Supporting People - Supporting Independent Living: Folder 2 - Part 3: Operational Guidance and Part 4: Financial Guidance
5. CONTRACTING FRAMEWORK AND GUIDANCE
5.1 Introduction
5.1.1 Since the introduction of Supporting People in April 2003, Authorities and Providers have operated on Interim Contracts, Letter of Agreement and/or Service Level Agreements. The need to implement a Contracting Framework for Supporting People funded services has always been recognised and work has continued on developing this.
This framework and guidance is a combination of;
- consultation with stakeholders carried out in early 2004;
- development of Core Clauses by the Local Authorities Solicitors Group (LASG);
- the Supporting People Full Contracts Working Group and it's overarching work on all Clauses contained herein;
- contributions from local authority Supporting People Teams and contract departments, service providers and their representative bodies.
5.2 Level of Consultation
5.2.1 All parties have worked towards identifying an agreeable and workable contract framework for all - the Authority, the Provider and most of all one that recognises the interests of Service Users. It must also be emphasised that this guidance has undergone significant consultation and every effort has been made to meet the requirements of all stakeholders, where possible. However there is no statutory requirement for either party to adhere fully to the clauses within the guidance and there be may instances where local negotiations may be required on specific issues. It has however been designed to minimise negotiation and formalise contracts which in many cases will be the same in more than one local authority area, or to more than one Provider.
5.2.2 In creating this contracting framework and guidance it was important to identify the various issues to be addressed. Throughout this guidance reference is given to Core Clauses, Variable Clauses and Guidance Notes. For clarity these are defined as;
- Core Clauses: issues considered essential to all contracts, as provided by the LASG. (All Core Clauses are in bold throughout).
- Variable Clauses - Non-Core issues which need to be considered during contract negotiations but which may not be relevant to all contracts or Authorities, dependant on type. (All Variable Clauses are normal font throughout);
- Guidance Notes: General advice or clearer explanations of the relevant clause(s).
(All guidance notes are in italics throughout).
5.2.3 From research and consultation conducted it is apparent that terminology relating to contracts varies across local authority areas. In recognising the desire to retain local procedures, phrases etc, and while it is not intended to enforce one specified set, a list and definition of Contract Types is listed at Appendix 1 for reference. These are the definitions used in developing this framework but we recognise they may differ locally. These should be used on a "best fit" basis to reflect the contract type(s) offered in your area.
5.3 Available Formats
5.3.1 This framework and guidance is available in both hard and electronic format. The paper copy is designed to be used as reference toolkit while the electronic copy is designed to be used by both parties when drawing up a contract. The recommendation being that you start with a full version and remove guidance notes, non-relevant clauses etc as discussions progress, leaving you with an easy to use electronic contract. As well as reducing the workload of all parties it can easily be adapted for future and/or similar contracts. Local authorities Supporting People Teams are expected to retain and provide electronic copies for use by Providers with whom they may wish to contract within their area.
5.4 Issues Not Covered
5.4.1 Every effort has been made to ensure that as many issues as possible are included and covered in detail. Any issue(s) not covered within this framework and guidance should be addressed within local contract negotiations.
5.5 List of Annexes/Appendices
Annex 1 Framework & Guidance
Appendix 1 Types of Contracts
Appendix 2 ADSW Contracting Monitoring Framework
Appendix 3 Quality Assurance System
Appendix 4 (Part 6): Accidents And Emergencies
Annex 1 HOUSING SUPPORT SERVICES CONTRACT
BETWEEN
[Insert Name of Local Authority]
AND
[Insert Name of Service Provider]
CONDITIONS OF CONTRACT AND RELATED SCHEDULE
INDEX
1 DEFINITIONS, INTERPRETATION AND RELATED MATTERS (C)
2. PERIOD OF AGREEMENT (V)
3. ASSESSMENT and REFERRAL OF SERVICE USERS (V)
4. SERVICE USERS RIGHTS (C)
5. INFORMATION FOR SERVICE USERS (C)
6. SIGNING OF DOCUMENTS BY SERVICE USERS (C)
7. SERVICE USER'S CONSENT (C)
8. PROVIDER'S PROCEDURES (C)
9. REGISTRATION (C)
10. STAFFING (C)
11. COMPLAINTS AND SUGGESTIONS (C & V)
12. NOTIFICATION OF EMERGENCIES (C)
13. CONFIDENTIALITY (V)
14. DATA PROTECTION (C)
15. FREEDOM OF INFORMATION (C)
16. HUMAN RIGHTS (C)
17. NON DISCRIMINATION (C)
18. RACIAL DISCRIMINATION AND PROMOTION OF RACIAL EQUALITY (V)
19. OTHER STATUTORY REQUIREMENTS (C)
20. INDEMNITY (C)
21. INSURANCE AND SECURITY (C)
22. SERVICE USER'S REVIEWS (C)
23. DISCONTINUANCE OF SERVICES TO A SERV ICE USER (C)
24. CONTRACT MONITORING (C & V)
25. PERFORMANCE STANDARDS / QUALITY ASSURANCE (C)
26. SERVICE REVIEW (V)
27. FINANCIAL ARRANGEMENTS (V)
28. ASSIGNATION, VARIATION AND SUBCONTRACTING (C)
29. TERMINATION OF CONTRACT AND DEFAULT (C)
30. RESOLUTION OF DISPUTES (C)
31. FORCE MAJEURE (C)
32. EXERCISE OF POWERS etc. (C)
33. CORRUPT PAYMENTS OR INDUCEMENTS (C)
34. NOTICES (C)
35. COURTS POWER TO MODIFY AGREEMENT (C)
36. WAIVER OF REMEDIES (C)
37. ENTIRE AGREEMENT (C)
38. LAW OF SCOTLAND (C)
SCHEDULE
PART 1 CONTRACT PRICE (V)
PART 2 LIAISON OFFICERS (V)
PART 3 SERVICE SPECIFICATION (V)
PART 4 FORMAT OF SERVICE USER REVIEWS (V)
PART 5 MENTAL WELFARE COMMISSION ACCIDENT/INCIDENT REPORT (V)
PART 6 ACCIDENTS AND EMERGENCIES (SEE APPENDIX 4) (C)
PART 7 CONFIDENTIALITY SCHEDULE (V)
GUIDANCE PURPOSES ONLY - NOT PART OF FINAL CONTRACT
APPENDIX 1 Types of Contracts
APPENDIX 2 ADSW - Contract monitoring framework
APPENDIX 3 QUALITY ASSURANCE SYSTEM
APPENDIX 4 (PART 6): TYPES OF ACCIDENTS AND EMERGENCIES
AGREEMENT
Between
*** COUNCIL a local authority incorporated under the Local Government Etc., (Scotland) Act 1994 and having its principal office at *** and their statutory successors whomsoever (hereinafter referred to as "the Authority")
and
*** and having its principal office at *** (hereinafter referred to as "the Provider")
WHEREAS
1.
2.
3.
4. The Provider has been commissioned to meet the housing support needs of the Service User in terms of this agreement ("this Agreement").
NOW THEREFORE it is hereby agreed as follows:
The Provider shall deliver the Services in accordance with this Agreement.
1 DEFINITIONS, INTERPRETATION AND RELATED MATTERS
1.1 In this Agreement the following definitions apply:-
Note: Those in bold are contained in the Core Clauses.
" Care Commission" means the Scottish Commission for the Regulation of Care established under the Regulation of Care (Scotland) Act 2001.
" Central Registered Body in Scotland" (CRBS) is a body set up under the auspices of Volunteer Development Scotland, (VDS), which processes applications for criminal record checks from volunteers.
" Chargeable Service User" means someone who is liable to pay (in part or in full) for housing support services they receive.
" Commencement Date" means the date this Agreement shall take effect notwithstanding the date or dates of execution hereof and shall be [***].
" Commission for Racial Equality" means the body set up under the Race Relations Act 1976 having its head office at St. Dunstan's House, 201-211 Borough High Street, London SE1 1GZ.
" Complaints Register" means a register containing any formal complaint made by a Service User or a Representative about the Service, the outcome of such complaint and the action taken.
" Direct Support" means the provision of housing support services to the Service User but for the purposes of clause 10.14, this does not include the services of a warden in Sheltered Housing.
" Disability Rights Commission" means the body set up under the Disability Rights Commission Act 1999 having its head office at 3rd floor, Fox Court, 14 Grays Inn Road, London, WC1X 8HN.
