North Northamptonshire: local authority assessment

The local authority had a multi-layered governance framework that supported oversight of adult social care. Senior leaders maintained regular reporting structures through the Senior Leadership Team, improvement boards, and quarterly assurance meetings with elected members. The Director of Adult Social Services (DASS) met fortnightly with the Executive Team and acted as the internal auditor, ensuring that audit findings were integrated into governance processes. Strategic assurance meetings were held quarterly to review themes and risks, such as financial pressures and debt. The corporate plan was being refreshed to align with council priorities, and adult social care was embedded within the overarching Big 50 vision which was the local authority’s long-term strategy to shape the future of the region by the year 2050; a 25-year initiative designed to make the local authority a proud, prosperous, and proactive place to live, work, and thrive.

Following what the local authority called its vesting day on 1 April 2021 (when it became a unitary authority), the local authority began its transition into a unitary council. Leaders described the organisation as being “on a journey,” acknowledging the early stages of its development. Since that time, efforts have been made to implement strategies and policies that reflect local priorities and needs.

Progress was evident in the introduction of several new strategies, including the Adult Social Care Strategy 2024–2029. While strategic documents had been produced, there were limited accompanying process plans or review benchmarks to support their implementation and evaluation and implementation appeared to take several years. In some areas, such as commissioning, key strategies were still under development. For instance, although individual placement frameworks were being established, there was no overarching strategy to guide the integration and alignment of these systems. Staff feedback indicated that resource constraints impacted on the ability to plan proactively. As a result, much of the work was described as reactive, which posed challenges for long-term strategic planning.

At the time of reporting, there was no dedicated scrutiny panel for adult social care. Oversight of adult social care matters was instead conducted through the existing health scrutiny panel. It was noted that political leaders, both longstanding and newly appointed, required additional support to deepen their understanding of the complexities, responsibilities, and associated risks within the adult social care system.

Many staff reported that the existing information technology (IT) systems had presented barriers to carrying out their roles effectively. These limitations were found to impact communication, compromise data accuracy, and disrupt overall workflow. The concerns raised were acknowledged by leaders, who confirmed that a new IT system was in development. The intended improvements included enhanced operational flow, more reliable data recording, and better support for timely decision-making. The full implementation of the new system was not expected until 2027.

Data governance had been strengthened through the introduction of a clear strategy with defined workstreams and the establishment of a dedicated adult social care performance team. Staff reported that analysts were assigned to key service areas, enabling better oversight and early identification of risks. A local authority Information Governance Framework was in place, although the information asset register was still under development, which limited full visibility of data holdings.

Mobilisation documents frequently identified risks such as budget shortfalls, safeguarding concerns, and Key Performance Indicator (KPI) misinterpretation, but did not always demonstrate how these issues were resolved in collaboration with partners before implementation. Some partners reported variable engagement, with several expressing uncertainty around support initiatives or confusion regarding changes to funding models, suggesting that communication and change management could be strengthened.

The local authority demonstrated a strategic and evidence-informed approach to adult social care by actively using information about risk, performance, and inequalities to shape its strategies, allocate resources, and deliver targeted actions.

The Adult Social Care Strategy 2024–2029 (“The Lives We Live”) set out a vision for people to “live well, age well and stay well,” underpinned by commitments to improve review activity and monitor care effectiveness and complimentary initiatives such as the “Moving Forward with People” workstream. The strategy aligned with the Practice Framework and included the restructuring of social work teams to enhance resilience and better reflect local geographies.

Through the “Moving Forward with Place” transformation programme, the local authority addressed waiting lists and workforce sustainability, with a particular focus on rural areas and preventative support. Data from hospital discharge pathways, performance dashboards, and demand modelling was used to ensure service capacity and flow were monitored and responsive. Analysis of out-of-hours activity shaped a business case for Approved Mental Health Professional (AMHP) consolidation. Community feedback and learning from the Levelling Up Scrutiny Commission helped tailor recommendations to local priorities, while insights from Carers Conversations supported long-term planning.

Leaders told us, in response to a £11 million overspend in 2023/24, they committed to tighter budget control and more strategic financial planning. Business Continuity Plans (BCPs) were developed across multiple teams to identify corporate risk scenarios and critical functions, although the level of detail varied in terms of activation protocols and checklists.

Carers service mobilisation plans included auditing patient and carer flow, offering potential for strategic data generation. However, some plans lacked clarity on integration with local authority systems, posing risks to real-time performance monitoring. Strategic opportunities such as shared GP codes and ICB partnerships were identified, but there was limited evidence of their system-wide adoption.

Despite notable progress, the local authority faced ongoing challenges in fully aligning systems and staff around shared strategic goals. Strategic planning efforts were hindered by fragmented data infrastructure, with key information such as waiting lists and review data still maintained in spreadsheets outside of formal case management systems. An integrated reviews dashboard was in development, but it had yet to deliver real-time oversight, limiting its immediate impact on operational decision making. Staff also reported the persistence of legacy processes inherited from predecessor local authorities’, which contributed to inconsistencies in practice and slowed the adoption of unified approaches.

The local authority had established a number of controls and governance arrangements to maintain the security, availability, and confidentiality of personal information. These included a system-wide information governance framework, use of two-factor authentication for system access, and mandatory data protection training for staff.

Internal data handling and security protocols were robust. Staff told us that two-factor authentication, password protections, and restricted access were in place, with policies shaped and monitored by the Information Management Board. Staff also reported that a Cyber Security Manager post had been established and that the governance framework defined roles, responsibilities, and security standards. These were confirmed in staff presentations to CQC and reflected ongoing efforts to strengthen the information security infrastructure across adult social care and corporate IT systems.

All staff were reported to have completed annual data protection training, and the Information Management Board monitored compliance. This supported a high level of awareness and reduced the likelihood of breaches. In line with national best practice, the local authority stored key contingency and emergency planning documents on secure government platforms.