Probation Circular

ACCREDITED PROGRAMMES PERFORMANCE REPORTING VIA IAPS
PURPOSE
To provide areas with information regarding: Programmes performance reporting through IAPS Future plans for IAPS and migration to NOMIS Checklist for areas to self assess their readiness for NOMIS migration REFERENCE NO: 45/2005 ISSUE DATE: 17 June 2005 IMPLEMENTATION DATE: Immediate EXPIRY DATE: December 2006 TO: Chairs of Probation Boards Chief Officers of Probation Secretaries of Probation Boards Information Managers CC: Board Treasurers Regional Managers AUTHORISED BY: Meg Blumsom, Head of Offending Behaviour Programmes Paul Duffin, Head of Probation ICT ATTACHED: Annex A - ‘Business Ready’ Checklist for the Full Implementation of the Accredited Programmes System (IAPS)

ACTION
Chief Officers to ensure that the contents of this circular are drawn to the attention of staff responsible for management of performance reporting, Accredited Programmes and all staff responsible for IAPS data entry. Chief Officers should note that the data in IAPS national throughput reports will be treated as that which is definitive for areas.

SUMMARY
Areas were advised in January 2005 that the NPD performance reports would be collected via IAPS from the April 2005 returns and that local system returns would no longer be accepted. The following is provided in this PC: 1 Clarification of data entry deadline dates for NPD monthly throughput reports until December 2005. 2 Information to enable areas to check NPD reports locally 3 Information on the migration of Accredited Programmes data to NOMIS 4 Planned releases of IAPS and revised monthly throughput report 5 IAPS Business Ready Checklist

RELEVANT PREVIOUS PROBATION CIRCULARS
PC06/2005 – Offending Behaviour Programmes: Profile of Delivery & Data Collection Requirements

CONTACT FOR ENQUIRIES
Alison Sims (IAPS Project Manager) Alison.Sims@homeoffice.gsi.gov.uk Liz Calvert (IAPS Business Support Manager) Liz.Calvert@hull24.com

National Probation Directorate
Horseferry House, Dean Ryle Street, London, SW1P 2AW

1 NPD recognises that reporting from IAPS has until now been primarily centrally driven. IAPS is producing the performance reports and research information required for the centre. In order for IAPS to continue to improve as a tool for Accredited Programmes management in areas, it is important that areas take ownership of it and utilise it to improve Accredited Programmes performance locally and in readiness for migration to NOMIS. The initial arrangements for data entry allow a three-week gap between end of month and last date of entry for data to be part of the area report. This is to allow all areas time to ensure that they have all relevant data entered for all offenders. From September, this gap will be reduced to allow timely reporting of data for performance management reports to Ministers, Boards etc. Timely reporting is essential for all delivery organisations, and areas are better able to achieve this if they are using the system in “direct time entry”. Areas should note that where all data is not entered into IAPS in the requisite time frame, the national data will not reflect the Area’s position accurately. Note: The data in IAPS national throughput reports will be treated as that which is definitive for areas. Annex A provides a checklist for ‘business readiness’ that outlines stages of moving towards full “direct time entry” mode. This provides a method of self assessment against specific criteria for areas to measure where they currently are on the implementation scale and where they need to be in order to make the most efficient use of IAPS and to support local reporting. Additional support for Ad-hoc reporting to assist area performance management is underway. Presentations and workshops on ad-hoc reporting for areas and the IAPS user group will be held in the second and third weeks of September. Michele Taylor (formerly with London Probation area) has joined the IAPS team at NPD to drive forward support for ad hoc reporting from IAPS Data Entry deadlines for NPD Monthly throughput returns until December 2005: Reporting Month Last date for data entry into IAPS to guarantee inclusion in NPD report 22 June 2005 21 July 2005 23 August 2005 22 September 2005 NPD Report collected centrally from IAPS

May 2005 June 2005, Q1 OGRS and Evaluation Measures July 2005 August 2005

30 June 2005 29 July 2005 31 August 2005 30 September 2005

By this time areas should be up to date with their data entry and NPD will collect reports earlier from then on. September 2005, Q2 OGRS and Evaluation Measures October 2005 November 2005 December 2005, Q3 OGRS and Evaluation Measures 7 October 2005 4 November 2005 9 December 2005 6 January 2006 14 October 2005 11 November 2005 16 December 2005 13 January 2006

