victim and witness services in scope for the proposed new model in 2017 are as follows: 1. Triage and needs assessment, general practical and emotional support for all crime, ASB and fire victims and witnesses. Trauma Support counselling and therapeutic support PR and Engagement support Services currently commissioned through pooled budget arrangements for domestic abuse, sexual violence, Female Genital Multination, Honour Based Violence, staling and online harassment are being considered through the strategic review of services with partners during 2017 and therefore will not alter on the same timescales as the broader Voice changes. Services currently commissioned for Children and Young People under Voice for Children and Young people will continue until March 2019 when they will become part of the new service arrangements commissioned in A contract variation may be considered if further formal integration needs to be achieved with the Voice Victims Hub. Model To enable the delivery of the Commissioner s vision, the Witness and Victim Service is to be delivered through a hub and spoke model. The delivery model will be enabled in three phases of activity:- Phase One 1. A new Hub model from 1 st October 2017 integrating triage, needs assessment, general practical and emotional support for all crime, ASB and fire victims and witnesses. 10 P a g e

17 2. A trauma spoke from 1 st October 2017 providing specialist therapeutic support such as counselling and psychological support. 3. Interim arrangements for ISVA s (allowing a continuation of current arrangements) to allow for continuation of service whilst a VAWG strategic review is undertaken from July Phase Two - 1. Strategic review of VAWG Services to agree funding and scope of VAWG Service provision in the county. 2. New VAWG Model in place by 1 st April 2018 following the strategic review. This will need to consider the strategic review and ensure both strong links to the hub whilst allowing independence to enable victims to gain the support they need without creating barriers to service provision. Phase Three 1. Integration of Voice for Children and Young People into the Hub model from April 2019 Victim & Witness Hub Integrated Voice Spoke VAWG Service Trauma Service 11 P a g e

18 6. Other options appraised Hub An options appraisal of all available options for the Hub and Spokes was undertaken prior to the full business case, to enable the OPCC to rule out some delivery options. For the full option appraisal document please see Appendix A. The options appraised identified two options for the hub: In house service delivery within the OPCC structure The creation of an independent company to deliver the services Advice from Eversheds has been sought to adise on delivery vehicle options (Appendices B & C). As a result of this advice the option to bring Voice in house to the OPCC has been discounted as it offers less flexibility and sustainability than was required for the continuation of victim and witnesses services in the county. The proposed option is outlined in further detail in the next section of this report. Trauma Service spoke As a specialist service gap identified through our recent consultation with victims and witnesses and key stakeholders (see appendix D) in the county a tendered service was felt to be the only viable option available to enable access to support within the county (see Appendix A for further details). VAWG A strategic review is being undertaken during 2017 to inform this model moving forward. 12 P a g e

19 7. Assessment of the Proposed Option Hub The proposal is to develop the Voice Victim and Witness Hub into a Company Limited by Guarantee (CLG) with the option to become a charity at a later date. This will bring together the activity currently commissioned under four separate contracts into one victim pathway creating a single point of contact for victims and witnesses with the county. Witness care will also be retained as an integrated component of the service. All staff within the hub will become restorative justice practitioners enabling the offer of restorative approaches to all users of the service. Website, PR and engagement support will also become part of the Hub responsibilities. A new trauma spoke will be added to the model and will be managed by the new Voice company. Advice from Eversheds (See Appendix A & B) has indicated a Company Limited by Guarantee would be the preferred model for delivery with the option to gain Charity status at an appropriate time in the future. Benefits The following benefits have been identified for the proposed model moving forward: The model will be able to flex and change without the need for formal contract changes, allowing a greater offer to victims and witnesses as and when new trends or needs arise. The Voice culture, values and brand can be maintained and promoted to the public building on previous investment and increasing public awareness of the services available within the county. 13 P a g e

20 The new Chief Executive will be employed directly by Voice and will be accountable to a Voice Board for the operational and business development of the service on behalf of Northamptonshire Police and Crime Commissioner. Support services (legal, finance and HR) are assumed at this stage to be provided via the OPCC support services. Efficiencies will be made through simplification of services and pathways allowing for greater value for money and a sustainable level of provision for the county. The performance management of outcomes for Victim and Witnesses in the county will become more transparent and accountable in a single framework for all voice service based on the cope, recover and thrive principles of Voice. The creation of a company will enable a greater level of engagement and participation with communities in the county. Jobs and volunteer opportunities will be maintained for local people, with local knowledge and skills being applied. Reduce demand across police and partner agencies by enabling victims and witnesses to reduce the risk of re-victimisation or the prevention of victimisation in the first place. Voice will link closely with the work undertaken through the Force, OPCC and statutory agencies on early intervention and prevention to reduce the number of people requiring support from victim services over the next five years. Make more effective use of police and partner resources by reducing overlap in provision of services and creating a pathway in which victim and witnesses need only tell their story once. This will also identify financial efficiencies which can be reinvested into other service for victims and witnesses. Voice will be shaped around evidence of what works both locally and nationally and be strongly focused on the experiences of Victims and Witnesses to shape the service development and delivery 14 P a g e

21 Figure 2: Proposed Functional Model - Hub Figure 3: Hub and spoke activity 15 P a g e

22 The Hub will focus on the following activity: Initial contact and triage with victims or witnesses for any offence type including fire Assessment of need Allocation of support via hub in the form of practical and emotional support including outreach Support through criminal justice processes Offer of Restorative Justice Coordination and referral to specialist support from VAWG or trauma services Step down from VAWG or trauma services Community Psychiatric Nurse provision embedded within the hub Single points of contact for specific offence types will be established within the Victim Care Coordinators for Domestic Violence, Sexual Violence, Roads, Restorative Justice 16 P a g e

23 Support services will be provided by those that provide them for the OPCC currently. It is assumed that TUPE will apply to staff in the current Voice services and so the current personnel will transfer to the new model. Spokes Trauma Spoke As the heath service becomes more stretched so it becomes more difficult for victims and witnesses to access the specialist support they require to help them cope and recover from their experiences. It is with this in mind that we will look to commission access to specialist therapeutic support in the form of counselling and psychological support. Access to this service will be assessed via the CPN Spoc in the Victims Hub and transferred to the specialist provider after assessment of need. Step down support from this service will be provided by the Victims Hub. The CPN will also ensure that local NHS and other clinical pathways are utilised for service users who require it. The existing clinical pathway will always be utilised first with additional support provided where appropriate by the trauma service. Benefits The following benefits (in addition to those listed above for the hub) have been identified: The new service will enable a single referral mechanism through the Victims Hub for both clinical pathways to support or to the trauma service for specialist support outside of clinical pathways. This will ensure that service users 17 P a g e

24 receive appropriate support to meet their needs in a timely way. This will also include step down support from clinical pathways or trauma based support into the Voice hub when the service users requires ongoing support. Greater accessibility for the public to specialist services The new Voice Chief Executive will be employed directly by Voice and will contract manage the trauma service enabling a greater level of collaboration across Hub and Spokes with the service held accountable to the new Voice Board on behalf of Northamptonshire Police and Crime Commissioner Efficiencies will be made in relation to simplification of services being offered to victims and witnesses in the county, allowing for greater value for money, simplification of the pathways for victims and witnesses and professionals and a sustainable level of provision for the county. Proposed operating model - Trauma Service The Trauma Service will focus on the following outcomes: Provide specialist counselling and therapeutic support to enable victims and witnesses to cope recover and thrive. Coordinate referrals to clinical support in the NHS or other clinical pathways available in the county via the CPN embedded in the Victims Hub from the trauma service Providers will be invited as part of their tender to propose a model for delivery of the trauma service outcomes VAWG Spoke This will be considered through the strategic review of services during P a g e

25 8. Proposed Governance Arrangements Voice Victims and Witness Hub The Voice company will be governed by a board compromised of members from associated organisations such as the OPCC and Police Force and supplemented by independent members of the public who will act as Non-Executive Board Members. Remuneration is currently not expected to be provided to Non-Executive Board members, they will expected to volunteer their time to the Board. Reporting to the MoJ on grant funding will remain the responsibility of the OPCC. Trauma Service The Trauma Service will become accountable to the CEX of the Voice Victim and Witness Hub for service delivery. The CEX will then report on all Voice activity via the OPCC as the contract holder. VAWG Services Governance arrangements will be subject to review through the strategic review process in The SARC provision governance arrangements in the county will continue to be through NHS England and the OPCC to reflect the joint commissioning arrangement in place for this element. 19 P a g e

26 9. Risks Risk No. RISK DESCRIPTION AND IMPACT IF OCCURS Likelihood Impact Risk Score Mitigating Action(s) 1 MOJ Victim and Witness grant reduces L M 6 Close conversation with MOJ leads by VM on expected grant amount 2 Resourcing around procurement and legal advice for preferred option. M M 8 EMSCU, Legal and HR to work closely with OPCC reps in regards to managing timescales. 3 Transition timescales provide too challenging for Victim and Witness Hub 4 Creating Company Limited By Guarantee presents uncertainty in the market to bid for Integrated V&W Services Further resource to be brought in to provide extra capacity. M H 10 Legal to be contacted early Jan 17 to ascertain if support and advice can be offered in timescales. Other options to be considered if unable to assist. M M 8 Market engagement events to be held through P a g e

27 5 MoJ do not endorse new approach to Victims Hub L L 4 Formally write to MoJ of intentions 6 Trauma service becomes failed tender M L 6 Could mitigate with extension to current Road Harm trauma service 7 Further failed tender for SARC provision M M 8 Further extension with current providers 10. Timescales for implementation Please see attached Appendix E for full project plan. 11. Dependencies Owner 21 P a g e

28 Early Intervention delivery Working with leads from the OPCC. NCC and Police to ensure more people are helped/diverted away from victimisation prior to it happening in the first place. OPCC/NCC/Police SARC commissioning Close working with colleagues in NHSE to ensure the delivery of SARC provision in the county. Closely aligned to VAWH services review. NHSE/OPCC VAWG Transformation Fund bid Bid for finance to support strategic review of VAWG Services in the county. OPCC leading bid Operation Evolution Police Estates transformation programme in relation to avaible premises for joint working, live links for victims and witnesses and agile working Force/ OPCC Voice Children and Young People Contract variation maybe required to integrate new Voice hub more closely with Voice CYP prior to full OPCC 22 P a g e

29 integration in P a g e

30 12. Plan, Estimated Costs and Timescales FUNDING INCOME Table 5.1 sets out current funding streams to the Office of the Police and Crime Commissioner projected for the next five years. This forecast is based on currently available information and a set of growth and reduction assumptions. Table 5.1: Funding Streams and Five Year Projections Amount Source Yr 1 (2017/18) Yr 2 (2018/19) Yr 3 (2019/20) Yr 4 (2020/21) Yr 5 (2021/2022) Comment Ring-fenced grant for victims Ministry of service provision and restorative 847, , , ,062 Justice Grant* justice (assumed 2% annual reduction p.a.) Witness Care Current Force budget incorporated 150, , , , ,000 Funding for completeness Estimated PCC Funding available PCC funding 615, , , , ,000 based on current spending (assumed as flat ) 24 P a g e

31 VAWG Services 254, , , , ,048 TOTAL 1,811,812 1,794,861 1,769,943 1,745,773 1,722,328 Estimated pooled budget allocation plus NHSE commissioning for SARC (assumed this remains stable) Notes 1. Victim Support Contract ends in September Restorative Solutions Contract ends in July RoadHarm contract with Assist Trauma Care ends in October Children and Young People service with Assist Trauma Care ends in March 2019 Future Model 2017/ / / /21 Notes Set Up costs 100,000 Assumes legal and IT support required (i.e. case management) Brings together 1. to 5. below in 18/19 plus an additional new member of staff to increase capacity. Includes 6. from 20/21 New Staffing Model 977,036 1,027,036 1,167,036 plus additional capacity if required 1. TUPE VS Staff 283,518 Half year costs 2. TUPE RS Staff 15,000 Half year costs 3. TUPE RoadHarm link role 15,000 Half year costs 4. TUPE Witness Care Staff 150,000 Full year costs included as comes from Policing budget either way 5. Additional Staff 90,000 Assumes half year costs and includes new CEX 6. TUPE CYP Staff 140,000 Assumes that TUPE occurs for those staff dedicated to Voice CYP from 1 Other Costs 35,000 70,000 70,000 70,000 Estimate to cover things like training, printing, travel etc 25 P a g e

32 Assumes in place from Oct 17. Assumes additional may be required pos Lease costs (post VS contract) 65,000 40,000 In case required in short term - assumes break by mid 18 at latest CYP Contract 296, ,000 Ends 31st March 19 Victim Support Contract+Lease costs 347,560 Ends 30th Sept 17 Restorative Solutions Contract 30,000 Ends July 17 RoadHarm Contract 45,000 Assumes end Oct 17 New Trauma Contract 60, , , ,000 CYP contract SARC & ISVA 130, , , ,000 Assumes no change VAWG Pooled Budget 125, , , ,000 Assumes no change at present TOTAL 1,787,078 1,758,036 1,662,036 1,662,036 Available Funding 1,811,812 1,794,861 1,769,943 1,745,773 Surplus/Deficit -24,734-36, ,907-83, P a g e