" Disclosure" means a criminal record certificate or enhanced criminal record certificate issued by Disclosure Scotland under Part V of the Police Act 1997.
" Disclosure Scotland" means the Disclosure Bureau empowered under Part V of the Police Act 1997 to issue criminal record certificates and enhanced criminal record certificates and based for the time being at the Scottish Criminal Record Office, Pacific Quay, Glasgow, G51 1EA.
" Equal Opportunities Commission" means the body set up under the Sex Discrimination Act 1975 having its head office at Arndale House, Arndale Centre, Manchester M4 3EQ.
" Financial Year" means the period of twelve months ending with 31 March.
" Housing Support Plan" means the personal plan as required under the Regulations and the National Care Standards that shall form the basis of Service provision to meet the Service User's needs as assessed by the Authority's assessment officer.
" Mental Disorder" means any mental disorder as specified within the Mental Health (Care and Treatment)(Scotland) Act 2003 including dementia and learning disability.
" Mental Welfare Commission" means the Mental Welfare Commission for Scotland, as defined by the Mental Health (Care and Treatment)(Scotland) Act 2003 and having a place of business at Argyle House, 3 Lady Lawson Street, Edinburgh EH3 9SH.
" National Care Standards" means those standards for Housing Support Services from time to time in force prepared and published by the Scottish Ministers under the Regulation of Care (Scotland) Act 2001.
" Ombudsman" means the individual appointed by Her Majesty on the nomination of the Scottish Parliament in terms of the Scottish Public Service Ombudsman Act 2002.
" Registration" means registration granted by the Care Commission in terms of the Regulation of Care (Scotland) Act 2001.
" Regulations" means the Regulation of Care (Requirements as to Care Services) (Scotland) Regulations 2002.
" Representative" means the person, if any, nominated by the Service User by a power of Attorney prior to the onset of incapacity, or by a court order in terms of the Adults with Incapacity (Scotland) Act 2000, to be first contacted or advised by the Provider and the Authority regarding the Service User's circumstances or any significant change thereto, who shall, in the event of the Service User failing to nominate any such person, be the Service User's next of kin or any other person who the Provider and the Authority agree has a relevant interest with regard to the Service User, whom failing, the Authority."
" Schedule" means the Schedule in X parts annexed and executed as relative hereto.
" Scottish Social Services Council" means that body set up under the Regulation of Care (Scotland) Act 2001 and having its head office at Compass House, 11 Riverside Drive, Dundee DD1 4NY.
" Service Specification" means the Service Specification appended as Part 3 of this Agreement.
" Service User" means any person in receipt of Services in terms of this Agreement including such persons when Services to them are suspended on a temporary basis.
" Services" means such of the housing support services as described in the Schedule to the Housing (Scotland) Act 2001 (Housing Support Services) Regulations 2002 and accompanying statutory guidance, as are provided to Service Users by the Provider in terms of the Housing Support Plan and Service Specification.
" Sheltered Housing" means accommodation for vulnerable or older people in a group setting to which an alarm system and/or the services of a warden (either live-in or on-call) are provided to the residents of that accommodation.
" Staff" means any person engaged by the Provider in terms of a contract of employment between that person and the Provider for the purposes of providing the Services but shall exclude any sub-contractor or Volunteer involved in or with the Service.
" Volunteer" means any person willing to assist in the support provided to the Service Users at the request of the Provider other than by way of a contract of employment or of service and who does not receive any payment for the same by way of wages or otherwise except repayment of necessary outlays such as travelling expenses.
" Working Days" means Monday to Friday, both days inclusive, except public holidays in the locality of the parties' administrative offices.
1.2 References to any statutory provisions herein shall be construed as references to those provisions as respectively amended or re-enacted either before or after the date of this Agreement from time to time.
1.3 In this Agreement, words importing the singular number only shall be deemed to include the plural number and vice versa unless the context otherwise requires.
1.4 Reference to persons in this Agreement shall include all entities with legal personality including natural persons, partnerships and companies save where the context otherwise requires.
2. PERIOD OF AGREEMENT
[Insert period of Agreement]
3. ASSESSMENT and REFERRAL OF SERVICE USERS
Authorities and Providers are likely to already have established procedures in operation for the assessment and referral of Service Users. Any variance to these procedures exclusive to a particular contract should be negotiated locally and recorded at the outset.
4. SERVICE USERS RIGHTS
4.1 The Authority regard the interest, wellbeing and housing support needs of Service Users as paramount. Therefore, the Provider must at all times during the term of the Agreement ensure that the Service User's rights as an individual, as referred to in the 7th National Care Standard, are respected.
5. INFORMATION FOR SERVICE USERS
5.1 Prior to delivery of the Services, the Provider shall provide Service Users or their Representatives with the following information:-
(i) the introductory information pack as referred to in the first National Care Standard; and
(ii) a written agreement as referred to in the second National Care Standard.
5.2 The information referred to in clause 5.1 shall be reviewed and regularly updated by the Provider to ensure accuracy of the same and a copy of the said information and any amendments thereto shall be supplied to the Authority on request.
5.3 The Provider shall produce a Housing Support Plan in accordance with the provisions of Regulation 5 of the Regulations.
5.4 Where a Service User has access to an advocate or interpreter or other person to assist them to communicate, the Provider shall take all reasonable steps to avail themselves of the facilities offered by such persons.
6. SIGNING OF DOCUMENTS BY SERVICE USERS
6.1 The Service User shall not be required or requested by the Provider to sign any agreement, consent form, disclaimer notice or acceptance notice which in any way conflicts with the terms and conditions expressed or implied in this Agreement or which affect the Service User's statutory rights. Any agreement, consent form, disclaimer notice or acceptance notice entered into in contravention of this clause shall not affect the Provider's obligations under this Agreement or the Service User's rights. Nothing in this clause shall prevent the Service Provider from requesting a Service User to give written consent (or where the Service User is incapable of giving such consent, his Representative) to personal data being provided to the Authority in terms of clause 14.1 of this Agreement.
7. SERVICE USER'S CONSENT
7.1 Where the consent of a Service User, written or otherwise, is required in terms of the Agreement and that Service User is incapable of so consenting the Provider shall seek to ensure that the Service User's Representative is made aware of and agrees to the proposed arrangements. In such an event the Representative may at the request of the Provider provide a written acknowledgement that they agree to or accept the proposed arrangement as aforesaid. Any such acknowledgement shall specify that it is not and does not purport to be a legal obligation binding the Service User or the Representative.
7.2 In respect of Service Users whose ability to make informed choices may be impaired the Provider shall apply the following principles:-
(i) The Provider shall use his best endeavours to implement all obligations imposed on him in relation to rights of Service Users referred to in the National Care Standards;
(ii) Service Users shall be assumed to be capable of exercising choice unless this is clearly shown not to be the case; and
(iii) Service Users shall be given as much information as possible in ways that they can understand about any issues affecting them.
8. PROVIDER'S PROCEDURES
It is a material condition of this Agreement that the Provider is on the Authority's Approved Provider List ("the APL") or, in circumstances where the Authority does not have an APL, has successfully completed the Authority's tender process pertaining to this Agreement. Throughout the duration of this Agreement the Provider shall ensure that the policies and procedures submitted by him and approved by the Authority when the Provider applied to join the APL or took part in the said tender process are in force and are regularly reviewed and amended to ensure that they reflect up-to-date knowledge and best practice in relation to the support of Service Users. Copies of such amendments shall be supplied to the Authority on request. The Provider shall ensure that all relevant Staff and (if their use is permitted under this Agreement) Volunteers are trained in those policies and procedures.
9. REGISTRATION
9.1 It is a material condition of this Agreement that where the Provider is legally obliged to make an application for Registration of any of the Services they shall be so registered at the Commencement Date and shall remain so throughout the period of this Agreement.
9.2 If the Registration is subject to one or more conditions, then in the event of the Provider failing to comply with such a condition the Authority will be entitled to terminate this Agreement in terms of Clause 29.2.
9.3 If the Care Commission gives notice to the Provider of a proposal to cancel Registration or if the Care Commission has made Summary Application to the Sheriff for an Order cancelling the Registration then the Authority may, but shall not be bound, to terminate this Agreement without notice irrespective as to whether or not the Provider has made representations to the Commission about the cancellation or the period for making such representations has elapsed or the Summary Application to the Sheriff is being opposed.
9.4 In order that the Authority may monitor the operation of this Agreement the Provider shall provide to the Authority all inspection reports or any other documents making recommendations by or setting out requirements from the Care Commission relating to the Services, within seven working days of receipt by the Provider. For the avoidance of doubt this clause shall only relate to reports which are made available to the Provider.