PC45/2005 – Accredited Programmes Performance Reporting via IAPS

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How to check your NPD Throughput reports on your local area IAPS reports PC:

Open the IAPS reporting database:Select the Area, report month and report type (IRL 0035 Monthly Throughput report) from the reports options Click on the Preview button and choose save to file or print report This report will be identical in format to the IAPS monthly throughput report collected at the centre. Note: There is a delay between data being entered at the area, and being received and processed on the National Reporting system in Chelmsford; the gap between the last date for data entry and the date of report collection by NPD allows for this. In order to check the individual offenders that are counted in the figures within the NPD Throughput report: The appropriate data table view in the IAPS reports database should be selected and opened Select and filter the “reporting Month” of data and extract it into an Excel spreadsheet for analysis. To find the database tables: Open the IAPS reporting database and click on the Database button at the bottom left of the dialogue box Find the database table views that are prefixed by Probation_NPD_ Each category in the NPD throughput report has two database table views Summary view which has data summarised by reporting month Detailed view (denoted by _D at the end) which has individual offender detail for each reporting period To extract a specific months worth of data into Excel for analysis: Double click on the required Database view to open it and display data Select the required month from the PERIOD column and click on “Filter by selection” button on the toolbar Click on the Tools Menu Option and choose Office Links and select Analyse It with MS Excel Save file to Excel and use Excel filtering options to review the individual offender details Note: If there are queries and a specific offender is not showing in the month expected, search the original data table, just in case data entry errors have put the offender into a different month by mistake. I2n can assist with reports issues and queries (tel 0870 444 0574) 3 Migration of Accredited Programmes data to NOMIS:

IAPS is the only approved route for Accredited Programmes data to be migrated into NOMIS. Recent investigations by the NOMIS migration team and work on the eOASys/IAPS data recognises that overall data quality across all area IT systems will need to be improved. The eOASys/IAPS interface will pull through basic Offender and case details (including Risk summary) from an eOASys assessment, where an Accredited Programme is a proposal or disposal. This interface will be able to assist areas with some data quality checks across the two applications, for example: Names that are spelt differently in eOASys and in IAPS will not show a clear match and therefore they will appear as new offenders in IAPS. If the PNC number is unique and a match is found they will appear in IAPS as existing offenders with error fields which will have to be resolved before pulling data into IAPS. The eOASys/IAPS interface assumes that offender and Case data will always be updated in eOASys and IAPS data will be able to “pull through” the updated data from eOASys as required, so that it remains current. IAPS does not allow duplicate offenders or duplicate PNC numbers, so area staff will have to decide whether an offender flagged as a duplicate is already on the IAPS system, or is in fact a new offender. [Note: The quality of the data pulled through into IAPS will be dependent on the quality of data in eOASys.] Note: PNC Numbers will be key for data migration to NOMIS as the means of uniquely identifying individual offenders and matching up IAPS data with Case Management and eOASys. Tools will be provided for the migration of data from IAPS into NOMIS. NPD performance reporting will be available from both IAPS and NOMIS during the transition period. First phase delivery of NOMIS (to include Accredited Programmes functionality) is due to begin in July 2006. Deployment across all areas is expected to take around 18 months.

PC45/2005 – Accredited Programmes Performance Reporting via IAPS

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Planned Enhancements to IAPS and the Monthly throughput report:

The NPD monthly throughput report will be enhanced to include the number of dropouts and reasons for dropout from the June 2005 reports (Collected at the end of July 2005). This will remove the need for areas to provide seperate quarterly dropout reports to NPD. The revised reports will be: User acceptance tested (UAT) at the end of June against the May figures Delivered remotely to local area IAPS reports PC’s by the middle of July 2005. Research Datasets have been specified and once developed will be made available to areas for local research and review purposes. Current estimate for delivery of the datasets to areas is September 2005. EOASys/IAPS interface: The first phase of UAT for the eOASys/IAPS interface has been completed and a significant part of the functionality has been delivered with the CJA release (IAPS ver 3.4) Full functionality of the interface is likely to be delivered and “switched on” in the first three areas by August 2005 against eOASys version 2.27. The initial pull of data from eOASys is expected to be significant and NPD will provide support and advice for areas on management of this initial data load. Areas will be able to choose when they switch on the operation of the interface. Any areas that have views about when they would like to utilise the interface, should contact Alison Sims so that their requirements can be taken into consideration. There is not likely to be a significant training requirement in terms of how to use the interface, but there may well be significant training required in local business process management for handling exceptions and the initial data load. Local Management Information: A data view tailored to local management needs is under consideration. This would include details like waiting lists and time to end of order for offenders who have not commenced programmes. Further details to follow. IAPS version 3.5 has been specified by the IAPS user group and NPD and is currently awaiting a detailed proposal from the software suppliers. This release will resolve a number of outstanding issues and change requests, as well as revising the tutor registration process, Post Programme Report, session review and video monitoring forms in addition to letters. Since NOMIS is on the horizon, the release will not provide significant new functionality, but will refine the operation of existing functions to assist further with programme mananagement and usability. Delivery dates on this release will be advised in the near future. Workshops with the IAPS user group and other interest groups are being planned to: Review IAPS views so that redundant views are removed and replaced by views that can support Accredited Programmes management and performance improvements (June and September user group meetings) Review Ad hoc reporting requirements To support Accredited Programmes management and performance improvements For data quality and exception reports. Contact details: Alison Sims (IAPS Project Manager) Alison.Sims@homeoffice.gsi.gov.uk Liz Calvert (IAPS Business Support Manager) Liz.Calvert@hull24.com