33 13. Equality Impact Assessment The Equality Impact Assessment is concerned with anticipating and identifying the equality consequences of the potential change in governance and delivery model. Any negative consequences identified for a particular group or community should as far as possible be eliminated, minimised or counterbalanced by other measures. The intention of this change in governance and delivery model is concerned with ensuring sustainability of model, efficiencies of service and ultimately a greater offer to victim and witnesses in Northamptonshire There is not therefore believed to be any adverse impact on any group as a result of this change in governance. Please see Appendix F for full EQIA 27 P a g e

34 28/03/2017 Options Report FINAL Victim & Witness Commissioning Version Date Changes Author /12/16 VM /01/17 Updated VM Review by Date Role PB 06/01/16 Director of Delivery 1

35 28/03/ Vision The vision of the Commissioner is that victims and witnesses in Northamptonshire receive a range of personally-tailored, seamless services from highly skilled professionals that provides all the information, guidance, support and specialist help they need, when they need it. 2. Strategic Objectives To ensure the delivery of the Police and Crime Plan objective Victims at the heart of Justice by ensuring support to victims and witnesses and by enabling swift and sure justice. 3. Options Consideration This document sets out the preferred options for commissioning the supply of Voice services for Victims and Witnesses of Crime, ASB and Fire incidents after consideration of all the options, benefits and risks. 4. Scope 4.1 The functions of victim and witness services in scope are as follows: Triage and needs assessment, general practical and emotional support for all crime, ASB and fire victims. Specialist emotional and practical support services covering the following areas: - Domestic Abuse - Sexual Violence - current & historical offences, CSE - Female Genital Mutilation and Honour Based Violence Trauma Support counselling and therapeutic support PR and Engagement support 4.2 Services currently commissioned for Children and Young People under Voice for Children and Young people will continue until March 2019 when they will become part of the new service arrangements commissioned in Operating Model 5.1 To enable the vision, the proposed model for the Witness and Victim Service is to deliver services via a hub and spoke model. 2

36 28/03/2017 Hub Spoke Spoke Spoke Fig 1: Hub and Spoke model 5.2 All Victims and Witness will enter the service through the Hub where cases will be triaged and needs assessed before being connected into support either offered via the Hub or via a Specialist spoke. 5.3 Victims and witnesses will be able to transfer seamlessly between the Hub and Spokes at any time in the life time of their support. 5.4 Further spokes may be added at a later date if required 5.5 A period of 3 years is envisaged as a minimum for the new model to bed in with any commissioned services also have the ability to be extended via a plus one, plus one clause in contracted timescales. 5.6 Interim arrangements to progress towards this model being fully operationalised maybe required and details are outline in the options in this report. 3

37 28/03/2017 Preferred options Victim & Witness Hub Preferred Option 1: HUB In House OPCC/Charity creation Integrated Voice Spoke Preferred Option 1: Integrated Voice Spoke Violence Service Trauma Service Preferred Option 1: Integrated Voice Spoke Violence Service single tender/consortium bids Trauma Service single tender PR and Marketing Preferred Option 1: Integrated Voice Spoke Integrated within HUB 4

38 28/03/ HUB Option 1 - Preferred option for delivery for Victim and Witness HUB To develop the Voice Victim and Witness Hub into an entity of its own either as a subsidiary of the OPCC with the option to explore becoming an autonomous entity of its own when powers become available to PCC s or by establishing a charity set up by the OPCC (as per the arrangements in Northumbria see attached appendix 1). Services currently commissioned for Children and Young People under Voice for Children and Young people will continue until March 2019 when they will become part of the new Hub service arrangements. Scope to include: All offence types including ASB and Fire victims Restorative Justice/Practices offer to all victims Witness Care offer with witness notification by Police staff to be transferred back to Force. Community Psychiatric Nurse provision funded by OPCC within hub Support staff to be community based Benefits A full business case is still to be developed to outline a fully costed operating model. However the following benefits have been identified at this time. Dynamic model which can be flexed without the need for contractual changes Voice culture and brand can be maintained and promoted to the public CEX/Operations Manager to be directly employed by the OPCC/Charity to run service on our behalf and report to Head of Commissioning. Potential cost saving on simplification of contractual arrangements Improved performance management Greater accessibility for the public 5

39 28/03/2017 A better deal for victims Greater engagement and participation of communities 7.0 Spoke 7.1 Option 1 Preferred model Integrated Voice Spoke single provider/consortium of providers Single Tender with two LOTs in the following areas: 7.2 VAWG Spoke Domestic Abuse Service - Independent Domestic Violence Advisor (IDVA) provision across for those assessed as HIGH on DASH - Medium to low DASH provision - Family based support NCC/OPCC co-commissioned service - Refuge provision commissioned and coordinated centrally on behalf of the CEX Sexual Violence - Independent Sexual Violence Advisor (ISVA) provision - Child Sexual Exploitation (CSE) support NCC/OPCC cocommissioned service Female Genital Mutilation (FGM) / Honour Based Violence (HBV) - Prevention and support offer Benefits A full business case is still to be developed to outline a fully costed operating model. However the following benefits have been identified at this time. Sustainable Funding model Sustainability for staff and victims Greater collaboration of specialist services Single referral mechanism through the Victims Hub Access to step down support through Victims Hub Potential cost saving on simplification of contractual arrangements Improved performance management Greater accessibility for the public A better deal for victims Greater engagement and participation of communities 6

40 28/03/2017 It is expected that benefits mapping and profiles will accompany the business case. An assessment should be made of the achievability of the identified benefits. The Home Office VAWG Transformation fund will be applied for in order to build the work required for a fully integrated service. OPCC are leading on the bid on behalf of the county. Commitments from CEX s for pooled budget on VAWG to be agreed for a three year period rather than year on year basis as is the current arrangement. 7.2 Option 1 Preferred option - Trauma LOT Single tender for Counselling and Therapeutic Support Access to specialist counselling and therapeutic support assessed via the Victim Hub but provided by specialist provider. Step down support provided by the Victims Hub. Benefits A full business case is still to be developed to outline a fully costed operating model. However the following benefits have been identified at this time. Single referral mechanism through the Victims Hub Access to step down support through Victims Hub Greater accessibility for the public to specialist services A better deal for victims It is expected that benefits mapping and profiles will accompany the business case. An assessment should be made of the achievability of the identified benefits. 7.3 Option 1 Preferred option - PR and Marketing for Voice Integrated within the Voice hub responsibilities. PR and marketing for all Voice services including the Hub and Integrated Service from a PR and Market organisation. For both top down (traditional media engagement, social media, media campaigns, websites) and bottom up provision (community based promotion and engagement) of PR and marketing to raise awareness of services offered to victims and witnesses within Northamptonshire. Benefits 7

41 28/03/2017 A full business case is still to be developed to outline a fully costed PR and Marketing requirements. However the following benefits have been identified at this time. Designed and implementation of PR and Marketing provision on behalf of Voice across services Greater accessibility and engagement for the public with Voice via multi channels approach Both proactive and reactive support for services being delivered under Voice so they can get on and deliver support victims need. It is expected that benefits mapping and profiles will accompany the business case. An assessment should be made of the achievability of the identified benefits. 8.0 Further Options Considered and Discounted 8.1 HUB Option 2 - Out to market single provider Hub tendered out to the market and single outside provider awarded. Option discounted: Does not provide the level of service flexibility required because of contractual arrangements. Could result in subcontracting and therefore lack of direct control Potential for higher pricing as a result of subcontracting by prime provider 8.2 HUB Option 3 - In house Force Hub function brought in house with staff employed by the Force. Option discounted: Would not be independent of Police and therefore Victims not known to police could be discouraged from using the service Higher salary costs due to TUPE and pensions contributions than current salaries and pensions. Does not provide the level of service flexibility required because the service would still have to be contracted with the Force. 8.3 HUB Option 4 Out to market multiple providers 8

42 28/03/2017 This is seen as the do nothing option in that it represents the current model of delivery which could be repeated for the recommissioning of Victim and Witnesses Services. Option discounted: The model has resulted in inefficiencies in contractual arrangements, duplication of service and does not represent value for money. 8.4 HUB Option 5 First for Wellbeing Mutual s and Community Interest Companies have become more popular with commissioning organisations as the preferred model of delivery for services. As such First for Wellbeing a CIC set up by NCC, NHFT and UoN has been considered as an alternative to the options outlined above. Option discounted: Health objectives because of CIC ownership are focused on Smoking Cessation, Weight management, Financial support, Social Inclusion, Alcohol, Housing support and Employment and Adult learning. Victim specific needs could be subsumed into these health outcomes making it difficult to prove outcomes for MoJ ring-fenced funding. The OPCC would become a customer of FfW not part of the board. FfW driven by NCC, NHFT UoN objectives which could be at odds with PCP. Politicisation of FfW could present a barrier to delivering best service to Victim and Witnesses in Northamptonshire. PCC has yet to have a seat on Health and Wellbeing Board where strategic discussion on HWB outcomes take place presenting a risk to our strategic oversight of HWB services. 8.5 Spoke Option 2 Out to market Multiple Providers for each area of violence This is seen as the do nothing option in that it represents the current model of delivery and funding which could be repeated for the commission of Integrated Victim and Witnesses Services. Option discounted: The model has resulted in inefficiencies in contractual arrangements, duplication of service, unsustainable funding and does not represent VFM. 8.6 Spoke Option 3 Charity/CIC creation Creation of Voice entity to deliver specialist support services. Option discounted: Specialist national and local providers available to work collaboratively. 9

43 28/03/ PR and Marketing Option 2 In House in Voice Hub PR and marketing requirement of Hub and Integrated Voice Hub Option discounted: Specialist provision required that does not impact operational delivery of support. 10. Risks and dependencies of preferred option Risk No. RISK DESCRIPTION AND IMPACT IF OCCURS Likelihood Impact Risk Score Mitigating Action(s) 1 MOJ Victim and Witness grant reduces L M 6 Close conversation with MOJ leads by VM on expected grant amount 2 CEX funding for VAWG reduces significantly M H 10 Early briefing of CEX group in Jan 17 by VM. 3 CEX do not agree the model around VAWG moving forward 4 Resourcing around procurement and legal advice for preferred option. CEX & SRO to brief CEX s in the county on model. M H 10 Early briefing of CEX group in Jan 17 by VM. CEX & SRO to brief CEX s in the county on model. H H 12 EMSCU & Legal to be contacted early Jan 17 to ascertained if support can be offered in timescales. Other options to be considered if unable to assist. 10

44 28/03/ Staff costings likely to increase because of pension contributions and if TUPE applies. 6 Creating in house/charity model for Victims Hub presents uncertainty in the market to bid for Integrated V&W Services H H 12 Legal to be contacted early Jan 17 to ascertained if support and advice can be offered in timescales. Other options to be considered if unable to assist. M M 8 Market engagement events to be held in early Mutual creation by NCC creates an unstable market place for providers to bid for Integrated V&W Services M M 8 Market engagement events to be held in early Changes to CEX governance membership meaning OPCC and CCG no longer members. M L 6 New governance function for VAWG to be established Dependencies Early Intervention delivery SARC commissioning VAWG Transformation Fund bid Owner OPCC/NCC NHSE/OPCC OPCC leading bid 11. Plan, Estimated Costs and Timescales 11.1 Timescales 11

45 28/03/2017 Issue Commissioning Intentions for Victim and Witness Services for the next four years outlining stages below by Jan/Feb Stage Voice Service element Timescale Strategic Owner 1 Voice Victim Hub By Oct 2017 OPCC 2 Integrated Hub VAWG Service 1 Integrated Hub- Trauma Service 1 Integrated Hub- Interim ISVA provision 3 CYP victim & witness services incorporated into model 4 Recommission all Victim & Witness Services By April 2018 By October 2017 By July 2017 From March 2019 October 2020 DA/Refuge element CEX Group VAWG group NCC OPCC OPCC CCG OPCC OPCC 11.2 Plan Voice V&W Hub Stage 1 Work stream Governance Expected Business Case/Specification development Consultation with effected staff, Unions Mobilisation of new entity De-commissioning of current contracts OPCC SRO delivery date Jan/Feb 2017 OPCC SRO March 2017 OPCC SRO April 2017 OPCC SRO From May/June 2017 New model starts OPCC SRO From 12

46 28/03/2017 Integrated Services V&W Trauma Service Spec developed ISVA interim arrangements - ISVA CSE Support interim arrangements Pedi SARC Adult SARC Stage 2 October 2017 OPCC SRO Jan/Feb 2017 OPCC SRO From July 2017 OPCC SRO From April 2017 NHSE From July OPCC 2017 NHSE From Oct OPCC 2017 Integrated V&W Services VAWG Work stream Governance Expected delivery date Domestic Abuse OPCC From March IDVA NCC 2018 MARAC CEX Group Refuge Sexual Violence new arrangements CSE new arrangements OPCC CCG OPCC NCC From March 2018 From March 2018 FGM/HBV new arrangements OPCC NCC From March Budget The following table outlines where current funding is derived from. Further forecast will be required Project Voice V&W Hub Voice Integrated V&W Hub - VAWG Voice Integrated V&W Hub Trauma Funding From MoJ V&W grant OPCC precept VAWG pooled budget OPCC precept MoJ V&W grant MoJ V&W grant OPCC precept 13. Governance 13