9.5 In the event that the Care Commission imposes conditions, serves notices to cancel Registration or vary categories of Registration of the Service the Provider shall immediately notify the Authority in writing (by fax or email) or by telephone. Where verbal notification is given the Provider will follow this with written confirmation within three working days. Furthermore, the Provider shall provide to the Authority, a copy of all relevant documentation received by the Provider from the Care Commission within seven days of receipt by the Provider. In the case of variation or extension of registration categories the Authority shall not be obliged to nominate any person under this Agreement whose needs fall within the varied or extended registration categories.
10. STAFFING
10.1 The Provider shall be a person fit to provide the Service in terms of Regulation 6 of the Regulations and *(subject to clauses 10.5, 10.6 and 10.7) he shall at all times use and ensure that there are on duty sufficient suitably trained and experienced Staff to ensure that the Services are provided in accordance with this Agreement and the Service Specification.
* Delete bracketed section above if agency staff are not to be permitted under the contract.
10.2 ** (select/delete as applicable).
(a) ** Volunteers may be used in the provision of Services as identified in the Service specification but not as a substitute for Staff.
(b) ** Volunteers shall not be used in the provision of Services under this Agreement.
10.3 The Provider shall provide the Authority on request with full details of all Staff's job descriptions and titles and also provide equivalent information in respect of any Volunteers participating in or involved in the provision of the Services.
10.4 *** (select/delete as applicable)
(a) *** Agency staff may be used in the provision of the Services as identified in the Service Specification subject to the provisions of clauses 10.5, 10.6 and 10.7 below.
(b) *** Agency staff shall not be used in the provision of Services under this Agreement and clauses 10.5, 10.6 and 10.7 below shall not apply.
10.5 Suitably trained and experienced agency staff may be used by the Provider only where he is unexpectedly short-staffed and is consequently unable otherwise to provide the Services, but the Provider shall not use agency staff unless he has, in the first instance used his best endeavours to use his own Staff on an over-time or sessional basis.
10.6 Before using the services of agency staff the Provider must obtain a signed written statement from the Agency that is supplying the staff, which confirms that such staff have been through the appropriate Disclosure checks with Disclosure Scotland and that they are suitable for providing the Services directly to Service Users. The appropriateness of the Disclosure shall be construed in accordance with clause 10.10 hereof. A copy of the said statement shall be supplied to the Authority on request.
10.7 The Provider shall at all times be liable for the actions and omissions of agency staff used in the provision of the Services as though such staff were the Provider's own Staff and the Provider shall fully indemnify the Authority in respect thereof. Without prejudice to the foregoing generality, references to Staff in clauses 10.8, 10.14, 11.6, 13.2, 13.4, 16.2 and 21.3 of this Agreement shall be read as including agency staff used by the Provider in the provision of the Services.
10.8 For the avoidance of doubt, neither the Provider nor his Staff shall be deemed to be or entitled to act or hold themselves out as agents or employees of the Authority, and the Provider shall at all times be liable for the actions and omissions of his Staff, sub-contractors and Volunteers.
10.9 The Provider shall provide to the Authority a Staff rota relating to the provision of the Services, if requested to do so by the Authority. The Provider shall be obliged to take account of any matters raised and/or any recommendations made by the Authority in relation to any Staff rota.
10.10 In terms of the Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions)(Scotland) Order 2003, the Provider shall require any person that he proposes to use (whether paid or unpaid) in the provision of the Services, to complete a statement concerning their previous convictions for offences of any description. Before such persons are assigned to delivery of the Services the Provider must obtain an appropriate level of Disclosure directly from Disclosure Scotland. The appropriate level of Disclosure shall be determined by reference to sections 113 and 115 of the Police Act 1997, Regulations made under that Act and Guidance issued by Disclosure Scotland. Thereafter the Provider shall use the findings of the Disclosure to make decisions and such suitable arrangements as are necessary for the safeguarding and protection of the interests of Service Users, including, where necessary prohibiting the subject of the Disclosure from providing Services directly to Service Users. For the avoidance of doubt all existing Staff and Volunteers used in the provision of the Services should have undergone Disclosure checks by 31 March 2006 and be rechecked every three years.
Note: The Provider should ensure all staff / representatives undergo a disclosure check by Disclosure Scotland (Central Registered Body in Scotland (CRBS) for volunteers), at a level commensurate with the level of client contact. Staff with direct contact with clients or access to client information (personal and financial) must be checked by Disclosure Scotland. This should be contained within a written policy that deals with the level of disclosure required, procedures for assessing results, appeals and timescales for re-registration.
Scottish Social Services Council (SSSC) registration procedures require all new staff to be checked prior to an offer of employment. All existing staff should have undergone Disclosure checks by 31 March 2006 (or in line with SSSC registration for Housing Support Staff if this date of registration is delayed) and be rechecked every three years, or if their level of contact with Service Users increases.
10.11 The Provider shall provide the Authority on request, with confirmation of compliance with the requirements of 10.10 above. This shall involve the Provider obtaining the written consent of such persons as aforesaid to the provision of a statement of their previous convictions in terms of said clause 10.10 and the exhibition to the Authority of the Disclosure obtained in respect of such persons.
10.12 In the event of the Provider failing to comply with the requirements of 10.10 or 10.11 above or where any person as aforesaid has refused to complete a statement concerning their previous convictions or in the reasonable opinion of the Authority a person is unsuitable to deliver the Service, the Authority reserves the right without prejudice to its other legal remedies to require such person to be withdrawn immediately from providing the Service.
10.13 Where any person as aforesaid has refused to grant the consent required to facilitate the Provider's compliance with clause 10.11 the Provider shall instigate his risk management procedures in relation to such refusal in consultation with the Authority, which reserves the right without prejudice to its other legal remedies to require such person to be withdrawn immediately from providing the Service.
10.14 In recognition of the fact that the Service may be provided in the Service User's own home, the Service User has the right to refuse Direct Support from a particular member of Staff or Volunteer. In such circumstances the Provider shall take all reasonable steps to resolve the situation to the satisfaction of the Service User. This shall involve inviting the Service User to use the Provider's complaints procedure and if necessary changing Staff involvement as requested. Where the situation cannot be resolved, the Authority shall be informed as soon as reasonably practicable. It is recognised that a process of mediation may be undertaken if the Service User agrees.
10.15 Where a Service User in Sheltered Housing refuses to accept Services from a particular warden and despite the best efforts of the Provider the situation cannot be resolved, the Authority shall convene a Service User Review to investigate and resolve the issues to which the Service User and his Representative shall be invited and the Provider shall attend. For the avoidance of doubt the best efforts of the provider shall include convening a Service User review, the Minutes of which shall be provided to the Authority as soon as practicable thereafter.
10.16 The Provider shall comply with any requirement under Part 3 of the Regulation of Care (Scotland) Act 2001 for Staff to register with the Scottish Social Services Council and comply with any relevant Code of Practice issued by the Scottish Social Services Council.
Note: Details on which staff require to be registered are available from Scottish Social Services Council and providers are advised to liaise with them to ensure compliance.
10.17 The Provider will support non-qualified Staff and (if their use is permitted under this Agreement) Volunteers to attain any skills and qualifications required of them by the Scottish Social Services Council in order to provide the Services and the Provider shall keep training records for all Staff and Volunteers and make such records available for inspection by the Authority for the purpose of monitoring this Agreement.
11. COMPLAINTS AND SUGGESTIONS
11.1 The Provider shall operate a complaints and suggestions procedure that is acceptable to the Authority. A copy of this procedure and any amendments thereto shall be made available to:
(i) all Service Users and brought to their attention by whatever means of communication is appropriate to their needs and/or disabilities;
(ii) Service Users Representatives; and
(iii) the Authority on request.
11.2 Service Users must be informed by the Provider of the means of registering a complaint prior to the delivery of the Services.
11.3 The Provider shall be responsible for receiving and dealing with complaints in the first instance in accordance with their complaints and suggestions procedure.
11.4 The Provider shall maintain a Complaints Register which shall be available at all reasonable times to the Authority, and a summary of which in a format agreed by the parties will be sent to the Authority no less than annually and more often if required under the Authority's contract management procedures.