PC45/2005 – Accredited Programmes Performance Reporting via IAPS

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ANNEX A – IAPS BUSINESS READY CHECKLIST ‘Business Ready’ Checklist for the Full Implementation of the Accredited Programmes System (IAPS)
The following checklist provides a range of descriptions that characterise stages of implementation of the Accredited Programme System. Each description is allocated a score based on desirability. The higher the score the more positive the situation. The overall aim is to help areas identify where they are in terms of implementation and the action required to progress to full implementation. Full implementation is defined as: where all relevant staff use the system in real time. For some areas, full implementation may have been achieved in most aspects but not others, while for other areas progress to full implementation may be less well advanced. In order to demonstrate that the area is business ready the checklist should be completed by senior managers and an action plan developed to improve the lower scoring aspects. The RWWM’s will review the self assessment checklist and, where high or low scores are identified, ask for the evidence of the criteria to be provided. They will also work with the area to develop an action plan. The RWWM’s and NPD will oversee implementation of the action plan via regular progress reports from areas and take appropriate action. A copy of the initial assessment, action plans and progress reports will be submitted to NPD for comment. The overall score gives the area an indication of their stage of readiness. The scores in each section identifies where improvements are required. NPD will seek to provide help and guidance to the areas to promote improvement and in identifying areas that have developed specific aspects as a strength to share expertise. Areas that score low in all or the majority of sections will be provided with some support from NPD. This will be determined on a case by case basis and involve the NPD Performance and Planning Unit.

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ANNEX A – IAPS BUSINESS READY CHECKLIST
The current model of implementation enables full and appropriate use of the system Description of current situation See appendix 1 for further details • All relevant data is pulled through from eOASys and programme staff enter progress data into IAPS in real time • • Data is entered into IAPS in real time by field and programme unit staff only Data is entered into IAPS by both field and programme unit staff, only course attendances being recorded in real time by tutors supported by programme admin staff. Data is entered into IAPS by programme unit staff but not in real time Other non operational staff enter data into IAPS e.g. Information/IT staff All relevant operational and admin staff have been trained in the use of the system and can demonstrate competency in data entry The majority of relevant operational and admin staff have been trained and can demonstrate competency in data entry and there is a training schedule for the remainder A small number of relevant operational and admin staff have been trained and can demonstrate competency in data entry and there is a training schedule for the remainder. Score Evidence and action required 5

4 3

• • Staff training •

2 1

5 4

3

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ANNEX A – IAPS BUSINESS READY CHECKLIST
• • On going support (Within Area) • • • • • Maintenance training • No staff trained as yet but a training schedule exists No staff have been trained and there is a lack of a training schedule but plans to develop one There are excellent and well used local support systems for staff There are good local support systems in place but these are on the whole not well used There are some local support systems in place but not comprehensive and the use is patchy There are plans for a local support system but these are not operational Neither a local support system nor any plans for one exist There are plans in place and operational to provide top up training to new staff and there is evidence of staff receiving training There are plans in place and operational to provide top up training to staff but as yet no staff have received the training. There are plans in place to provide top up training but no resources set aside for delivery. A need for such training as been identified but no plans as yet There is no evidence of consideration of the need for top up training 2 1 5