47 28/03/2017 OPCC Programme Management Governance of Victims Hub Governance of Integrated Victims Service Owner SRO Paul Bullen/Martin Scoble Programme Manager Vicki Martin OPCC/COT CEX Group for VAWG funding NCC DA family support funding OPCC/CCG/NCC Sexual Violence funding 14

48 FURTHER ADVICE ON VOICE INITIATIVE 1. Background 1.1 This advice builds upon advice: dated 22 June 2015 concerning various initiatives being considered by Northamptonshire Police & Crime Commissioner (the PCC ) which involve consideration of alternative delivery structures as part of facilitation of greater financial independence and development as sustainable service offerings for the PCC and third parties; and dated 27 November 2015 which considered in further detail the opportunities for the victim support services, identified as Voice, the development of the alternative delivery vehicle model and the further steps that will be required to be taken to support such development 2. Objectives of this advice 2.1 The service for Voice is currently provided under a number of separate contracts. All of these (bar one) will come to an end this year, As such, now seems the right time to establish the new model for taking forward the services. In order to implement a transition from the services being provided through the external contracts to provision by a new entity owned by the OPCC, the entity would have to be established by October In order to facilitate the establishment of the new entity ( NewCo ), we have been asked to address the following questions: What is the best type of structure for delivering Voice? Would it be better to take the service in house and then transition later on to a new entity further down the line or would it be better to set up a corporate vehicle from the start? What would the journey look like in relation to establishing the relevant entity? 2.4 The advice is provided having regard to the requirements for the services which are based on an update of the requirements identified in our earlier advice: OPCC maintains an ownership/high level control in Voice but Voice is allowed to operate with a degree of independence (model in mind is an arm s length organisation); That the PCC can discharge the statutory duties to commission victim services by commissioning through Voice rather than directly, and that this approach to commissioning should not lead to procurement complications (i.e. Voice would not need to be bid for each contract along with other providers); Voice may continue to be a commissioning body, themselves commissioning other providers, but with many of the contracts now falling in there may be opportunity to expand self-reliability; Voice should be able to trade to ultimately reduce the financial requirements on the OPCC 3. Summarising the position from previous advice 3.1 Our advice note of 22 June 2015 concerning various initiatives being considered by PCC identified in relation to the proposals to establish entities to undertake the various functions that in broad terms: car_lib1\ \ February 2017 jamiess

49 3.1.1 In establishing each of the initiatives we would need to work with you to assess the likely impact of state aid considerations We would need to work with you to understand more about the scope and nature of the services to be provided in each case to the Force or PCC (where and as applicable) to ensure that procurement issues are addressed and exemptions applied where available An analysis would need to be undertaken on a case by case basis to understand the likelihood of employees (who are currently dedicated to the relevant initiative) transferring with the related services to the new entity once established, as a result of the application of the TUPE Regulations There were no material issues that would prevent the initiatives from being taken forward as described in the note. 3.2 Our advice note of 27 November 2015 which considered in further detail the opportunities for the victim support services, concluded: significant control could be retained through many of the models available for delivery of the service and using different mechanisms (eg shareholding voting, board membership, terms of funding and reserved matters/special rights); however it was necessary to ensure that the level of control retained did not undermine the purpose or benefits of establishing a separate entity to provide the services; it was possible for an entity to be structured so as to meet the requirements of regulations 12 of Public Contracts Regulations 2015 (the Teckal exemption) so that the services could be provided back to the OPCC without the need for successful participation in an OJEU competition for such services; The Teckal exemption requires: the controlling public body (PCC in this case) to exercise over the entity similar control to that which it exercises over its own departments; more than 80% of the activities of the entity are carried out in performance of tasks for the controlling public body; and there is no involvement of private sector capital (ie a private sector body does not benefit from the position of the Teckal entity), It is worth noting here that the Teckal exemption can also be used in the case of more than one public body wishing to establish a jointly owned entity which provides services to each of them with similar tests applied. However, each public body must exercise control jointly with the others and each controlling public body has to be represented at each level of governance in the entity. There continues to be some uncertainty over how the joint exercise of control should be demonstrated but the usual approach is to ensure that there is representation on the board and as a shareholder and to provide for reserved matters on which the consent of each of the shareholders is required before the company can take actions on those reserved matters; In that context it is worth remembering that the 20% threshold relates to activities of the entity and this is usually measured in terms of turnover generated from those activities. It is not dependent on the source of the funding for those activities but rather for whom those activities are undertaken ie whether for the controlling contracting authority (pursuant to a function of the controlling contracting authority) or for a third party (who is commissioning the services); car_lib1\ \ February 2017 jamiess

50 3.2.6 however, there were implications for sub-contracts (potentially having to be procured) and future development of the business would need to be considered as part of the design blueprint for the entity; it may be possible to structure the entity and its activities to enable it to provide procurement services for others but this would need to be carefully considered in structuring the arrangements to avoid undermining satisfaction of the Teckal exemption and to provide a workable model for other authorities to use; PCC could also establish an entity which would generate income from services to others; however there is a tension between the objective of generating income from services to others and the avoidance of the entity having to secure work from the PCC by winning OJEU procurements undertaken by the PCC. Accordingly there may be a need to phase the development of the structure so that (1) the Teckal exemption applies to the entity for the services to PCC but (2) a second entity is established to trade with others once the level of service warrants that approach due to the risk of undermining the Teckal exemption for the first entity; it was recommended that a business case for the proposals should be developed which would analyse and test the validity of assumptions, the opportunities and risks associated with the establishment of an alternative delivery mechanism for this service. This would in turn assist in designing the best fit solution; in conjunction with the final stages of development of the business case, we considered it would be appropriate to consider developing: the governance arrangements for the initiative (ie responsible person, monitoring, reporting and target setting as well as integration of decision making); and the business plan for the model (ie the plan which would set out how the business intends to achieve the objectives/expectations/targets). 4. What is the best structure for delivering Voice? 4.1 We have included in Appendix 1 to the report a table providing an explanation of a variety of structures capable of being adopted for alternative delivery of services, showing characteristics of each which are relevant when making the decision on which to implement. 4.2 We have also attached at Appendix 3 some of the considerations in deciding whether to establish an entity as a charity. 4.3 We have noted that Victims First Northumbria was established as a company limited by guarantee with charitable status. Unfortunately it has not possible to access any reports or decisions which set out the key issues which were considered when deciding upon the suitability of alternative structures to meet their needs. Nevertheless, the decision accords with our initial expectation set out in our advice of 22 June 2015 and usefully there has been no suggestion that there has been any difficulty having adopted this approach. 4.4 The delivery of support to victims of crime and witnesses can be undertaken through a number of the alternative structures referred to in Appendix 1, though each would involve different levels of adaptation and some would still appear unfamiliar or inappropriate (eg the use of a company limited by shares which is associated with organisations wishing to pursue commercial objectives). 4.5 We consider that the best model for Voice (at least initially and based on our understanding of how you consider the services will develop over time) is a company limited by guarantee. The advantages of a company limited by guarantee are: car_lib1\ \ February 2017 jamiess

51 4.5.1 it is well-understood and well-recognised where activities are not being pursued for the purpose of making profits. This: reduces potential complications for those required to manage and operate the vehicle; makes it easier for others to identify the character of the entity as a non-profit distributing body (even though companies limited by guarantee can make profits and distribute them there is no ready mechanism to do so and it is usual in the articles to make them non-profit distributing whether or not they are charities); enables others having any commercial dealings with the vehicle, (such as banks and suppliers) to be comfortable in understanding its status and the issues it needs to check; supports the development of the brand for a non-profit orientated service such as Victim Support, because of its familiarity; it is common to use company structures when applying the Teckal exemption and so the adaption of the model to meet those requirements is well tried and tested; it is easy to adapt/expand to include other public bodies pursuant to a multiauthority Teckal venture in the event that this is pursued in the future; whilst the standard articles provide the basic structure and detail of how the entity will be governed allowing it to be established quickly and easily, the structure can also be readily adapted to meet the specific requirements of the project for which the entity is being established and to meet changing requirements; it has the scope to obtain charitable status, but it is not necessary to apply for that immediately if that is not desired. Although there would then be the problem of having two regulatory bodies if that route is chosen, it has the benefit of flexibility to choose if and when to pursue a charity route. This is compared to the Community Interest Company option which is automatically subject to the regulation by both the Companies Registrar and the Regulator of CICs; it does provide ring fenced liability, liability being limited to the amount of the member s guarantee; it can easily be drafted (as is often the case) to provide for asset lock, which is often a requirement for receipt of some funding and is also a requirement if the body is to benefit from the any relief from Non-Domestic rates (provided for charities and subject to discretionary rules to certain non-profit distributing entities); and in the event that provision of services to other bodies develops such that the Teckal exemption of the CLG is threatened (see above) then a trading company (which may take the form of a company limited by shares or a Limited Liability Partnership subject to advice as to the most appropriate vehicle at the time) may be considered, to work alongside the CLG. 4.6 Recommendation Accordingly the recommendation is to establish Voice as a company limited by guarantee ( CLG ). 5. Transition of services 5.1 The options are: car_lib1\ \ February 2017 jamiess

52 5.1.1 Take the services in-house first and provide for later transfer to the entity Transfer the services immediately to the entity (based on the entity having the replacement service contract) 5.2 Competitor challenge considerations: Procurement You have asked whether the approach to transition might impact on the risk that one or more of the existing suppliers might wish to seek opportunities to challenge the decision to deliver the services in-house or through a Teckal entity; Existing suppliers may well be reluctant to accept the change in delivery of the services as this will limit opportunities for them to provide any of the services (though clearly there may be opportunities for them to be engaged to deliver parts of the services as sub-contractors or by appointment of the in-house team); In respect of the establishment of Victims First Northumbria in 2015 by the Northumbria PCC there were unhelpful media articles concerning the loss of jobs in one of the national existing suppliers arising from the transfer, concerns by victims of withdrawal of support or lack of information as well as issues raised which were brought to the attention of the MoJ (regarding the propriety of use of public monies in setting up the charitable entity in which the PCC was a director). The PCC responded to such criticism with the confident statement that "All Ministry of Justice procedures and protocols were adhered to"; The establishment of a Teckal organisation to deliver services does provide potential for procurement challenge in terms of whether the arrangements do genuinely comply with the requirements of regulation 12 of the PCR Nevertheless, we don t consider that this should have any significant influence on the decision between the approaches in paragraph and There are no reasons why the entity should not be set up so as to comply with regulation 12; Consequently we advise that: the OPCC communications strategy which we recommend is put in place (see below) should include the media strategy for the announcement of the proposals and responding to press speculation and comment; careful consideration is given to ensuring compliance in spirit and form with the MoJ Victim Support Commissioning Guide (which is designed to guide commissioners both nationally and locally on how to commission services) and any other relevant protocols; and consideration is given to the best approach for providing information in progressive stages during the period leading up to the transfer and also engaging with suppliers, in order to manage expectations and anxieties. 5.3 Competitor challenge considerations: Public Law There is also potential for challenge (as for any decision of the OPCC) on public law grounds whichever approach is adopted based on such matters as: whether consultation was required in respect of the change in approach and if so whether any consultation was carried out appropriately and early enough so that it could influence the decision; car_lib1\ \ February 2017 jamiess

53 whether the decision is based on sound reasons (ie whether it is Wednesbury reasonable) and only has regard to all relevant matters (and no irrelevant ones). This includes the need to consider how the decision will assist the PCC in complying with the obligations under the Police Reform and Social responsibility Act 2011 such as the duties under section 17 to have regard to the views of people in the area about policing in that area and complying with the financial code of practice; whether there has been anything said or done which may have given rise to a legitimate expectation that is being breached by the proposals, 5.4 Competitor challenge considerations: Consultation The main triggers for requiring consultation are where there is an express statutory duty or a duty is implied in the circumstances (which includes existence of a legitimate expectation or where it would otherwise lead to conspicuous unfairness). There is no general duty for a public body to consult as that would fetter the administration of government; The PCC has to comply with the code of practice issued under section 32 of the Domestic Violence, Crime and Victim s Act 2004 under which PCC is a commissioner responsible for commissioning practical and emotional support services for victims of crime. There is no express duty to consult on service provision under the code, although the PCC is obliged under the Police Reform and Social Responsibility Act 2011 to consult with them about matters concerning the policing of their area under the Police Act 1996 (including the proposals for expenditure in the following financial year); Under the MoJ guidance in paragraph 3.3 on Principles of Good Commissioning which recommends the Audit Offices 8 principles of good commissioning which if embedded could provide efficiency gains and community benefits, through smarter, more effective and innovative commissioning, and optimal involvement with third sector organisations in public service design, improvement, delivery and holding the public sector to account. This should result in better public outcomes for individuals and communities. The first principle is Understanding the needs of users and other communities by ensuring that, alongside other consultees, engagement is made with the third sector organisations, as advocates, to access their specialist knowledge The legislation also clearly indicates an enhanced importance of inputs of victims of crime into the services provided by the police and the way they are provided. Accordingly, if the proposed changes to the services are considered to be material, a duty to consult may be implied; If a challenge was made against PCC for having made the decision to change the delivery of the services without any prior consultation then if successful it could in theory stop the arrangement and require the decision to be remade only following a proper consultation process (though there may be grounds for the court not exercising its discretion to provide such remedy); Therefore you may prefer to proceed with a voluntary consultation to ensure that this issue does not have the potential to derail the process As part of the consultation process it would be necessary to set out what the proposals entail and the reasons for considering making them. 5.5 Competitor challenge considerations: Reasonableness car_lib1\ \ February 2017 jamiess