11.5 The Provider shall inform Service Users that they are also entitled to access the complaints procedure operated by the Authority, the Care Commission, the Ombudsman and; where applicable, the Mental Welfare Commission. The Provider shall co-operate fully with the Authority and the other organisations named in this clause. Where the Provider is a listed authority in terms of the Scottish Public Services Ombudsman Act 2002 it shall comply with its obligations under Section 22 of that Act.
11.6 If any information regarding the identity of a member of Staff or Volunteer is required by the Authority in relation to any complaint made to them in respect of the Services the Provider shall provide the relevant information.
11.7 A complaint shall be regarded as significant if it relates to a situation referred to at Part 6 of the Schedule and, unless otherwise advised, the Provider shall immediately inform the Authority when a significant complaint about the Services and/or in the support of any Service Users is received. The Provider shall immediately inform the Authority of the outcome of all such complaints including any which have been subject to investigation by an external authority including the Care Commission, the Scottish Social Services Council, the Police and the Mental Welfare Commission. Such notification shall be in writing (by fax or email) or by telephone. Where the Provider gives verbal notification under this clause he shall confirm the same in writing within three working days.
11.8 On a regular basis (to be agreed by the Authority) the Provider shall consult with Service Users and their Representatives to ascertain their suggestions in respect of Services received and the way these are delivered. The outcome of such consultations shall be recorded by the Provider and made available to this Authority upon the Authority's request.
Note: How often consultations are conducted can vary hugely across different types of service. For example Service Users in a sheltered housing complex may not want, or need, to be consulted annually and less frequent consultations are suffice. This does not however reduce review procedures of Housing Support Plans, as detailed in the Section 4, Para 4 of the National Care Standards: Housing Support Services.
12. NOTIFICATION OF EMERGENCIES.
12.1 The Provider shall inform (initially by telephone) the Authority and the Service User's Representative of any accident, emergency or other serious incident relating to the Service User where such an incident occurs during the provision of the Services. The Provider shall also submit in a format provided by the Authority a written report to the Authority as soon as reasonably practicable. Without prejudice to the generality of the Provider's obligations under this clause 12.1 the Provider shall comply with the following:
(i) The Provider shall notify the Authority of the death of a Service User immediately by telephone when he becomes aware of the same and thereafter in writing within one working day and the Provider shall provide the Authority with such details thereof as required by the Authority. The Provider shall also notify the Service User's Representative, and their next of kin (if not the Service User's Representative), as soon as reasonably practicable, but in any event no later than the working day following the Provider becoming aware of the death.
(ii) In the event of hospitalisation of the Service User, the Provider shall inform the Authority (unless otherwise advised), the Service User's Representative and any other person authorised to be advised in the Service User's Housing Support Plan of this and the expected duration of the hospitalisation, as soon as reasonably practicable but in any event, no later than the working day following the Provider becoming aware of such hospitalisation.
12.2 In the event of an accident, emergency or other serious incident occurring to a Service User with a Mental Disorder whilst Services are being provided, the Provider shall also immediately inform the Mental Welfare Commission in writing (by fax or email) or by telephone. In such instances where verbal notification is given then the Provider will confirm in writing within three days. The Provider shall give such information in respect of such accidents, emergencies and other serious incidents as is reasonably requested by the Authority and/or the Mental Welfare Commission, such information to include those details specified in Part 5 of the Schedule annexed.
12.3 If a situation of danger to the Provider's Staff or other Service Users should arise as a result of the actions of a Service User the Provider shall instigate his policies and procedures including risk assessment in relation to this situation and inform the Authority of the situation so that the Authority can advise and assist the Provider and/or Service Users as is consistent with it's statutory duties and responsibilities. This shall include if the Authority considers it appropriate after reviewing the Service User's needs under clause 23.1(ii), the provision of alternative accommodation or alternative support arrangements for any Service User.
12.4 An accident, emergency or other serious incident referred to in this clause 12 shall include those situations referred to at Part 6 of the Schedule.
13. CONFIDENTIALITY
From 1 January 2005, the 'Freedom of Information' (Scotland) Act introduces a statutory right of access to all types of recorded information of any age held by Scottish public authorities. The clause below is provided as an example of what a local authority may require.
Due to time restraints it has not been possible to propose and agree exact wording which could be adopted by all parties. Additionally there may still be a need to impose confidentiality / Data Protection obligations on the Provider requiring them to keep information provided by the Authority confidential, if applicable to the contract. It is therefore recommended that this should be conducted at local level in consultation with legal representatives.
Note: The following clause is for illustrative purposes only.
All information submitted to the Authority may need to be disclosed and/or published by the Authority. Without prejudice to the foregoing generality, the Authority may disclose information in compliance with the Freedom of Information (Scotland) Act 2002, (the decisions of the Authority in the interpretation thereof shall be final and conclusive in any dispute, difference or question arising in respect of disclosure under its terms), any other law, or, as a consequence of judicial order, or order by any court, tribunal or body with the authority to order disclosure (including the Scottish Information Commissioner).
In respect of the information described in Schedule [ ] hereto and for the period specified for that category of information (such information for the specified period being referred to hereafter as "Non-disclosure Items"), the Authority will not voluntarily disclose the information to any third parties ("third parties" in this context not including employees, agents or contractors of the Authority provided such employees, agents or contractors are bound not to further use or disclose the Non-disclosure Items except to the extent instructed by the Authority and as permitted in terms of this Agreement) without the prior consent of the Provider (such consent not to be unreasonably withheld or delayed) save as permitted below.
If the Authority receives a request under Section 1 of the Freedom of Information (Scotland) Act 2002 (or, if applicable, a request under the Environmental Information (Scotland) Regulations 2004), which includes any of the Non-disclosure Items, the Authority may seek the consent of the Provider to release some or all of the Non-disclosure Items in response to the said request and shall do so if the Authority is minded to disclose such items, whether in terms of the public interest or otherwise. If the Provider shall fail to respond to such a request for consent within seven days of the request being made, it shall be deemed to have consented to the release of information as requested by the Authority.
In all cases the Authority may, without the consent of the Provider, disclose any of the Non-disclosure Items if the Authority (acting reasonably) is satisfied that it is in the public interest for it to do so. In reaching this conclusion the Authority shall take into account any representations made in connection with this by the Provider but the decisions of the Authority as to what constitutes the public interest shall be final and conclusive in any dispute, difference or question arising in respect thereof.
The obligations of confidentiality contained in this clause 13 shall survive the termination of this Agreement.
Note: Should the Provider wish any information which they have passed to the Authority to remain confidential (without breaching the FOI (Scotland)Act), they must clearly indicate this at the time of providing this information. Again, this should be considered locally at the outset.
14. DATA PROTECTION.
14.1 Where the Provider provides any personal data to the Authority in connection with its duties hereunder, the Authority will use that personal data for purposes of ensuring the Provider's compliance with the terms of this Agreement. The Authority may share that personal data with other regulators (including the Authority's and Provider's external auditors, Customs and Excise and law enforcement agencies, the Scottish Commission for the Regulation of Care, and the Mental Welfare Commission). The personal data may be checked with other Authority Service departments for accuracy, to prevent or detect fraud or maximise the Authority's revenues. It may be shared with other public bodies for the same purposes. The Provider undertakes to ensure that all persons whose personal data are (or are to be) disclosed to the Authority are duly notified of this fact.
14.2 Where the Provider processes (or will process) personal data it hereby confirms that it has (or will acquire) a valid notification with the Information Commissioner as defined by section 6 of the Data Protection Act 1998 covering its processing of personal data, including in that notification the disclosure of personal data to the Authority. This requirement shall not apply if the Provider is, by virtue of the Data Protection (Notification and Notification Fees) Regulations 2000, exempt from the requirement to notify.
14.3 The Provider acknowledges that in order for it to perform its duties hereunder, it may be necessary for the Authority to disclose to the Provider personal data, including sensitive personal data, relating to Service Users, such information being referred to as Service User Information. The Authority is the data controller in respect of the Service User Information.
Note: Despite many Providers operating as Data Controllers themselves, for the purposes of the data passed from the Authority the Provider are data processors with responsibilities for the processing of personal data as set out in the contract between the authority and the provider.
14.4 The Provider hereby warrants:-
(i) that the processing of the Service User Information will be subject to technical and organisational security measures of a sort, which if the Provider were the data controller in respect of the Service User Information, would satisfy the Seventh Data Protection Principle;
(ii) that it will take reasonable steps to ensure compliance with the measures described in Clause 14.4.(i) above;
(iii) that it will process the Service User Information only in accordance with instructions from the Authority and the terms of this Agreement; and;
(iv) that it will comply with all obligations imposed by the Seventh Data Protection Principle as though the Provider were the data controller in respect of the Service User Information.