4 3 2 1 5

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• • •

3 2 1 3

ANNEX A – IAPS BUSINESS READY CHECKLIST
Current level of data entry • • • • • • • • • • National Reporting • • Use of local • Full data entry is operational and data availability is comprehensive and of high quality. Full data entry is operational but there are some gaps in the data Partial data entry Is operational but all data required is entered and accurate Partial data entry is operational but there are gaps in the data required Minimum data entry operational There are plans in place and operational to sustain full data entry There are plans in place for full data entry in place with clear timescales. There are plans in place for partial data entry in place with clear timescales There are plans in place to improve data entry in place but no clear timescales There are no plans in place to move beyond minimum data entry Performance monitoring reports have been validated locally and fully meet NPD requirements IAPS not implemented – NPD reports cannot be produced from IAPS Standard and ad hoc reporting is operational and 5 4 3 2 1 5 4 3 2 1 5 0

Plans for future level of data entry

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ANNEX A – IAPS BUSINESS READY CHECKLIST
Reporting • • • is being used by both the Information and Programmes Units to improve performance Standard and ad hoc reports are operational but are of limited availability to practice Standard reporting operational only. Plans are available to implement ad hoc reporting Standard reports are operational but are of limited availability to practice. There are no plans to implement ad hoc reporting 5 4 3

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• Staff ownership •

There are plans to implement both standard and 1 ad hoc reporting 5 All staff groups show a good level of knowledge and ownership of the system and what information it can generate 4 All staff groups show some level of knowledge and ownership of the system and what information it can generate Knowledge and ownership of the system and what 3 it can generate is restricted to specific groups of staff Some staff groups show a knowledge of the system and what it can generate but this is not strategically planned. Only a minority of staff have knowledge and ownership of the system and what it can generate 2

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ANNEX A – IAPS BUSINESS READY CHECKLIST
The table below lists some of the sources of evidence for each aspect Sources of evidence National, standard and ad hoc reports are routinely available List of those trained and those waiting. This covers all types of staff and not just admin staff Summary of feedback from the training Helpdesk. Support person identified Local ambassadors identified and used Local user group established Training dates and waiting list covering all staff types Level of data held in the system and any gaps Plans with timescales Produced as required and data used by NPD Standard and ad hoc reports routinely produced. Operational staff make use of the information. There is an action plan for improving performance based on the reports Area can demonstrate staff are knowledgeable and are using the system appropriately (focus groups, meetings, etc) Local user group established involving a wide range of staff and not just IT staff Programmes senior managers are leading by example and are fully involved with the system

The current model of implementation enables full and appropriate use of the system Staff training On going support Maintenance training Current level of data entry Plans for future level of data entry National Reporting Local Reporting Staff ownership

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ANNEX A – IAPS BUSINESS READY CHECKLIST
APPENDIX 1 The following grid is to overcome the confusion in deciding whether an area is working in a front or back office environment. It is on a scale 1-5, 5 being the basic back office set-up and 1 being full front office implementation. Areas should be working towards full front office implementation. Scale Description 5 All relevant staff input data into IAPS in real time i.e o Referrals are created following eligibility and assessment criteria have been applied (PSR authors/Offender Managers) o Offender managers input pre and post programme sessions where applicable o Programme Unit staff create courses and enrol offenders as appropriate o Assessment Administrators enter assessment measures into IAPS following assessment o Programme tutors enter attendances and record status changes as appropriate o Post Programme Review details entered by tutor following review meeting 4 Data is entered into IAPS in real time by both field and programme unit staff i.e. o Referrals are created following eligibility and assessment criteria have been applied (Field admin staff) o Pre and post programme sessions where applicable are entered by field admin staff o Programme Unit staff create courses and enrol offenders as appropriate o Assessment measures entered into IAPS in real time o Programme tutors enter attendances and record status changes as appropriate o Post Programme Review details entered by programme unit staff 3 Data is entered into IAPS by both field and programme unit staff, course attendances being recorded in real time by tutors supported by programme admin staff. 2 All data is entered into IAPS by programme unit staff 1 Other non operational staff enter data into IAPS e.g. Information/IT staff 1 is unacceptable - implementation plans should include how and in what timescale an Area intends to move toto level 3, in the first instance. 2 - implementation plans should include how and in what timescale an Area intends to move to level 3, in the first instance. 3 - implementation plans should include how and in what timescale an Area intends to move to level 2. 4 – implementation is at an acceptable level at which to stay. 5 - is full front office implementation. 7