54 5.5.1 The absence of a business case to support the decision to proceed with the alternative delivery does not automatically increase the risk under paragraph but may make it more difficult to answer such a challenge; Consideration should be given to setting out the various matters which have been considered in the context of pursuing the chosen alternative delivery solution in the record of the PCC s decision once made (after any consultation); Consideration might also usefully be given to engaging with and commencing a conversation with MoJ to set out the vision for the new service provision and the opportunities and risks which have been identified and are being addressed as part of developing the transition plan. This will enable assurance to be provided to MoJ in advance of any media speculation (as occurred in Northumbria) whilst also ensuring that any concerns that MoJ may have can be addressed early in the process. 5.6 Employee considerations will TUPE apply? There were some changes to the TUPE Regulations introduced in January One of the changes was the narrowing of the definition of a Service Provision Change to a test of fundamentally the same service. This has limited the application of TUPE where organisations outsource, insource, or in some other way embark on a service transformation agenda It is still possible for there to be a TUPE transfer under the traditional definition of an economic entity. However, unless the PCC will be taking over any of the existing providers (or part of one or more of the existing providers), a transfer of an economic entity, or even a part of, is very unlikely Depending on precisely how the new services are going to be structured going forward, there could therefore be an argument that TUPE does not apply. However, being mindful that the PCC is a public body, the principles of the January 2000 Cabinet Office Statement of Practice ought to apply which essentially provides that public sector bodies should seek to proceed as if TUPE applies even if TUPE does not strictly apply in law We have assumed, therefore, that the intention is for TUPE to apply. Indeed it may well be beneficial for the PCC for TUPE to apply otherwise employees will not transfer across to the PCC and this could result in a skills shortage as well as redundancy and other termination costs for the existing provider TUPE consequences Assuming that TUPE applies, it will still be necessary to identify the Transferring Employees (i.e. those employees that have an entitlement to transfer from existing providers to the new provider). Even if there is a service provision change and TUPE applies in principle, it will still be necessary to demonstrate that there is an organised grouping of employees at each of the existing providers, immediately before the transfer The absence of an organised grouping of employees will defeat the application of TUPE. This will be a question of fact and we will need to have a better understanding of the structures within the existing providers. As a note of caution, however, percentage of time spent on a service is not necessarily determinative. There car_lib1\ \ February 2017 jamiess

55 was a fairly recent case involving a haulage company where an employee was dedicated 100% of his time to the services being transferred, but an Employment Tribunal determined that this had not deliberately structured in this way and therefore did not amount to an organised grouping of employees There could also be some grey areas as to which employees are part of the organised grouping of employees, particularly if they work across different services and not solely providing services to the PCC Once the Transferring Employees are established, they will have an entitlement to transfer from the existing provider(s) to the new provider on their existing terms and conditions of employment (with the exception of occupational pension schemes which are dealt with elsewhere in this note). If the new provider (the transferee) is not proposing to take any measures in relation to the Transferring Employees, then technically there is only an obligation to inform the affected employees of the TUPE transfer However, if the transferee is intending to take measures, which can include making redundancies and/or making changes to terms and conditions of employment including changes of location, then this will trigger the obligation to consult. Consultation must take place in good time before the TUPE transfer. What amounts to in good time will vary from case to case but generally the advice would be to consult as early as possible and consultation must be with trade union representatives or elected employee representatives (unless there are fewer than 10 employees at an existing provider in which case consultation can take place with individual employees). If there is a finding of a failure to inform and consult in breach of the TUPE Regulations, a Tribunal is obliged to make an award of three months pay per employee, which can be reduced in e circumstances where there is evidence of some form of consultation. Damages in this regard are punitive rather than compensatory Following a TUPE transfer, there are also restrictions on the transferee s ability to make changes to terms and conditions of employment and/or to terminate the employment of transferring employees. Another change brought about to the TUPE Regulations from January 2014 was an amendment to Regulation 4 which has been redrafted so that if a transfer is the sole or principal reason for the contract variation then the changes will be void. However, the change will be valid if there is a valid economic, technical or organisation (ETO) reason and the employee agrees the variation, or a pre-existing contractual right of variation exists. Note, however, that pure harmonisation is still prohibited. The changes to the TUPE Regulations in 2014 therefore do provide some more flexibility for employers even though harmonisation is still prohibited Similar changes to Regulation 4 have been made to Regulation 7, which again deals with dismissals arising out of a TUPE transfer. Regulation 7 has also been redrafted so that dismissals are now only automatically unfair if the transfer is the sole or principal reason for the dismissal. Any dismissal is potentially fair if there is a valid ETO reason and a generally fair process has been followed effect of successive TUPEs car_lib1\ \ February 2017 jamiess

56 From an employment perspective (leaving pensions issues aside) there will not be any significant implications whether the Transferring Employees transfer to the PCC or to a wholly owned subsidiary company established by PCC. Clearly, if it is going to be a two-stage process (from the existing providers to the PCC and then from the PCC to a wholly-owned subsidiary), TUPE will be triggered on two occasions and the employees will enjoy the protection of the TUPE Regulations in respect of both transfers. There could also be added disruption and costs, particularly if any measures are being proposed as a consequence of either TUPE transfer However, there is one note of caution. Case law has established that, where there is a service provision change, a change in the identity of the client to whom the services are being provided will defeat the application of TUPE. In other words, for TUPE to apply under the service provision change definition, the service must be delivered to the same client (or clients) before and after the transfer There should be no issue if the transferring employees transfer to the PCC (i.e. an insourcing) in the first instance and then out to a wholly owned subsidiary company established by PCC (i.e. outsourcing) at a later date. It ought to be then possible to demonstrate that the services are being provided for the benefit of the PCC at all times, at least up to and including the second transfer. The client will continue to be the PCC. However, if the transferring employees were to transfer directly from the existing providers to a wholly owned subsidiary company established by PCC, and particularly if the wholly owned subsidiary will be engaged in the provision of services to third parties, this could cause issues with the identity of the client. In particular, it would need to be established that the services are still being provided for the benefit of the PCC in order for there to be a TUPE transfer under the service provision change definition. Provided the services are being primarily operated for the benefit of the PCC at the transfer date this should not cause an issue, even if the scope of the services (and the beneficiaries of those services evolve over time post transfer). This is an issue that should be kept under review as the thinking and the structures evolve pension implications The PCC is a Part 1 Employer under Paragraph 6, Part 1 of Schedule 2 of the Local Government Pension Scheme Regulations 2013 (LGPS Regulations). Part 1 Employers have to enrol all eligible employees on their first day of employment with PCC (provided staff are employed on contracts of three (3) months or more) into membership of the Local Government Pension Scheme (LGPS). This means the employees of the PCC are automatically entitled to membership of the LGPS (unless they exercise their right to opt-out of membership) and this cannot be avoided. As a result, if the model is adopted whereby the current employees of the external provider (Transferring Employees) currently delivering the Voice service transfer under TUPE to PCC, then PCC will have to provide those Transferring Employees with membership of the LGPS with effect from the date on which they TUPE transfer occurs (unless the employees exercise their right to opt-out of membership) The position is potentially different if the model is adopted whereby the Transferring Employees instead transfer to a wholly owned subsidiary company established by PCC. In such car_lib1\ \ February 2017 jamiess

57 circumstances, that wholly owned subsidiary company would be considered to be a Part 2 Employer under the LGPS Regulations. Employers who are Part 2 Employers under Paragraph 6, Part 2 of Schedule 2 of the LGPS Regulations, can designate which (if any) employees (or class of employees) are eligible for LGPS membership and so this means they have direct control over who joins (and does not join) the LGPS. If designated as eligible, an employee must be enrolled into LGPS on their first day of employment (provided the employee is employed on a contract of three (3) months or more). Such employers only need to pass a resolution to become Part 2 Employers. Therefore, the wholly owned subsidiary company would need to decide whether it wanted to designate the Transferring Employees as eligible for membership of the LGPS with effect from the date of the TUPE transfer or whether, instead, the wholly owned subsidiary company wanted to offer the Transferring Employees membership of an different pension scheme which the wholly owned subsidiary chooses to offer its employees (such as a defined contribution scheme (DC Scheme)). 5.7 Business considerations brand and service development the separation of the victim support services from the commissioner of those services would be likely to make it easier to establish the desired separate brand recognition and value for the service including assisting victims of crime and other public bodies who may be interested in using the services, to associate the service with the brand; there would be a risk by undertaking a phased transfer between the services from the existing providers, through to the OPCC and then later to the new entity, that the brand message would be harder to establish and risk being diluted; phasing may also make it more difficult to generate the ownership of the service by the managers and staff delivering the services owing to the temporary nature of the arrangements and the lack of a clear and separate identity, particularly with the recognition that the appointment of a new board when the entity is established and operating may require significant changes in approach impact on victims of crime: the transition of the services has the potential to increase uncertainty and anxiety for victims of crime (as suggested in the media coverage of the decision by the PCC for Northumbria); depending on the duration of any initial period of transfer to inhouse provision and subsequent transfer to the new entity, there is clearly scope for additional confusion as to who is providing the services and who should be contacted; whilst the code recognises that PCC s may provide the services themselves, consideration will need to be given to whether a separation of roles between the policing role and the role of victim support and advocacy, facilitates the focus and benefits of the service from the perception of clients potential staged transition: car_lib1\ \ February 2017 jamiess

58 As will be appreciated from section 6 below there is a considerable amount of work to be undertaken initially when setting up a new entity; There will be the opportunity in some cases to use and adapt certain materials that will already be available from OPCC though the Chair and other appointed directors when appointed may wish to adopt strategies and documentation which reflect how they see the company and its mission. The venture could even utilise for an initial period (as is often done) services and facilities already available to OPCC through a support arrangement and this can minimise the amount of new material/agreements to be produced in the initial period; Bringing the services in-house initially does provide PCC potentially with the advantage of some breathing space in allowing the venture to settle by being brought together as effectively a department of the OPCC. However, consideration needs to be given to whether preference for some separation and distinctiveness may necessitate some significant additional work in any event; The ability to reduce the level of set up work required would be a key issue if there was insufficient time available to action all those requirement before the transfer was due to take place duplication of transition costs There would also be a need to undertake two transitions leading to duplication of administration and associated costs; The new board will no doubt wish to heavily influence/direct the strategy of the new entity (within the parameters which are established by the PCC whether through approval of the business plan or through exercise of membership rights) and this may mean that significant changes in processes, materials etc may be required in the final transfer justification 5.8 Recommendation the expectation on commissioning by PCCs set out in the MoJ guidance explains that it is about deciding how to use the total resources available in order to improve users outcomes in the most efficient, effective and sustainable way. Consequently any decision to transfer the services in-house would need to make the case as to why this would achieve the most efficient, effective and sustainable delivery of the services; it may in those circumstances, in the absence of any failure of service, be difficult to explain any subsequent transfer of the services over the short term to a newly constituted entity as this may appear to conflict with the earlier decision Based on the above we consider that if possible it would be most beneficial to move straight to the delivery of the services by the new entity. 6. Transition Journey There are many actions to consider when establishing a business and you will need to consider early the approach to corporate governance, ethos and strategy you want to see car_lib1\ \ February 2017 jamiess

59 develop and that will inform how you structure the descriptions of roles when seeking to recruit appointments to the board including the Chair and non-executive directors. We have identified the key elements of establishing the CLG which is a relatively straightforward process purchasing an off-the-shelf company and adapting it to suit your requirements (eg to include no. of directors, arrangements for meetings etc). We have also set out some of the more practical issues you will need to consider in making the CLG operational (but we do not suggest that this is an exhaustive list). 6.1 Steps for establishing entity: agree Articles of Association and submit application for registration to the Charity Commission provided that the test for charitable status is met. It is clear that a public body can establish a charity and such a charity can be set up to undertake activities where there is a charitable purpose that coincides with the governmental function. However it is imperative that the test for charitable status is satisfied. The key point is that a charity established by a governmental authority must be independent as is made clear in the Commission s guidance: For a body to be a charity, it must be independent. By this we mean that it must exist in order to carry out its charitable purposes, and not for the purpose of implementing the policies of a governmental authority, or of carrying out the decisions of a governmental authority. [If you are considering a charity as an option you will need further detailed legal advice on whether a charity is an appropriate option having regard to more detailed analysis of your proposals for the business. Our charity expert, Stephen O Reilly can provide further advice on the requirements to achieve charitable registration if you require] obtain consent forms from directors and arrange for all necessary personal details to be provided; complete company incorporation questionnaire which includes all necessary details of incorporation (member and director details and ID information, name, accounting reference date etc). Depending on timing this may be based on nominated interim directors; apply for registration as a charity (if required). We can assist you with all these steps when this needs to be actioned. 6.2 Supporting contracts set up bank account; appoint auditor (as and when required); property: Identify location, space and access arrangements required; Secure relevant property transaction (eg a lease); contracts for services and supplies: Identify what services, facilities and supplies will be required (eg. furniture, stationary, support services, IT, utilities, waste and telecommunications etc); car_lib1\ \ February 2017 jamiess