14.5 In this Agreement the expressions "personal data", "data controller", "data processor", "processing" and "process" shall have the meanings assigned to them by the Data Protection Act 1998, and the "Seventh Data Protection Principle" shall mean the Seventh Principle set out in Part 1 of Schedule 1 to that Act.
14.6 Service User Information shall be used by the Provider purely to enable the Provider to provide the Services to Service Users in accordance with this Agreement and as requested by the Authority, and for no other purpose. It must not be processed or disclosed for any other purpose whatsoever save to the extent that the Provider is required to do so by law or with the express consent of the Service User or other individual to whom the personal data in question relates. In the case of a Service User who lacks the mental capacity necessary to consent to the processing in question, this shall instead mean with the express consent of a person entitled in law, to make decisions relating to the personal welfare of the Service User but only to the extent that such processing will be of benefit to the Service User, (and the benefit cannot otherwise be realised), and the processing is in accordance with the wishes of the Service User so far as these can be ascertained. The Provider shall ensure that the recipients of any personal data disclosed under this clause are made aware of the duty of confidentiality which attaches to it.
14.7. The Provider shall not be required to pass information to the Authority in relation to a Service User, member of Staff, Volunteer or any other person, if the same would cause the Provider to breach the terms of the Data Protection Act 1998. The Provider must supply detailed reasons in terms of the said Act in support of such an assertion within a reasonable timescale specified by the Authority. Where the cause of the potential breach of the said Act is lack of consent to disclosure of the information, the Provider undertakes to use its best endeavours to obtain the consent required to prevent the potential breach from occurring.
15. FREEDOM OF INFORMATION
15.1 The Provider acknowledges the Authority's obligations under the Freedom of Information (Scotland) Act 2002 ("the Act") and acknowledges in particular that the Authority may be required to provide information relating to this Agreement or the Provider to any person on request in order to comply with the Act.
15.2 Where the Authority seeks to consult the Provider in connection with a request for information made under the Act the Provider will facilitate the Authority's compliance with the Act by consulting timeously with the Authority.
15.3 In the event that the Provider is or becomes a designated Scottish public authority by Order of the Scottish Ministers under section 5 of the 2002 Act the Provider shall comply with the said Act.
16. HUMAN RIGHTS .
16.1 The Provider shall in its implementation of this Agreement comply with the requirements of the Human Rights Act 1998 ("the 1998 Act") and all secondary legislation made under the 1998 Act as though the Provider were a Public Authority for the purposes of the 1998 Act;
16.2 The Provider shall take all reasonable steps to ensure the observance of the condition contained in sub clause 16.1 above by all Staff, agents and Volunteers of the Provider and all sub-contractors employed by the Provider;
17. NON DISCRIMINATION
17.1 The Provider hereby confirms that to the best of their knowledge and belief they have complied with the following Acts and Statutory Instruments and hereby agree to continue to comply with them:-
(1) the Disability Discrimination Act 1995,
(2) the Race Relations Act 1976;
(3) the Sex Discrimination Acts of 1975 and 1986;
(4) the Employment Equality (Religion or Belief) Regulations 2003; and
(5) the Employment Equality (Sexual Orientation) Regulation 2003.
17.2 The Provider agrees to provide the Service in a non-discriminatory manner and shall promote equality and work towards the Service reflecting best practice as identified in the codes of practice issued by the Commission for Racial Equality, the Equal Opportunities Commission and the Disability Rights Commission(or their successor bodies).
17.3 The Provider recognises that the Authority has a responsibility to monitor the extent to which the provision of the Service extends to socially excluded groups. In recognition of this, the Provider agrees to work towards providing information to the Authority on the employment of and Service provision to equalities groups, e.g. women, minority ethnic communities including gypsies/travellers and refugees; older people, people of different religions, disabled people (including people with learning difficulties or mental health problems) and people who are lesbian, gay, bi-sexual, or transgender.
18. RACIAL DISCRIMINATION AND THE PROMOTION OF RACIAL EQUALITY
The Race Relations (Amendment) Act stipulates that public authorities have a legal responsibility to ensure contractors and external suppliers follow race equality legislation. While we recognise that procedures may differ at local level it is essential that this is covered in any contract between public authority and provider/supplier. The Commission for Racial Equality (CRE) has published a detailed guide, "Race Equality and Public Procurement", to help Authorities meet these requirements. This can also help Providers identify what they must do to meet this legislation and the terms of contract.
19. OTHER STATUTORY REQUIREMENTS
The Provider shall throughout the duration of this Agreement observe and comply with all other statutory enactments and instruments; and all by-laws and regulations of local or other authorities insofar as these are applicable to the provision of the Services including and without prejudice to the foregoing generality those applicable to health and safety at work; adults with incapacity and the care and treatment of people with mental health problems.
20. INDEMNITY
20.1 Except as may otherwise be expressly stipulated in this Agreement, the Authority shall not be liable to the Provider or to any Service User or to any third party for any loss, cost, expense, penalty or damage incurred or suffered including but not limited to any personal injury or death or damage to property arising directly out of or in consequence of or in connection with the delivery or provision of the Services to any Service User or the operation of this Agreement.
20.2 The Provider shall indemnify the Authority against all proceedings, costs, expenses, liabilities, injury, loss or damage arising from or incurred by reason of any claim, demand or action made or raised against the Authority by or on behalf of a Service User, employee of the Provider or the Authority, or any other third party which arises out of the breach or negligent performance or failure in performance by the Provider, its agents, sub-contractors, Volunteers and employees, of the terms of this Agreement. The Authority shall act reasonably in relation to any costs, expenses or damages paid by it, shall take all reasonable steps to minimise its payments/costs/losses and shall only make payment in relation to legally valid claims or proceedings.
20.3 However, the Provider shall have no liability for and shall not be liable to indemnify the Authority in relation to any matter which occurs as a result of the breach, negligent performance or failure in performance of the terms of this Agreement on the part of the Authority, its agents or employees.
21. INSURANCE AND SECURITY
21.1 The Provider shall ensure that adequate insurance is maintained for employers liability, public liability, building and building contents and such other insurance as the Authority considers appropriate and is intimated to the Provider prior to the commencement of this Agreement. The Provider shall on request provide evidence to the Authority that such cover has been effected and all due premium payments have been paid. Such evidence shall be provided to the Authority in a form as determined by the Authority and intimated to the Provider from time to time. The insurance in respect of claims for personal injury or the death of any person under a contract of service with the Provider and arising out of or in the course of such person's employment shall comply with the Employers Liability (Compulsory Insurance) Act 1969 declaring that cover shall be no less than £10,000,000 (TEN MILLION POUNDS STERLING). For public liability and all other claims to which this clause applies, the insurance cover shall be not less than £5,000,000 (FIVE MILLIONS POUNDS STERLING) in respect of any one incident. Such insurance cover must remain in force for the period in which any claim may be raised by a Service User or any third party.
Note: If the Provider is required to obtain additional or increase the current level of insurance(s) at the Authorities request, the cost of this could possibly be added to the contract value if not included in the original costs by the Provider.
21.2 In the event of the Provider having motor vehicles which are used in the provision of the Services they shall maintain adequate vehicle and passenger insurance cover in respect of such vehicles and shall on request provide evidence to the Authority that such cover has been effected and due premiums have been paid.
21.3 Where Staff or Volunteers use vehicles not owned or leased by the Provider to transport Service Users the Provider must ensure that such Staff and Volunteers have appropriate insurance, a valid MOT Certificate and an appropriate driving licence at all times.
22. SERVICE USERS REVIEWS
22.1 The provision of the Services to a Service User shall be reviewed regularly as detailed in the Service User's Housing Support Plan and in any event within three months of the Service starting and at least once a year thereafter, and as reasonably requested by the Service User, their Representative, the Provider or the Authority.
Note: See 'National Care Standards: Housing Support Services' Section 4; Para 4 for more information on what is required to be included the Housing Support Plan.
22.2 Subject to clause 22.3 below the responsibility for convening the said reviews, arranging venues and sending invitations to all persons with a relevant interest, shall be that of the Provider/the Authority* and that Party shall by no less than seven days notice in writing advise the other of the date of all such reviews and invite the other party to attend. Where the Authority convenes the review, the Provider shall attend.
*Delete as appropriate.