60 consider the existing contracts, the terms of the contracts with regard to exit/expiry and determine steps required to ensure that the transition provisions in the contracts are implemented effectively (including any provisions for transfers of assets etc); Develop procurement strategy/financial controls (see also strategies below) comply with EU procurement where applicable Develop terms of business for purchases of services and supplies, ensuring also that Local Government and Housing Act 1989 requirements complied with; employment contracts and pensions: Identify staffing requirements Identify staff that will TUPE: (a) seek information from existing providers including TUPE lists/information. Consider the exit/expiry provisions in the existing service contracts and determine steps required to ensure that the transition provisions in the contracts are implemented effectively (including all exchange of information provisions such as clause 55 in the standard terms and conditions attached to the Assist contract ); (b) (c) provision of information for employer consultation with employees and trade unions if applicable; liaison with contractors to ensure smooth informed transfer Identify any option/need for seconded staff Develop terms of employment for new employees; Develop HR policies Set up payroll (and enter into any required licence) Set up qualifying pension scheme (a) (b) Depending on what it decides to do in relation to the LGPS and what (if any) categories of employees it designates as eligible for membership, if CLG employs other employees who are not given membership of the LGPS, then CLG will need to provide such employees with alternative pension arrangements in order to comply with auto-enrolment requirements. This could be a DC scheme as referred to above. As a newly established company, CLG would have to comply with the automatic enrolment requirements to provide its employees with membership of a qualifying pension scheme (unless the employees exercise their right to opt-out) by the company s staging date for autoenrolment purposes. As a newly established company, the staging date by which it must comply is 1 October As a result, it would be prudent for CLG to establish its autoenrolment pension arrangements as part of its set up process, given the proximity of the staging date and the fact that it may want to offer the Transferring Employees membership of that auto-enrolment pension arrangement if the wholly owned subsidiary decides not to designate such employees as eligible for car_lib1\ \ February 2017 jamiess

61 membership of the LGPS (as referred to above). Detailed advice around these auto-enrolment duties is beyond the scope of this advice note, but we would be happy to advise separately on these matters if such advice is required (depending on the route which is following in relation to the Voice service) Choose and implement recruitment process website and addresses Choose domain and address Develop website to meet requirements (and reflect service strategy) registration with HMRC and other relevant regulatory bodies insurances: 6.3 Business planning decide on insurance levels (based on risk strategy below) arrange insurances Governance arrangements process for appointments of Chair and CEO and others (including shadow form and timing) this will need to be initiated early in the process as the intended Chair and directors will need to own the strategy, policies and financial plan; consideration will have to be given to composition if CLG is to be registered as a charity (please see earlier) Corporate strategy and policies - which as a public body owned by OPCC will need to include: Vision and corporate ethos; Communication strategy, Data Protection and FoI (as it is a publicly owned company); HR policies (including grievance, disciplinary, training and equality); Health and Safety, risk management and contingency and business continuity; Procurement (including Public Services (Social Value) Act requirements and Modern Slavery expectations and contract and financial controls); Asset strategy and resource plan (including environmental plan) employees, premises, communications and IT systems and other assets (which will include being clear on the assets and resources that are already available, their condition, costs of maintenance and the cost of new/replacement equipment, IT and other assets that will be required to deliver the services - see due diligence); [Consider public sector duty which applies to OPCC. company.] Whether to apply to car_lib1\ \ February 2017 jamiess

62 6.3.3 Marketing strategy including branding and IP/trademarks ensuring compliance with: Business Names Act requirements for company name and number on key materials; Local Government and Housing Act requirements; [so that all third parties know who they are dealing with.] Financial plan and forecasts (including cash-flow and initial cash position) Consultation with other stakeholder agencies the PCC has recognised that the existing service providers would need to establish close working practices and relationships with other agencies to enable achievement of the desired outcomes; consideration needs to be given therefore to the timing of engagement with such other agencies to ensure that the transition is effective and that relationships are maintained and developed further as well as the identification of (and development of relationships with) other stakeholders that may impact on the success of achieving the desired outcomes of the service; Performance and Monitoring regime; having regard to the expectation in the MoJ guidance and the duties on PCC it is recommended that consideration is given to the various method statements and performance standards required to be provided by contractors when bidding for the existing service contracts; the PCC will want to be able to demonstrate that the service methodologies and performance is at least equivalent to that required to be provided under the existing contracts and this will need to be set out in the contract with CLG (or in protocols if transferred in-house); the PCC will also therefore wish to be assured that the processes, systems and practices that have been established by CLG (or the in-house team) will support delivery of the services to the required performance standards etc.; allied to the above is the need to consider the quality management processes that will be engaged to support delivery; a contract will need to be drawn up between OPCC and CLG so as to reflect the experiences under the existing arrangements and the need you have identified that the arrangements need to provide greater flexibility to ensure the service remains dynamic and capable of meeting changing needs Transition plan we would always recommend for any externalisation or internalisation of services that careful consideration needs to be given to developing a detailed transition plan and programme; this ensures that everyone understands roles and expectations in reaching the goal and can understand the dependencies that exist (ie when one activity is dependent on someone having already car_lib1\ \ February 2017 jamiess

63 6.3.8 Due Diligence completed another task). It also provides the ability to share the plan with others and ensure that they can feed into the process to ensure that there are no gaps/omissions before undertaking a project such as this, we would recommend that a due diligence exercise is commenced; this will continue to be developed alongside and feed into the business planning process to ensure that it is robust; please see note attached as Appendix 2 which gives an outline of the purpose of and steps required for due diligence; we note that the expectation is that those assets which already belong to the OPCC will be returned and all other assets will be retained by the existing providers at the end of their contracts. It is important in those circumstances in order to ensure that services continue uninterrupted that there is a complete understanding of what assets will be required to be replaced on the transfer, including their functionality and connectivity, having regard to existing services and the changes that might be implemented going forward. car_lib1\ \ February 2017 jamiess

64 Appendix 1: Comparison table of different forms of entity for the provision of Victim Support services Type of Joint Venture Limited Company (Shares) Limited Company (Guarantee) Limited Partnership Limited Liability Partnership CIC Charitable Incorporated Organisation Charitable Company Regulation Regime Companies Act Companies Act Limited Partnership Act (usually involves a limited company as well therefore Companies Act may also apply) Limited Liability Partnership Act Companies Act & CIC Regulator Charity Commission Charity Commission & Regulator of Entity used Suitability for non-forprofit entity Low High Low Low High High High Legal entity able to contract in its own right Yes Yes No Yes Yes Yes Yes car_lib1\ \ February 2017 jamiess

65 Type of Joint Venture Limited Company (Shares) Limited Company (Guarantee) Limited Partnership Limited Liability Partnership CIC Charitable Incorporated Organisation Charitable Company General Generally, most appropriate for trading/profit making enterprises because of ability to distribute profits to investors, transferability of interest and linkage of share value to the profitability of the enterprise. Recognised entity for a not for profit distributing enterprise where asset ownership and contracting envisaged, a degree of continuity is sought and/or there are benefits in limiting liability. Not ideally suited for a charity or not for profit due to the nature that tax is treated. Not ideally suited for a charity or not for profit due to the nature that tax is treated. A limited company with an added overlay of having to carry out its activities for the benefit of the community (including additional regulation as a result). Form of charitable incorporated body which avoids dual regulation and therefore suitable for any charitable enterprise. Most legal entity can apply to have charitable status. Will typically have dual regulation to contend with. Typical use Most common business structure and well recognised by banks and other commercial organisations as a full commercial trading vehicle. Less appropriate for social Public/public ventures which require a body to own land or other assets, enter into contracts, employ staff, hold a bank account and/or borrow money. Less appropriate for engaging Usually limited to joint ventures where the parties do not wish for a separate taxable entity to be created. Often used for Real Estate joint ventures. Usually used for professional partnerships where the partners wishes to limit their liability but still have a see through tax status. Intended for social enterprises that wish to use assets and profits for public benefits, with mandatory asset lock and controls on dividends to reassure potential participants, Any of the uses for Community Benefit Societies or Charitable Companies Ltd by Guarantee. Used where the parties wish to have the full benefit of being a charity and the status this brings. car_lib1\ \ February 2017 jamiess

66 Type of Joint Venture Limited Company (Shares) Limited Company (Guarantee) Limited Partnership Limited Liability Partnership CIC Charitable Incorporated Organisation Charitable Company enterprise public/public collaboration ventures. or private commercial interests. donors or investors (but which makes it less appropriate for engaging private commercial interests). Regulation Registrar of Companies Registrar of Companies and if charitable the Charity Commission. Statutory regulation Statutory regulation and if charitable the Charity Commission Registrar of Companies and CIC regulator Charity Commission Charity Commission and depending on the entity, Registrar of Companies Ownership Structure Shares Very flexible Member Partners Partners Members (as usually a Company limited by Guarantee) Members Depends on Entity (Typically Members) Limited Liability Yes - limited to unpaid amount on share (including premium) Yes limited to the amount of the guarantee amount Yes, provided the limited Partners are not involved in making partnership decisions Yes Yes Yes Yes car_lib1\ \ February 2017 jamiess

67 Type of Joint Venture Limited Company (Shares) Limited Company (Guarantee) Limited Partnership Limited Liability Partnership CIC Charitable Incorporated Organisation Charitable Company Management Directors Directors General Partner (often a Limited Company and therefore their directors act) Designated Member Directors Trustees Trustees Distributions Permitted Yes Yes Yes Yes No (save for limited circumstances) No No Changes in membership Yes (straightforward) Yes (straightforward) Yes (provided partnership terms allow) Yes (provided partnership terms allow) Yes Yes Yes Finance Can borrow money, issue debt instruments and receive contributions from shareholders Members do not make contributions. Can Borrow money and offer security and issue debt instruments. Partners can inject capital and general partner can borrow money. Members can inject capital and the LLP can also borrow money Members do not make contributions. Can Borrow money and offer security and issue debt instruments. There is not register of charges for a CIO which makes borrowing money difficult. Depends on vehicle used. car_lib1\ \ February 2017 jamiess

68 Type of Joint Venture Limited Company (Shares) Limited Company (Guarantee) Limited Partnership Limited Liability Partnership CIC Charitable Incorporated Organisation Charitable Company Exit by Members Yes Various options Yes Various options Yes Various options Yes Various options Yes Limited options Yes, but no benefit to member leaving is permitted Yes, but no benefit to member leaving is permitted Asset Lock No No No No Yes Yes Yes car_lib1\ \ February 2017 jamiess

69 Appendix 2: Due Diligence Due diligence in Alternative Delivery Mechanism Projects ( ADM ) In this note: ADM refers to an Alternative Delivery Mechanism project ADV refers to an alternative delivery vehicle (which may be any of the options considered under an ADM including Teckal companies. wholly owned trading companies, joint ventures and wholly outsourced solutions references to competitive ADM means the procurement of joint venture partners to establish a joint venture entity or contractors under wholly outsourced solutions Sponsor refers to the client undertaking the ADM 1. Understanding Due Diligence 1.1 Due Diligence: is not a defined/consistent process which will be the same for each project is not restricted/relevant only to one party in a transaction is not a one-time process but often involves different stages/levels of due diligence at different points in a project can often be a key determinant of how successful a project will be 1.2 Due diligence in ADM is essential for a number of reasons: it enables the Sponsor to ensure it is establishing the best basis on which to maximise value for money (eg in the case of competitive ADM options, ensuring that bidders have more confidence in the amount and reliability of the information being provided and that there are no issues which should be addressed before commencing the procurement or negotiations for transfer) it enables the Sponsor (and the ADV) to understand risks which will remain/be transferred to it so for example: in the context of competitive ADM, due diligence through PQQ (updated prior to contract) and tender response evaluation on the ADV, its methods and costs should assist in ensuring that the Sponsor appreciates the level of risk of the ADV failing to deliver; due diligence on the services being transferred including financial, technical and legal reviews in relation to what is being transferred, enables the ADV to understand the risk it is taking in being able to deliver the promised level of service within the price envelope bid and helps inform the Sponsor on whether it would be likely to represent best value for the services to be transferred; it enables greater assurance that purposes/objectives are fully understood and that key issues have been addressed in the proposed arrangements so that the arrangement is more likely to succeed; minimises the risks that value to the Sponsor (or the ADV) is undermined by unanticipated/unforeseen issues 1.3 The intention must be when commencing an ADM project to identify the practical process (including stages) by which the sponsor (and ADV if appropriate) can ensure that all car_lib1\ \ February 2017 jamiess

70 relevant matters are investigated thoroughly, and that no issues arise after transfer which may adversely affect the sponsor (or ADV), even though they could have been identified earlier. 2. Sponsor Due Diligence 2.1 The Sponsor should conduct a due diligence exercise in respect of the function to be transferred (and any relevant information technology) at the outset of the ADM project. This will assist the Sponsor to: understand what is currently being delivered including: why it is being delivered who by (ie staff arrangements); what by (ie what assets are used and what is their condition); who to (who are existing clients, numbers and types); and how much (volumes/numbers and other quantification); understand what is going well and what is not and the reasons; understand anticipated future demands/future opportunities; understand any contracts which exist (both supplies and services) on which the services are reliant, any legacy issues and also any inter-dependency of services which will need to be accommodated in any new arrangements; have a better understanding of what can realistically be achieved and how long it might take; understand what/who can transfer, what/who cannot and the implications (financial, technical and legal) and the needs for the retained client; understand who and how many may transfer as a result of the ADM including whether they are engaged exclusively or predominantly to provide the existing services, the costs of those staff, the impact on the remaining organisation of them going and pension implications; and properly complete the setting of its requirements and business case (so as to be realistic, affordable and achievable) and avoid project scope creep. 2.2 Assets and Liabilities Assessment of asset and liabilities (including contracts) is vital. Liabilities may arise from having to terminate agreements/funding repayments/fixed costs or the need to renew/replace assets or purchase additional assets Existing contracts are likely to include software licences, maintenance agreements, leases, and supply contracts. Contractual review should include a review of all licensing and financial arrangements, terms for termination and/or ability to novate, warranties that may be required or additional surveys or technical assessment undertaken Asset (including property) values, ownership, levels of use (and who by), restrictions on use (including access or rights of others) and condition will need to be assessed. 2.3 Overdue Changes car_lib1\ \ February 2017 jamiess

71 2.3.1 As part of understanding why a service is being provided (including in terms of processes followed and/or activities undertaken in respect of each element of service) it is necessary: to review this against the requirements moving forward; to consider the issues which might be holding back/undermining the ability of the service to achieve required standards; and to consider other improvements which could be made 2.4 This enables the Sponsor to ensure that it doesn t end up paying for continuation of a service which is not delivering what is now required, that it can remove artificial inhibitors of the service so that the correct baseline is set and that it takes the full benefit of efficiency/savings delivered by making those changes rather than sharing them with the contractor. 2.5 Baselining In the context of measuring improvements or savings it is vital that there is an accurate baseline for the volumes of services, service performance levels and costs as they currently stand which need to be trued up to reflect any abnormalities It may also be appropriate to identify any other potential impacts which may result in changes in those figures either before or during the contract which are not in fact a result of anything done by the ADV (eg other changes which the Sponsor is implementing which will have an impact on the performance levels of the services being transferred). 3. ADV due diligence 3.1 The ADV has to conduct its own due diligence exercise in relation to the Sponsor's operations that are relevant to the proposed ADM. In broad terms this will include: Due diligence in relation to the employees and the information referred to above The transferring assets and software licences (if any) and any need for costs in relation to novation/assignment The status and quality of the Sponsor's data that will be transferred to the ADV to populate its systems at the outset of the ADM implementation and set its improvement targets. 3.2 Key for the ADV is achieving a position through which it: fully understands the requirements for the services being transferred; understands what is necessary to meet those requirements and where the current service levels and costs are by comparison; has assessed that its proposals are/plan is capable of achieving any necessary improvements/savings in the performance and/or cost of the services; there are no express or implied assumptions on which its proposals for performance and/ or cost is dependent which have not been validated and checked for robustness and accuracy; there are no future changes (including in volumes or capacities) which may impact on the ability to deliver the services within the prices bid for which it will not be entitled to be recompensed/protected. car_lib1\ \ February 2017 jamiess

72 3.3 Many of the same issues applying to Sponsor due diligence apply equally to the ADV due diligence. 3.4 Timing of ADV Due Diligence 3.5 Staffing Prior to finalisation of the relevant offer/transfer the Sponsor will want to know that the ADV has undertaken due diligence to provide greater certainty that the pricing and service delivery proposals are not subject to assumptions which are still to be tested and which may result in a need to renegotiate positions (particularly in a non-competition setting) A comprehensive due diligence exercise requires a substantial resource commitment from both the Sponsor and the ADV. It is therefore important to understand the conflicting pressures around timing of due diligence: all parties involved in a competitive ADM (eg procured joint venture or fully outsourced solution) will wish to avoid a large number of interested parties (and the Authority) having to commit additional resource to a process in which they are still only one of a number of interested parties; the Authority (and the unsuccessful interested parties in a competitive ADM) will want to avoid a situation where the final position reached with a preferred ADV is very different from the offer they have made due to renegotiation of points following unsuccessful testing of some of their assumptions Staffing information is fundamental to any ADM project and the bidder will want to know all information which may be relevant in the case of redundancy payments or result in the basic picture being unrepresentative (eg employee claims, sickness histories, leave information, disciplinary records, location, plans for any dismissal, employee or TU disputes etc). 3.6 Service Levels and Budget Common causes for concern relate to certainty that the budget being transferred (or the assumptions as to the budget available) as correct Information on the budget for the current services can be misleading due to a number of issues including: peculiarities of accounting treatments between different departments, errors in allocations, hidden costs (eg hardware/software which is being paid for from an IT department s account), atypical costs or income relating to a particular year, reallocation of staff (eg staff on secondment) and incorrect alignment between scope and budget Equally performance information (which may form part of the baseline against which improvements are measured) needs to be checked and validated including: are those service levels capable of being measured; if so, are they currently being achieved and how certain are the measurements relied upon; if currently being achieved is there sufficient information (over a sufficient length of time) to show that this is an accurate and 1 This could easily be utilised by less scrupulous bidders as a means to win a tender by bidding low and then increasing the prices in subsequent negotiations. It would also lead to significant risk of non-compliance with EU procurement rules (if applicable) car_lib1\ \ February 2017 jamiess

73 consistent picture of performance ie a steady state (including by reference to resourcing levels); is there anything which has previously happened (and no longer applies) or which has now happened (eg any change of circumstances) which may hamper continued achievement of those service levels. The ADV will need to be satisfied that the information which has been given about the services and the service levels gives an accurate picture of the services in their steady state. 3.7 The ADV should also consider whether there is outstanding work which it will be required to take on and complete if selected, and the costs and timing (and any potential impact on ability to meet proposed/required service levels) of doing so. An example would include maintenance obligations which may be significantly more onerous if there is already a backlog of work to take on. 3.8 Any potential adverse intellectual property rights must be ascertained as this could significantly obstruct the ability of the ADV to provide the service levels and/or the costs at which they can be delivered (including the costs of purchasing any required rights). 4. Transfers to Wholly Owned Companies 4.1 The position set out above is reflected in any proposed transfer to a wholly owned ADV (as it applies to a fully outsourced solution). 4.2 Whilst there is commonality of interest because Sponsor owns the ADV: the directors of the ADV will want to ensure that they fully understand the obligations and have checked that the new company will be able to meet the targets being set and for the price being paid the Sponsor will want to ensure that it does everything to further the purpose of setting up the new organisation setting it up to fail would achieve nothing. 4.3 The Sponsor should review the due diligence as part of developing the business case and in developing the specifications/performance targets. The ADV will want to test the achievability of the targets and the specification having regard to all relevant data as part of developing its business plan for delivering the services. car_lib1\ \ February 2017 jamiess

74 Appendix 3: the advantages and disadvantages of charitable status 1. Advantages of charitable status 1.1 Exemption from corporation tax on profits for companies provided the activity further the charitable purposes. Profits are used wholly for the charity s purpose (its charitable objects). 1.2 Exemption from paying stamp duty land tax on land transactions and stamp duty on other transactions. 1.3 Property occupied by a charity that is wholly or mainly used for charitable purposes is entitled to mandatory relief from business rates (currently 80% relief) and the local authority has discretion to grant relief for the remaining 20%. The availability of this relief often has a significant impact on a charity's operational overheads. Some local authorities provide rates relief for not for profit but non-charitable companies, however, with recent government funding cuts many local authorities are withdrawing the availability of such relief from non-charitable companies. 1.4 Tax reclaim on gift aid donations made by individuals who are UK tax payers (20% tax relief available to charities). Donors receive tax relief on donations of 20% or 25% provided that they are higher rate or additional rate tax payers in the UK. 1.5 The right to receive donations through self-assessment tax returns. 1.6 Donors are able to make tax-free donations through a payroll deduction scheme. 1.7 Many funders are only allowed (or choose) to fund charities. 1.8 Charities are subject to scrutiny by the Commission which can prevent abuse. 1.9 Access to funding: charities can often raise funds from the public, grant-making trusts and local government more easily than non-charities. Some funders have a policy of only giving financial support to charities Public recognition and support: charitable status signifies integrity and credibility when raising money from the public. The public may gain an element of reassurance that charities are regulated by and can seek advice from the Commission. It provides a good public image which can assist in fundraising and lead to co-operation with third parties. 2. Disadvantages of charitable status 2.1 A charity s resources can be used only for its purposes (as set out in its objects) and within its powers as set out in its governing document. A breach of this can make the members of the governing body personally liable. 2.2 Charity law trustees are subject to a number of charity law duties. This is in addition to the duties they will owe as company directors if the company limited by guarantee legal structure is chosen. We can advise fully on the duties of charity law trustees and company directors if you would like us to; we also regularly deliver training on these duties. 2.3 Trustees cannot be paid for serving on the governing body or for any other goods or services they provide to the charity unless this is authorised by the governing document, statute, the Commission or the court. Such payments are uncommon in the case of charities. 2.4 There are limits on the trading that can be undertaken by charities. Charities can, however, charge for charitable activities or services which they provide for their beneficiaries. Typically charities establish commercial trading subsidiaries if they want to undertake what is known as non-primary purpose trading (i.e. trading which does not fall within their charitable objects). We would be more than happy to provide advice on whether a commercial trading subsidiary should be established and have significant experience of car_lib1\ \ February 2017 jamiess

75 setting such entities up. We have referred to the use of a commercial trading subsidiary in the main body of the report. 2.5 There may be restrictions on how a charity s funds can be invested depending on the legal form chosen and the powers in the governing document. 2.6 A registered charity must comply with statutory requirements, as set out in the Charities Act 2011, in dealing with its property. We can explore this further if you would like us to. 2.7 Annual accounts (and often annual reports) must be prepared, and these may be subject to examination or auditing (though this is the case for many non-charities too). The accounts will also have to be submitted to the Commission. 2.8 The Commission has considerable powers to investigate complaints, and where it deems necessary, step in and take legal action against a charity, its trustees and employees. 2.9 Charities are open to public scrutiny. For example, the names of the trustees are published on the Commission website. car_lib1\ \ February 2017 jamiess

76 Summary table of options for commissioning services Objective In-house Teckal company External prime contractor Cost and sustainability There may be opportunity for some saving through management costs not being duplicated across the supply chain and simpler contract management for OPCC. There may be opportunity for some saving through management costs not being duplicated across the supply chain and simpler contract management for OPCC. There may be opportunity for some saving through management costs not being duplicated across the supply chain and simpler contract management for OPCC. Developing the in-house capacity as the external contracts fall-in may result in the opportunity to reduce costs (in terms of only having to meet cost of staff and any additional overhead). There will initially be potential increase in costs in setting up the new entity, management and providing it with the necessary support structures. However there will be risk of inserting a further layer of management/profit costs in relation to the work which is then subcontracted. May be an issue of equal pay to consider compared to other employees in the OPCC but the Buchanan case provides a potential defence. Possibility for equal pay considerations also between OPCC and its wholly owned organisation but slightly more complex for claimant to pursue claim and the Buchanan case defence should also apply in the same way. Equal pay and other employment issue would not be directly relevant to OPCC but contractor s prices may have to reflect any that may apply and may look for pre-contract date warranties and indemnities in contractors favour. To the extent overheads are shared this may reduce cost, but if needing to maintain separation of function it may not be achievable. However, there may be an increase in LGPS cost. There will also be costs associated with other work practices of OPCC to the extent that these are more beneficial than available to staff for the existing providers. Consideration would need to be given to remuneration of Directors. If remunerated it does not necessarily follow there will be an increase in cost against existing arrangements. Part of the contract fees will have contributed to any Directors fees of those organisations. Nevertheless those fees will now only be paid across the services being provided predominantly to OPCC. The cost may be competed through a commissioning regime but there will be cost of those procurements and it may not be appropriate to have long duration contracts for these services (so may be regular repetitive costs). We do not know whether overlapping contracts are a factor for such services - whether in terms of overlaps between different types of service or car_lib1\ \1 1 7 March 2017 jamiess

77 In-house function will tend to be less flexible to meet fluctuating demands and may need to maintain higher resourcing (which would increase cost) particularly as no ability to manage resources over a number of commissions. It is possible to design a structure which could benefit from potential tax advantages available to charities (if applicable) and/or non-profit distributing organisations. See potential flexibility described below. where services may need to be continued beyond a contract to retain continuity of support. Overlaps can create risk of duplication of costs which may be easier to manage with a prime contractor who would take responsibility for managing most). Access to other funding Control Efficiencies Difficult for public bodies to secure funding from third parties whether because of not satisfying criteria or because of the view that state functions should be financed by the state. In-house functions would generally be seen as an extension of state functions. As part of the organisation it is subject to full control which has to be exercised within the management structure of OPCC, OPCC standing orders and constitutional arrangements and employment law. Sharing of resources including premises, IT, support staff and other central services amongst the different service units within OPCC can assist with reduction in overheads for this As a separate body which is capable of being structured in a number of different ways, it is possible to establish a structure which would encourage others to contribute to the funding (ie not seen as simply replacing state funding). The requirement for a Teckal entity is that the contracting authority exercises a control over the Teckal entity which is similar to that which it exercises over its own departments. Nevertheless, it is usual to find that such entities adopt systems of governance and other controls which on a day to day basis do not prevent the entity from operating as a distinct and separate unit. A contract may also be entered into to provide clarity on the customer/service provider roles, responsibilities and expectations. Setting up as a separate entity can involve inefficiencies in creating a new business which duplicates some of the resources already available within OPCC. Any access to additional funding for the services would benefit the provider and not necessarily benefit OPCC. The ultimate controls exercisable are through the contract and may require time and cost to properly implement. Control/influence is also exercised through contract and relationship management. Whilst the contractor would be expected to pursue efficient systems and processes in order to win work in competition, there is limited mechanisms to force continued focus car_lib1\ \1 2 7 March 2017 jamiess