22.3 Minutes of all reviews shall be taken by the party responsible for convening the review and such party shall distribute copies of such Minutes as soon as practicable and so far as possible within seven days of the date of the review to all participants therein and to the Authority whether or not the Authority have been represented at such a review.
22.4 The agreed outcome of any review shall be recorded within the Minutes referred to in clause 22.3 above and any action required in respect of such outcome shall be implemented by the Provider in relation to the relevant Service User as soon as practicable following such review.
22.5 The format of reviews shall be in accordance with the current Authority documentation attached at Part 4 of the Schedule or such alternative format as considered appropriate by the Authority and intimated to the Provider from time to time.
23. DISCONTINUATION OF SERVICES TO A SERVICE USER.
23.1 Provision of the Services to a Service User shall be discontinued in any of the following events:-
(i) on the date of death of a Service User; or
(ii) where after reviewing the Service User's needs in conjunction with the Provider and so far as possible the Service User, and/or their Representative, the Authority considers that those needs will be better served by alternative arrangements. In all such cases the Authority and the Provider shall seek to resolve matters amicably to the satisfaction of all parties while safeguarding the needs of the Service User. In this instance, the provision of Services to the Service User shall cease upon the date specified in the Authority's notice to the Provider.
23.2 Unless with the prior agreement of the Authority, the provision of Services to a Service User shall not be deemed to have been discontinued by reason only of the Service User's temporary absence from their home. In the event that such absence exceeds an agreed period (which shall be four weeks if no other period is agreed), or is considered to be unacceptably high for the Service by the Authority , the Provider and the Authority may review the continued provision of the Services to the Service User.
Note: Service User requirements such as extended holiday period and, medium-long-term hospital stays may require a change to the level of service delivered if the Service User is physically unavailable. However in many cases support is extended by the Provider (for example via hospital visits) and continues to deliver / benefit the Service User overall. Every effort should be made to allow this support to continue, subject to review.
23.3 In the event that the Provider considers that the provision of the Services to a Service User should be discontinued for whatever reason, including where a Service User gives notice to the Provider that they no longer wish to receive the Services the Provider shall advise the Authority in writing within 3 working days of this providing detailed reasons and/or information relating thereto. The Authority may, as soon as practicable thereafter, hold a Service User Review to which shall be invited the Provider, the Service User and their Representative. In all cases those involved in the review shall seek to resolve the issues amicably to the satisfaction of all parties while safeguarding the needs of the Service User. However, discontinuation of the Services to that Service User shall not take place until the Authority have made such arrangements as they consider necessary in the interests of the Service User, such arrangements to be made by the Authority without undue delay. Should it appear to the Authority that the Provider is exercising its right to discontinue the provision of services in an unreasonable way then the Authority may treat this as a material breach of contract.
24. PERFORMANCE STANDARDS
This section covers both Performance and Quality Assurance standards.
24.1 The Provider must at all times, meet the National Care Standards and regard these as minimum standards of Service delivery. The requirements of the Service Specification and the Housing Support Plan must also be met at all times during the term of the Agreement.
24.2 Providers will hold the interest, well-being and housing support needs of Service Users of prime importance in the operation of this contract. Services will be provided in a reasonable, responsible manner and without negligence or carelessness.
24.3 Providers are expected to comply with their Contractual obligations. The Service Specification is based on service outcomes for Service Users and recognises the key role that Providers have in achieving these outcomes.
24.5 The Provider will demonstrate, through an agreed quality assurance system, how they will achieve the requirements of the Contract. The Council will use this information for the purpose of monitoring the Service.
24.6 The Provider shall evidence within their quality assurance method that they meet all the requirements of the Service Specification and Housing Support Plan as agreed.
24.7 If the service provider does not operate an agreed internal or external quality assurance, then the self evaluation audit appended may be completed. (See Appendix 3)
25. CONTRACT MONITORING
To facilitate the Authority's effective monitoring of this Agreement (including the Service Specification) and subsequent service review and to enable the Authority to comply with the conditions of the Scottish Executive's Offer of Supporting People Grant in any Financial Year during the period of this Agreement and any other relevant legislative requirements, the Provider shall provide the Authority with such information relating to the provision of the Services as the Authority may reasonably request from time to time.
Note: It is recognised that the level of monitoring may change locally depending on circumstances. However in an effort to avoid/reduce duplication it is recommended that this is minimised wherever possible. Consideration should also be given to the resource implications on the provider to supply this data. If required, procedures similar to the "ADSW Contract Monitoring Framework" (dated 21 January 2004) should be adopted. This has been agreed and implemented by the ADSW Standing Committee on Community Care and is a recognised monitoring and evaluation framework already in operation. Where reference is given to "care" within the framework this should be replaced with "housing support". A copy of this framework is at Appendix 2.
26. SERVICE REVIEW
Regular service review procedures should be agreed at local level, taking into taking into account various factors. For example; Housing Support Plans, any changes in Service Users needs, the strategic fit of services, demand. cost of the service, quality and effectiveness of the Providers capacity.
Note: See Scottish Executive: Supporting People Guidance Folder One; Part 3: Section 2 - Service Reviews.
27. FINANCIAL ARRANGEMENTS
27.1 INFLATION
Authorities and Providers should consider options available in order to meet any inflation costs of providing services at the outset. This can include redefining of contracted services and/or agreeing an increase in the contract price.
27.1.1 Inflation Increase
If an increase in contract price is to be negotiated and implemented the following options may be considered, although should not be considered exhaustive:
(i) Agree one contract price for the term of the contract (any extensions to contract should review the price accordingly);
(ii) Identifying and agreeing in advance an annual inflation increase (irrespective of how inflation performs in the future) for the duration of the contract;
(iii) Agree a common point of reference for increase in line with RPI/AEL, (AEI being Average Earnings Index).
27.2 SALARY COSTS
One of the main elements of increased operational costs is staff salaries. In order to maintain a level playing (and contract tendering) field, Authorities should ensure that all housing support service providers (direct labour, voluntary and private organisations etc) are treated the same when considering inflation as part of contract negotiations.
Note: It remains the overall responsibility of the employer to identify funds to meet salary costs they award to their staff, including staff increments where applicable.
27.3 UNDER-SPEND & EFFICIENCY SAVINGS
27.3.1 If a provider identifies a previously set level of under-spend or efficiency saving at the end of any contract term or agreed reporting point, this should be highlighted to the Authority in writing. This should include the level of under-spend and reason why.
Note: It is not the intention to highlight small, almost insignificant, amounts therefore there is a need to agree a percentage / level at which this reporting procedure comes into effect.
27.3.2 At any time where it is not possible to deliver services, at no fault of either party, the Provider still has to meet operational costs. Every effort should be made to ensure that no one is therefore unduly penalised. The reason(s) for under-spend will differ dependant on the type and level of service provided and procedures for reclaiming any under-spend should be discussed and agreed at the outset. It is not feasible to consider all possible scenarios however examples include;
(i) Under-spend - fewer clients received the service (operational costs are fully met).
This is simply a case of saving money due to a lower number of Service Users receiving services. This should be returned to the Authority or a programme of expenditure agreed which will benefit future service delivery (within the contract term).
(ii) Efficiency Savings - the Provider identifies in-house efficiency savings which does not reduce the level or quality of service provided.
If the provider manages to implement operational efficiencies, thus reducing their costs, this should be considered as good business practice on their part. Any savings therefore may remain with the provider so long as the level and quality of services are maintained as identified in the contract at the outset.
27.4 NET / GROSS COLLECTION OF CHARGES
Authorities are required to pay for contracted housing support services Gross unless other procedures have been agreed by both parties. See Section I.1.3. and Supporting People Guidance: Folder One: Part One: Section: 9.6.1. for additional details. It is not the provider's responsibility to collect charges but it is the Authorities responsibility to ensure Providers receive payment at the agreed level for the services delivered.
27.5 CONTRACT PRICE (VARIATION)
27.5.1. The value of any Contract will be agreed locally and based on the appropriate costs provided and justified by the Provider. The ability to vary the Contract Price should be as simple and as transparent as possible and may be detailed within a separate Finance Schedule. It has to be accepted, by both parties, that the need to vary the Contract can be both up and down; this may become apparent throughout the duration of a Contract through regular monitoring. (See also Section 27.6: Redesign of Service). Situations which could result in the need to vary a Contract price may include:
(i) Increased operating Costs on the part of the Provider, e.g. statutory increases;
(ii) Changes agreed in Service Delivery, which impact on costs (again both upwards and downwards);
(ii) Lack of uptake of Services.
Note: Community Care Providers Scotland (CCPS) publish an aid-memoir for Providers listing the various costs to be taken into account when negotiating contracts which may be of help to both parties.
[CCPS March 2004: Service Costs 2004-05]
27.5.2 Regardless of cost, agreed procedures should be adopted which confirms any change in price, which could include:
(i) A minimum, and previously agreed, time period to inform either party of a proposed variation in price, including the date from which it will come into effect;
(ii) details of the reasons and implications of the need to change the price should accompany a request for variation from either party;
(iii) both parties to adopt similar change request procedures throughout.
27.6 REDESIGN OF SERVICE
27.6.1 There may be occasion to redesign the service mid-contract. This could be for a variety of reasons including;
(i) permanent change in demand for the service
(reducing the number of Service Users);
(ii) a change in the level of support required
(as the client gains independence);
(iii) a change to how the service is delivered
(use of SMART technology etc).
Irrespective of the reason for change to the level, method of delivery or cost of service, procedures for handling change should be agreed by both parties at the outset while retaining the interests of the Service User(s) throughout.
Should the service requirement change dramatically mid-contract and a new service specification and/or cost cannot be agreed, any expenditure savings due to a reduction in service hours, number of clients etc should be treated as an under-spend and dealt with as detailed under Section 27.3: Under-Spend & Efficiency Savings.
See also section 27.5: Contract Price (Variation)
Note: Under the terms and conditions of Supporting People Grant, Authorities can only pay for services actually delivered. Therefore if a service is not delivered for a prolonged period the Authority are obliged to review the situation in order to ensure they comply with these terms and conditions. This does not however mean that all unspent monies must be returned. Both parties are expected to negotiate outcomes while maintaining good working practices and relationships.
27.7 PAYMENT PROCEDURES
It is of prime importance to all Providers, regardless of size, that payments for provision of Housing Support services are made in line with contract terms and that these contract terms should be simple and straightforward and should not create any unnecessary delays in the Providers receiving payment for services that have been provided. Payment procedures may vary between purchasing authority, depending on local arrangements. It is recommended however that these should be detailed in a separate schedule in order to facilitate minimal changes to contracts when negotiating with more than one authority.
While procedures will invariably differ at ground level it is recommended that the following issues are covered within a Payment Procedures Schedule.
(i) Points of contact within contracting parties;
(ii) The agreed contract price (rates per hour, rates per grade, sleeping cover etc) where appropriate;
(iii) Invoicing procedures (including regularity of submitting invoices, penalties for late/unpaid invoices, authorised signatories);
(iv) Availability of audited accounts (annually, end of contract etc).
Note: There are already procedures in operation for similar contracted services and where possible both parties should endeavour to build on these as a matter of good practice. As a matter of good practice both parties may find it beneficial to adopt recurring payment procedures (for stable/block contracts with little or no fluctuation) to ease the administration process.
27.8 UNFILLED CAPACITY (VOIDS)
The term Void has a property-based connotation attached to it that is thought to be outdated and could possibly be misleading. It is proposed that the term Unfilled Capacity should be used for all types of service. It is not possible to consider all the possible scenarios that may arise across types of service however the following framework options are suggested:
(i) Option 1
The contracted services are paid on a Gross basis and any turnover or unfilled capacity are funded on a 100% basis by the Authority until they are replaced or the capacity is permanently reduced within the contract via a service review. If a service is running at less than full capacity for a length of time procedures should be agreed on the level of impact this has on the contract.
Note: This does not address any loss of rental income and should be negotiated separately.
(ii) Option 2
The contracted services are paid minus the unfilled capacity after [an agreed time] based on [an agreed percentage] of the agreed contract price for the level of capacity.
Note: Other options are available here depending on the type of contract and should be agreed locally.
(iii) Option 3
A level of unfilled capacity is agreed and specified at the outset and the service is funded on a known unfilled capacity calculation as per negotiations. If capacity is occupied at a 100% basis then the choice is to pay the provider at 100% giving over a surplus or for the provider to reimburse the Local Authority the unfilled capacity costs.
Note: This should be agreed at local level as it effectively is combining contract types.
Note: In situations where the support is accommodation based there can be an issue over the time involved in identifying new Service Users who require support and accommodation. If the Authority has nominations rights there has to be agreement on who funds the rental void of the accommodation should this take longer than the usual letting period (approximately 4 - 6 weeks).
In these circumstances it may be appropriate to revisit the void rental rate set within the rent charges to judge whether these are realistic for supported housing places. This would help in getting the services to the right people without being driven by rental void pressures.
27.9 DIRECT PAYMENTS
Direct payments are where Users opt out of contracted services in favour of self directed housing support services that allow them increased choice and control. Direct payments uptake should be encouraged as a means to independent living, and anticipated and negotiated at the outset of contract negotiation. This will help minimise both affects on the delivery of contracted services for remaining Users, and financial impacts on Providers. The following options are suggested as negotiation points:
(i) Pay the Provider for the contracted service on a Gross basis and when a Service User exercises a direct payment continue to fund the service for the contracted place and look for a replacement Service User.
Note: In this option the burden lies with the Authority with an additional cost for funding a new direct payment place.
(ii) Deduct the cost for the direct payment from the contracted service.
Note: In this option the cost lies with the existing provider.
(iii) Agree a transitional period of funding at a percentage of the service cost to allow time for the provider to redesign their service to accommodate the loss of a place.
Note: In this option some (although not necessarily 100%) financial support may be given to the Provider whilst renegotiating the contract/reviewing the service.
Note: It is advisable to agree the number of Direct Payment Users that can withdraw from the contract before a review of contract is initiated. The above options need to be considered in relation to the nature of the service for example - floating support, call off/spot, accommodation based, and low/medium/high cost services. Renegotiations of the contract specification and value for the reduced level of places may need to be agreed and efforts made to minimise the impact on delivery of services.
27.10 CHARGEABLE SERVICE PLACES (Self-Funding)
27.10.1 Housing Support Services should be allocated within agreed contracts according to agreed eligibility and allocation policies and not on the basis of financial income. Under this principle a Provider/ Authority should not seek to replace a Chargeable Service User with another chargeable Service User on the premise that this will help "balance the books". A Financial Assessment of the proposed Service User must be completed (by the Authority) as soon as possible after the proposed Service User has been informed of the Service Cost to be met.
27.10.2 The Authority is responsible for setting the charge and determining its charging policy. As such the Authority has responsibility to assess, advise and collect charges for housing support unless otherwise agreed with the Provider beforehand.
27.10.3 Authorities and Providers should not look to unduly raise the costs of services for Chargeable Services Users in order to offset any funding shortfall within any contract (for instance due to no inflationary increase). Effectively this means that costs to Chargeable Service Users remain the same as to other Service Users for the duration of the contract, in line with the contract price.
Note: Scottish Executive Guidance Folder One, Part 1: Charging and Financial Assessment - Section 9.3.4 also states that Chargeable Service Users should not be financially penalised in any way.
27.11 FRAMEWORK FOR CHARGEABLE SERVICE(S)/USERS
27.11.1 The following framework is proposed:
(i) Option 1
The Authority directly charges Service Users and directly collects the charges;
(ii) Option 2
By participative agreement with the Authority the Provider is paid Gross for the contracted services and also collects charges on behalf of the Local Authority. What is actually recovered by the Provider, irrespective of what is due, is passed onto the Local Authority;
(iii) Option 3
By participative agreement with the Authority the Provider is paid net for the contracted services in anticipation of Service User charges. The provider collects the anticipated Service User charges and should there be a shortfall/excess this is reconciled with the Local Authority, at agreed intervals.
Note: It is the responsibility of the Authority to collect all (including late/outstanding), charges and procedures for the collection of these, and payments to Providers, should be recorded at the outset. The Provider should not be financially penalised for late/non collection of charges. (See Supporting People Guidance: Folder One: Part One: Section: 9.6.1)
27.11.2 Within the above options it is recognised that good data flows from the Provider over to the Authority need to take place. Importantly the Provider needs to timeously inform the Authority when a chargeable Service User leaves and when a new chargeable Service User comes into the service. Additionally when a Provider allocates a service they must be able to inform any prospective Service Users of actual charges as informed by the Local Authority.
28. ASSIGNATION AND VARIATION AND SUBCONTRACTING
28.1 The Provider shall notify the Authority at the earliest opportunity of its intention to sell or otherwise dispose of or transfer the operation of its business; and of its intention to seek a voluntary liquidation for the purposes of restructuring or amalgamation.