78 Flexibility Effectiveness and focus service and the other services. This can increase efficiencies across OPCC. However, such arrangements have to be practical and care needs to be taken that they do not result in sub-optimal solutions for the delivery of the victim support service. Flexibility is constrained by policies (including HR), practices and procedures (including recruitment procedures) and the specificity of the services. so that ability to flex resource Retention of a distinct unit would facilitate continued focus on the service and victims. However there would remain a risk that focus/attention would be diluted by organisational issues, pressures and objectives, particularly if management is shared across services. However, the arrangements between the OPCC and the Teckal entity can evolve over time so that it is not necessary from the outset to purchase all new assets etc. Facilities can be shared (and the Teckal entity contribute to the costs of those facilities) initially with a view to developing, in accordance with a tested business plan, its own resourcing as and when it will deliver most economic and operational advantage. Flexibility is less constrained as the business can adopt practices, systems and policies which assist it to manage resource availability more quickly. It would still need to adopt robust business planning processes to ensure efficient resourcing and recruitment/use of consultants which are qualified to provide the services may still A Teckal organisation has increased opportunity to have separate and distinct management systems. As a separate entity (even though ultimately controlled by OPCC), there is increased scope for the business to focus on its specific objectives relating to the services. It can set up its own vision, policies, strategies and plans to achieve those desired objectives. on efficiencies once the contract has been secured. It is possible to include targets/requirements for savings over the duration of the contract but it is not clear that these will always result in overall increased efficiencies and savings (as opposed to increased costs at the beginning). The contractor, if providing services to Northamptonshire PCC and others, will be able to spread overhead costs across a number of services rather than being limited to the service to NPCC. However, depending on levels of certainty associated with those other services it may not be possible to incorporate such efficiencies into the pricing offered in competition. Flexibility is constrained by the terms of the contract and how easy it is to implement change. By seeking to retain too much flexibility for the OPCC the risk would be that the costs of the services would increase and/or the service would be less responsive (to reflect either overstaffing to deal with increases or understaffing to address the lowest required level of service). As a business set up to deliver the services it would be expected to be very focussed on that service. However, there will be other pressures including continued viability and/or profitability. However OPCC cannot control the level of focus other than through enforcement of any service performance measures. There is an inevitable risk that due to reliance on car_lib1\ \1 3 7 March 2017 jamiess

79 Risk/Reputation Branding and distinctiveness Service performance monitoring, management and change may be diluted (often through reduction of budgets leading to the desire to reduce apparent bureaucratic processes) and this can impact on whether the services being delivered continue to adapt and improve to meet the continually evolving needs and demands for the services. Any failure in service or other event may result in reputational damage to PCC as they will be regarded as being the OPCC. The service will be perceived and recognised as being the OPCC s service. This may result in some anxiety/confusion/mistrust/reluctance in customers to engage because they As with a prime contractor approach OPCC can seek to control the outcomes through a service level arrangement or agreement but has the additional governance controls through its ownership and representation on the board. The ability to pull not just push provides greater scope for allowing the business to focus on what matters whilst also having the ability to choose from a number of alternative mechanisms as to how it can control and hold the company to account. Whilst a distinct organisation, any failure in service or other event may still result in reputational damage to PCC as the entity may still be regarded as emanating from and controlled by the OPCC such that OPCC has ultimate responsibility for the failures. However, less direct control also leads to less direct blame so there is increased ability to manage reputational issues of OPCC. Increased potential to manage consequences as a potential remedial step may be to bring the services back into OPCC. Also ability to have more control over PR and responses of the Teckal company in the event of any issues. Although the Teckal entity is controlled by the OPCC, it should be possible to achieve a greater separateness of identity and brand. securing contracts, the service becomes disorientated by focussing on the performance indicators and the contract management issues rather than the overall objectives of the service and genuine improvement. Whilst a separate organisation there may still be occasions where failures of the service are imputed to the OPCC in terms of commissioning or monitoring failures. Provides greater opportunity to manage reputational issues of OPCC by identifying the service as separate from OPCC. However, more risk that OPCC is not able to exert much control over PR and responses of the contractor in the event of any issues. Whilst it would still be possible to require the prime contractor to operate under the branded service, there will be a risk of confusion between brands (recognising that the car_lib1\ \1 4 7 March 2017 jamiess

80 are unable to differentiate the services and having associated them with the police function may not be prepared to engage in the same way. There is a risk that the Voice brand could also be diluted and may be undermined by actions considered inconsistent undertaken in respect of the enforcement role (even if relating to that role being undertaken by a separate police force). Being a business focussed on this service will assist developing the brand, reputation and identity to help customer customers understand what is being offered. contractor will have its own business brand) and some tension in respect of the contractor wanting to protect its brand. Nevertheless, it would be expected that issues of confusion/misunderstanding of roles of OPCC, police and victim support would occur less. Procurement compliance Generating additional income Procurement doesn t apply to organisation of public sector resources. Potential to generate income from provision of services to other PCCs and other public bodies (subject to the Local Authorities (Goods and Services ) Act. Procurement doesn t apply to services provided to the OPCC. The Teckal entity can also be provided with services from OPCC without procurement (but note the increased difficulty if the Teckal entity becomes a shared ownership vehicle). The Teckal entity would also have to procure third party services to the extent applicable, as it will be a contracting authority. Nothing to prevent the Teckal company carrying out trading activity to the extent within the powers of the OPCC and within the 20% limit. Services will be subject to procurement rules. Although Light Touch Regime may apply in order to demonstrate value for money it may still be necessary to undertake a competition. In such cases OPCC will need to comply with the contract opportunities requirements relating to publication etc in Contract Finder. No benefit to OPCC from any additional income generated by the contractor from other contracts Perhaps from practical perspective a reduced capability to recover more than cost of service (in context of public perception ). Perhaps increased potential to generate income in practice but limited to being less than 20% to retain Teckal exemption. car_lib1\ \1 5 7 March 2017 jamiess

81 Victims of Crime Consultation 2017 Public 1

82 2

83 Contents Background 4 Impact of crime 4 Awareness of Voice 5 Service received 6 Support 7 Overall satisfaction 8 Support from specific areas within Voice 9 Areas of improvement 10 Issues for further consideration 11 For further information about Voice, and for support following crime, please visit 3

84 Background In May 2013 the Police and Crime Commissioner for Northamptonshire launched a consultation with victims of crime to understand their experience of the criminal justice system and the agencies that support them. As a result of this consultation, the Victims Voice report was published and Voice, the victim and witness service for Northamptonshire, was created. As part of the recommissioning process in January 2017, a shorter consultation was undertaken to directly inform the process and development for future victim and witness services. A total of 238 people responded to an online survey which was promoted through Facebook and Twitter and sent directly to community groups. Twenty-eight stated they were witnesses while 200 stated they were victims (10 people did not state). Of those, 72 were victims who had been supported by Voice and 123 were victims who had not. Alongside the survey, face-to-face discussions were held with nine victims who had received support from Voice and were willing to share their experiences. Impact of crime Many victims described the often life-changing effect that being a victim or witness of crime can have. A roads victim described the effect on them both financially and emotionally: And you know, he s not only cost me my own savings, because he wasn t taxed or insured, that I ve had to buy, spend to buy another vehicle, he s lost my work, you know, and he s lost my confidence. A witness to a road fatality described immense feelings of guilt: And I was in floods again because I think what I felt for a long, long time is guilt, guilt for not being able to, first not seeing and still I have no recollection So I kept telling myself, in order to move on, it didn t happen to you, it didn t happen to you, it didn t happen to you, it was like a mantra. At night, that was a different story because it all came back, for several weeks, reliving the event every time A mother described the effects on her son: I knew he was being bullied cause he stopped eating, he stops eating all together, doesn t sleep, so I knew something was going on even though he wasn t telling me. These comments reflect the essential need for support services and to ensure they are appropriate for all age groups and for both victims and witnesses. 4

85 Awareness of Voice Of the 129 victims who completed the survey that had not had contact with Voice, nearly half (59) would have wanted support as a victim of crime, but none were aware of Voice, what it could offer them, or how they could make contact. Even those who had received contact from Voice were often previously not aware of the support that could be accessed; I think it s amazing the fact that they ve got that service but I don t think people know about, and I didn t know about it, I think that s amazing, the fact that they do do that service and you ve got a choice whether you want it or not How victims and witnesses were made aware of Voice Figure 1 - Number of respondents who thought the way they were told about Voice and how Voice made contact was the right or wrong method. As can be seen above, the majority of people were satisfied with how they were contacted by Voice. A victim who received a phone call from Voice and another in a one-to-one discussion stated that greater clarity should be given to victims to tell them that their information would be passed onto Voice: I feel the police officer in attendance should have mentioned them rather than me receiving a call from someone who I had no idea my phone number would be shared 5

86 Time it took for victims to be contacted Figure 2 - Shows satisfaction with the length of time it took for Voice to make contact with victims of crime. Satisfaction appears highest when victims were contacted between 1-4 days after their crime. Service received Of the 17 witnesses that gave information on how often they were updated from either the Police or Voice, nine said they had never been updated and thought this was not often enough: Being kept updated on any results even if they were negative Examples from one to one discussions demonstrated a lack of communication from other areas of the criminal justice system: That is the worst because you don t know what s going on, you know, all you know is what he s done, the damage he s done to me I have to like ask questions, you know, what s happening, is CPS doing anything? There was also concern that victims were sometimes last to receive updates about court: I heard on the grapevine, there was going to be a court date set, and they never told me, you know, like I say I heard it from somebody else. That was really disappointing but then they apologised. And the woman that was looking after me had left and so this other woman took on my case sort of thing, of communication, but it, yeah, that weren t very nice. 6

87 Support Seventy-two victims of crime stated they had been offered support, 34 accepted and 21 declined initial emotional support. Although they had the option to make contact at a later date if they felt that their needs had changed. Other examples of support victims received - but to a much lesser extent - were to visit the court before their hearing, practical support, financial advice or to engage in restorative justice. Several of the victims who participated in one-to-one discussions discussed the positive aspects of being able to access Voice after their support was concluded: However they ve assured me that if my thoughts and feelings slip out of control I can still contact them, so I ve still got that little lifeline there. It s not as if it s, OK, all done, you know, you ve had your three sessions, goodbye and thank you, so I feel as if I can still contact 7

88 Overall satisfaction Witnesses Only 16 witnesses rated their overall satisfaction of support received, therefore care should be taken not to generalise this data. However when asked to rate their support from one to five (one was low, five is high) 10 people rated support received as low and therefore unsatisfactory (two rated it as a three and four rated it high and therefore satisfactory). The reasons for rating their satisfaction as low was wide ranging and comments covered many different agencies, such as: I feel she (daughter) was let down by the justice system No-one called to see if I could give any further information/details regarding what I had witnessed Comments made from witnesses who were satisfied were: Two policewomen came to my house to discuss any support I needed. Friendly, supportive, knowledgeable - I haven t used the service before but would highly recommend it to others in my situation. Victims Just under two thirds of victims were satisfied with the support they had received (30 out of a total 50), 12 were dissatisfied and eight scored selected the midpoint between satisfied and dissatisfied. A victim who was dissatisfied stated: Lack of communication, lack of support, not fit for purpose, for reasons of dissatisfaction. However of the victims who commented on the support they received from Voice, nearly half commented on the staff being empathetic, supportive or understanding. A victim in one to one discussions stated: Voice was brilliant. They sent a letter on our behalf to the council and it was just emphasising the problems that were taking place with the neighbours and so forth, and in fairness to the police and to the council, they contacted us straight away. A victim discussed the benefits of having Voice s support at court: Yeah, I went for a day and they showed me. They were lovely, the people at the court, they were fantastic... And then they showed me around the court, what would, you know, where everybody would be, because I asked to be behind the screen While waiting in the room there was about three or four from Voice and they were lovely. And cause they re older, like they range from older to younger and they were just chatting away so you just sort of took your mind off it, you know, yeah, really, really, really supportive. 8

89 Support from specific areas within Voice: Voice for Children and Young People A parent discussed with us the value of the support received by her and her son: At that point when it came to Jill being there, I was at like my wits end what to do with different things, with [name of son], and then when we got the support that we did, it made us both realise that, a lot of things on a personal level didn t it, even though we went through a bad experience, it was an outsider coming into our home to actually offer us both support and I didn t think I needed support, but then in the end I did need support. Another parent stated: So I didn t realise he [youth worker] was there for me until I contacted him the other day and within a few minutes he d phoned me, you know, so I thought that was really good, so he s there to support all of us. Positive comments were made about how the youth workers successfully worked with the young people they were supporting: And I think the way he does it, which he probably doesn t know, is you get a child into an activity, you can talk, so this is the way Anton actually does it. And they forget about what they re speaking about so they don t have to think about it so they ll just come out with it. Voice for Road Harm Feedback from the one-to-one discussions held with road victims or witnesses were extremely positive about the support they received from Voice for Road Harm. Victims and witnesses stated that they felt the support was individually tailored to their needs and was very reassuring; Hugh kindly recommended a counsellor and I have to say I wasn t very keen to start with. Thinking about it, I m not that kind of person that, you know, you might find, you know, talking to strangers about things and dragging it back, it kind of then I think about all the time. But I thought, do you know what, I m going to give it a go. And that s the best thing I did to be fair, it is the best thing I did, it really is. But because she s (the counsellor) like my rock, that s the word I m looking for and I can ring her whenever I want - I haven t - I can text her whenever, she s just that little bit of support, you know. Another victim spoke of the professionalism of the support offered: I got on with her [the counsellor] very quickly. She was always punctual, never late, never cancelled an appointment, never deferred a week, she always did exactly what she said she d do and sort of kept on task, you know. I thought she was really good. And I would be sorry for other people if Voice no longer 9

90 Areas of improvement Victims and witnesses suggested improvements for future services. One commented about the need for the right environment: I don t think it s right that it s an office environment, you know, perhaps more of a house, you know Somewhere more comfortable, somewhere with a more natural environment, where promote the freedom to talk I think it just lacks empathy, you know, it s all clinical. However this contrasted with the service provided by the Voice road harm service, where they where they often visited people in their own home environment: She would arrange for Lisa to come and see me. She said I wouldn t have to go anywhere or travel which was fortunate. And that was it really. I left it at that. Then Lisa contacted me quite quickly, this all happened sort of within a few days and then Lisa came to see me the following Monday. Police and local authorities A victim of long term anti-social behaviour described the frustration with the lack of information given to victims by the police and local authority and how effectively the two organisations worked together: I don t know how the police are interlocked with the council but they kept saying to us, we report it to the council, the council report it the police, and that s as far as it seemed to get. Forty-four victims commented on improvements to the support Voice provides, 26 felt that nothing could be improved. Some felt that Voice were not flexible enough when making appointments or allocating workers: I was not contacted at the time specified because my case was assigned to someone whose availability did not match mine. Others were concerned with the level of resources Voice had to support victim s needs: It was obvious that resources were very limited. A good service was still offered however the impression given was that services were limited. A victim felt that Voice should be able to refer victims to other organisations in the community: Being able to refer to social work, mental health teams, council, schools, etc to be involved. Support at inquests One victim spoke in depth about the significant impact being called to an inquest a year after witnessing a fatal road collision had on them: Officers shook hands with every member of the family, the judge greeted the family, every member, they all, you know, were together, and I was there, invisible, shaking, with tears in my eyes, really holding back as much as I could because again, who are you to cry, it didn t happen to you, you didn t lose your son, you didn t lose your brother, and, but there was nothing, not one of the officers came to me to thank me 10

91 for being there, it was traumatic, it was very traumatic, and I should have taken someone with me. I just needed a hug, I needed to be held, you know. The victim described wishing to read their own statement which instead was read by the coroner: Everybody read their own testimony, statement, but the judge decided to read mine, and she read it in such a way that it was almost discrediting, I felt belittled And it s just like, I would never say it like that, I would never give my statement like that. The victim described being contacted by the family s police liaison officer to thank her for attending the inquest on behalf of the family and then referred her to Voice: She realised [the officer] that I wasn t over it at all, despite the time that had elapsed. I was in a really bad state and it had all come up anyway with this, come back to the surface. And then she offered, she talked about this service that had just begun in January of 2016 I believe...hugh, came to see me, very soon after she called me and she said she would arrange it. So he called me, he came, and we talked a little bit. He was very human, very approachable, and then he asked me if I would like some counselling session and they could come to me, and I was, yes. And then Julie - we had, I don t know how many sessions we had - but it was very helpful. It s like you have a wound and you put a plaster, put a plaster, put a plaster, but it festers. Issues for further consideration The feedback gathered from this consultation will help inform the commissioning processes for future services for victims and witnesses 46% of victims who had not received support from Voice, would have asked support if it had been offered. a) There is a need to significantly increase the profile of Voice, to promote the type of support on offer and the fact that victims and witnesses can self-refer. b) Other methods of referral to Voice should be considered, together with increased education about Voice services to police officers, local partner agencies, and through services victims are likely to come into contact with e.g. GP surgeries and children s centres etc. The impact of attending inquests can be extremely traumatic with witnesses having to relive their experience, witness support at inquests should be considered. Please note: The OPCC feel confident that since the full introduction of Voice for Road Harm in the last 12 months that victims and their families, and witnesses of road fatalities or serious injuries, are now identified at a much earlier stage. Therefore offering support throughout the whole victim and witness journey, which would include support at inquests. Witnesses appear to be more dissatisfied with the support received, however only small numbers took part in this consultation. Therefore further in depth consultation is needed with this group to understand if there is a higher level of dissatisfaction and the reasons for this. The support offered by both Voice road harm and the children and young people s service was spoken very positively about. In particular several victims gave examples of excellent quality of service that was tailored to their needs. Learning should be taken from these services to consider how this could be delivered more consistently to all victims and 11

92 Northamptonshire Police and Crime Commission Correspondence address: The West Wing, Force Headquarters, Wootton Hall, Northampton, NN4 0JQ Telephone:

93 Plan for Voice Re-Commissioning Workstream Deliverable Owner Mar 20-Mar 27-Mar 03-Apr 10-Apr 17-Apr 24-Apr 01-May 08-May 15-May 22-May 29-May 05-Jun 12-Jun 19-Jun 26-Jun 03-Jul 10-Jul 17-Jul 24-Jul 31-Jul 07-Aug 14-Aug 21-Aug 28-Aug 04-Sep 11-Sep 18-Sep 25-Sep 02-Oct 09-Oct 16-Oct 23-Oct 30-Oct 06-Nov 13-Nov 20-Nov 27-Nov Business Case Draft VM Final VM Decision on final model VM Premises Consider taking on lease of Riverside PB/RJ Longer term solution PB/RJ Legal and Entity Development Initial legal advice provided PB/legal Set up new organisation PB/legal IT Understand current systems SC/VM Consider options for case management SC/VM Decision on case management PB/VM Implement systemn if required SC/TC Develop data feeds SC/VM Testing SC Processes and Procedures Understand as is position VM/LN Other organisations considered VM/LN Training as is VM/LN Training consideration of other organisations VM/LN Develop traiinig package LN/CEX Traning partner(s) contracted LN/CEX Induction delivered CEX Requirements from Force produced VM/PB Force engaged to deliver reuirements Force HR inc. volunteering Develop CEX JD VM Hay CEX JD CC Recruit CEX PB/VM Develop HR policies VM/CEX TUPE process CC/PB Consultation on new model CC/PB New JDs CEX/VM TUPE of staff PB/VM Information sharing/assurance Discuss model with Force ISO VM Develop ISA between entity and Force VM Quality and Performance Framework Develop new frameowrk based on Northumbria VM/PB Discuss requirements with IPSCJ PB Comms and Engagement Develop new strategy and plan CEX/VM Engage partners to make aware of changes VM/PB Trauma Commissioning Develop Spec VM Tender out VM Provider engagement VM/CEX Decision on provider VM/PB/CEX Mobilisation CEX Go Live CEX VAWG Interim SARC and ISVA VM Strategic review VM

94 Initial Equality Impact Assessment Title of Initiative Re-Commissioning Victim and Witness Support Services Date March 2017 The Equality Act 2010 places duties on all public sector organizations, including the Office of the Police and Crime Commissioner, to have Due Regard to: The elimination of discrimination, harassment and victimisation The advancement of equality of opportunity between and for different groups of protected characteristics The fostering of good relations between and for different groups of protected characteristics This EqIA is essential to enable you to analyse impacts of equality for any police, practice or function, whether new or altered. In addition it enables consideration of opportunities to advance equality. The Protected characteristics we must consider in terms of the above duties are referred to in the Equality Act 2010 Public Sector Equality Duty and are: Sex Sexual orientation (heterosexuality, homosexuality, etc) Gender reassignment (i.e. transgender individuals), Religion or belief (including no belief) Age (young and old), Pregnancy and Maternity Disability (mental, and physical) Marriage and Civil Partnership Only applies to the first aim of the Race and ethnicity, Public Sector Equality Duty above Equality Analysis

95 1. Who is responsible for equality analysis? Is this a new or existing policy, practice, service or function? Assessment produced by: New project of work Vicki Martin 2. Details of policy, practice, service or function What are the aims and objectives of the policy, practice or function? If this EqIA is assessing the impact of a proposed change please describe the aims of the proposed change. Who is intended to benefit from this proposal policy, practice or function? Who are the main stakeholders in relation to the proposed policy/service/function? (Partners, Community Groups, Commissioned Services etc) Who implements the proposed Policy/Service/Function and is responsible for it? This project will; strengthen the support services available to victims and ensure their needs and priorities are met based on researched evidence; deliver a commissioning model which raises the standards and range of victim support services in the county, introducing provision of these left previously unsupported; develop a co-commissioning model with other agencies to deliver holistic services which meet the ranging needs of victims and their families; address the needs of young victims and witnesses and develop support services to ensure support can be provided in the most appropriate and accessible ways and finally, this project will provide specialist support designed to help victims and their families rebuild their lives and their overall wellbeing, thereby reducing the risk of secondary-victimisation through the justice process and helping to build resilience. Victims and witnesses and their families and all those affected by crime in Northamptonshire. NHS, Northamptonshire County Council, Victim and Witness support services, local authorities, all partner agencies linked to work with victims, witnesses and their families. Head of Commissioning 3. Data, Consultation, Feedback and Analysis

96 Source e.g. surveys, performance information, consultation etc Victim s Voice Report: large scale consultation with victims, witnesses and stakeholders, organisations, providers and specialists across victim and witness services and across a range of crime types and experiences. Best practice review of services provided to victims, assessing evaluations nationally and internationally of service delivery and satisfaction/views from victims. Updated Victim s Voice Consultation 2017 Reasons for using The consultation highlighted recommendations to deliver quality commissioning of specialist services (such as ASB, Domestic Violence) and serious and sensitive cases (such as victims of road collisions and fatalities). Also highlighted was the need for specialist support to be more accessible to people who have chosen not to formally report their crime but who still require support. Provides evaluation and evidence from other areas describing some of the positive and negative impacts of support service provision to victims. The consultation highlighted distance travelled since the original report in 2013 highlighting victim and witnesses experiences since the creation of Voice. In response to the information above, please state whether there are concerns or evidence that the policy/ procedure/ function could have a specific impact on people from the following groups? Sex Gender Reassignment Age Disability Race & Ethnicity Sexual Orientation Religion or Belief (or No Belief) Pregnancy & Maternity Human Rights Based on the above information, what impact will this proposal have on the following groups? Can the policy/procedure/function be altered to help mitigate or alleviate a negative impact? Can the policy/procedure/function be altered to help meet our Public Sector Equality Duty to advance equality? Positive Negative Neutral Unsure Yes No Unsure Yes No Unsure This project is designed to meet and exceed our equality duty.

97 Other Groups Are there any gaps in information and understanding of your policy and services? If yes please include how you intend to fill these gaps in the Action Planning section. Gaps in data/ understanding 4. Action Planning Analysing equalities should be a continuous process. Where a full assessment is not required, but minor changes or amendments to the planned proposal can be made, please use the action plan template below. Planned Actions Responsibility Timeframe Success Measure Engagement with local and national stakeholders in relation to perceptions of best-practice in victim support services Further consultation with victims, witnesses and families Needs assessments Do stakeholders agree with your findings and proposed response? 5. Should the policy proceed to a full impact assessment? Is there is evidence of a disproportionate adverse or positive impact on any groups of protected characteristic? Are there concerns that there may be an impact that cannot be easily mitigated or alleviated through minor alterations? Is there an opportunity to significantly alter your proposal to meet the positive duties? If yes to any of the above then you must answer YES unless you can provide strong justification below.

98 Yes No x Explain your reasons for your answer: This project is aimed to provide services to victims and witnesses that are evidence-based, meet their needs, are joined up with wider services and provide holistic family care where appropriate. It is not disproportionate to one group over another, but designed to deliver services to meet individual needs. 6. Review Review Date

99 Full Equality Impact Assessment This is a Full Equality Impact Assessment. It is intended to expand and build upon the material within the initial assessment. 7. Based on your analysis in the initial form, please explain in more detail the impact Sex Gender Reassignment Impact Identified through initial assessment Does the impact disproportionately affect any of the listed groups? How can the policy be changed for certain groups to help meet our positive duties, or mitigate adverse impacts? What consultation/ Involvement is planned to fully investigate the impact and solutions for mitigation? Age Disability Race & Ethnicity Sexual Orientation Religion or Belief (or No Belief) Pregnancy & Maternity Human Rights Other Groups