28.2 The Provider may neither assign nor subcontract its interests and/or obligations under this Agreement to any other person without the prior consent in writing of the Authority which shall not be unreasonably withheld.
28.3 The Provider shall impose on its sub-contractors obligations substantially similar to those imposed on the Provider hereunder including, without prejudice to the generality, those relating to Disclosure, Racial Equality, Confidentiality, Data Protection and Health and Safety and the Provider shall strictly enforce these obligations, remaining at all times liable to the Authority for any breach thereof by its sub-contractors.
28.4 Where the parties determine to amend any clause or extend the term of this Agreement both parties shall enter into a formally executed Minute of Variation to give effect to such amendment or extension.
29. TERMINATION OF CONTRACT AND DEFAULT
29.1 Without prejudice to the rights and remedies otherwise available to them under the law, the Authority and the Provider shall each have the right to terminate this Agreement forthwith by notice in writing to the other if the other shall:-
(i) become insolvent, apparently insolvent, bankrupt or is sequestrated; or
(ii) be wound up by the Court or be voluntarily wound up by its creditors or members; or
(iii) go into liquidation, whether compulsory or voluntary (other than any voluntary liquidation for the purpose of a bona fide solvent amalgamation, re-organisation or re-construction; or
(iv) effect an arrangement or composition with its creditors, or
(v) cease or threaten to cease to carry on business; or
(vi) have a receiver, administrator, administrative receiver, judicial factor or other similar officer appointed over all or any of its assets; or
(vii) commit a material breach or repeated breach of the terms of this Agreement which shall not be capable of remedy, or if capable of remedy, which shall not have been remedied within the period specified in terms of Clause 29.2 below.
29.2 If either party to this Agreement in the opinion of the other party (that other party being hereinafter referred to as "the aggrieved party") commits a material breach or repeated breaches of the terms of this Agreement, the aggrieved party shall serve written notice on the defaulting party identifying the breach or breaches of contract and requesting its or their remedy within a specified period which period shall be reasonable in all the circumstances.
29.3 Neither Clause 29.1 nor 29.2 shall operate so as to restrict the Authority's statutory obligations and powers with regard to the safety and wellbeing of a particular Service User or group of Service Users.
29.4 In the event of termination:-
(i) the Authority and the Provider shall use their best endeavours to make arrangements to provide suitable alternative services for the Service Users, as both parties regard the long-term needs of the Service Users to be of paramount consideration;
(ii) the costs of ensuring the welfare of Service Users may be charged to the Provider if the Provider is in material breach of this Agreement which could reasonably have been avoided;
(iii) any payments made by the Authority during any period in which the Provider is or was in material or repeated breach of its obligations in terms of the Agreement shall be without prejudice to and under reservation of all and any claims for reimbursement which the Authority may have in respect of any such material breach by the Provider;
(iv) the provisions of clauses 29.4 (ii) and (iii) above shall survive the termination of the Agreement.
30. RESOLUTION OF DISPUTES
30.1 In the event of any dispute between the parties, either party may serve a notice on the other outlining the terms of the dispute and proposing a time and place for a meeting between the parties' representatives where the representatives shall attempt to resolve the dispute. The other party shall respond to such a notice within five working days of receipt. If the matter is not resolved within ten working days of service of the notice the matter may be referred by either party to the appropriate senior officer of each party for resolution. If the dispute is not resolved within a further ten working days, the matter may be referred by either party to a mutually acceptable third party, whom failing, on the application of either party to a third party appointed by the President of the Law Society of Scotland (which third party in either case shall be an expert not an arbiter). If the parties hereto so agree in writing, the decisions of any such third party including decisions regarding the expenses of the dispute resolution shall be final and binding on the parties.
30.2 For the purpose or resolving disputes in terms of 30.1 above the Authority and the Provider shall formulate operational guidelines as to the levels of officer hierarchy within the respective organisations to which disputes should be referred.
31. FORCE MAJEURE
31.1 If either party to this Agreement can not perform any of its obligations when they are due to be performed because of Force Majeure (as defined in clause 31.4 below), and if such party gives written notice to the other party specifying the circumstances constituting Force Majeure together with such evidence as it reasonably can give and specifying the period for which it is estimated that these circumstances will continue, then the party in question shall be excused the performance or the practical performance as the case may be of the contractual obligations which are affected by Force Majeure from the date on which it became unable to perform them and for so long as Force Majeure continues, subject to the provisions of clause 31.2 below.
31.2 If the period of Force Majeure exceeds two months either party may serve on the other one month's notice of termination of this Agreement.
31.3 Both parties agree to use their best efforts to ensure that during any period when Force Majeure exists that the needs of Service Users are accommodated to the fullest extent practicable.
31.4 For the purpose of this Agreement "Force Majeure" shall be deemed to be any circumstance affecting the performance of this Agreement arising from or attributable to acts, events, omissions or accidents beyond the reasonable control of the party to perform.
32. EXERCISE OF POWERS etc.
In exercising its discretion, or any of its powers, or obligations in terms of this Agreement the Authority shall at all times do so in a reasonable manner.
33. CORRUPT PAYMENTS OR INDUCEMENTS
33.1 The Provider shall not offer or give, or agree to give, to any member, employee or representative of the Authority any gift or consideration of any kind as an inducement or reward for doing any act in relation to the obtaining or execution of this or any other contract with the Authority or for showing or refraining from showing favour or disfavour to any person in relation to this or any such contract with the Authority.
33.2 In the event of a breach of the obligation contained in clause 33.1 above (which for the avoidance of doubt shall be a material breach), the Authority shall be entitled to recover from the Provider the amount of any loss reasonably incurred resulting from the Authority enforcing its right to terminate this Agreement under Clause 29.
34. NOTICES
34.1 Any written notice to be provided to the Authority in terms of the Agreement shall be sufficiently served if it is delivered or sent by Registered or Recorded Delivery post to the appropriate person or post holder identified at Part 2 of the Schedule or any other person notified by the Authority from time to time as being the appropriate person to receive such notices, failing which, to the principal office of the Authority.
34.2 Any written notice to be provided to the Provider in terms of the Agreement shall be sufficiently served if it is delivered or sent by Registered or Recorded Delivery post to the Director or Chief Executive of the Provider at the address given in this Agreement or any other person notified by the Provider from time to time as being the appropriate person to receive such notices.
34.3 Notices will be deemed to have been received by the addressee if they have not been returned as undelivered five working days after posting and any receipt issued by the postal authority shall be conclusive evidence of the fact and date of posting any such notice.
34.4 Where the Provider is required otherwise than by written notice to give information to the Authority they shall do so by contacting the appropriate person or post holder identified at Part 2 of the Schedule.
35. COURTS POWER TO MODIFY AGREEMENT
If any court of competent jurisdiction holds any provision of this Agreement invalid, illegal or unenforceable for any reason the remaining provisions shall continue in full force and effect (notwithstanding such invalidity, illegality or unenforceability) and the court shall have the power to modify the Agreement if this is required to ensure that the parties can so enforce the remaining provisions.
36. WAIVER OF REMEDIES
No forbearance, delay or indulgence by either party enforcing the provisions of this Agreement shall prejudice or restrict the rights of that party, nor shall any waiver of its rights operate as a waiver of any subsequent breach and no right, power or remedy conferred upon or reserved right for either party in this Agreement is exclusive of any other right, power or remedy available for that party and each such right, power or remedy shall be cumulative.
37. ENTIRE AGREEMENT
This Agreement supersedes all prior agreements, arrangements and undertakings between the parties to this Agreement and constitutes the entire agreement between the parties relating to the Services.
38. LAW OF SCOTLAND
The construction, validity, performance and all other matters arising out of and in connection with this Agreement shall be governed by the Law of Scotland. IN WITNESS WHEREOF
SCHEDULES 1 - 5, & 7 TO BE INSERTED LOCALLY
PART 1 CONTRACT PRICE (V)
PART 2 LIAISON OFFICERS (V)
PART 3 SERVICE SPECIFICATION (V)
PART 4 FORMAT OF SERVICE USER REVIEWS (V)
PART 5 MENTAL WELFARE COMMISSION ACCIDENT/INCIDENT REPORT (V)
PART 6 ACCIDENTS AND EMERGENCIES (C) - SEE APPENDIX 4
PART 7 CONFIDENTIALITY SCHEDULE (V)
Appendix 1 CONTRACTING FRAMEWORK AND GUIDANCE: TYPES OF CONTRACTS
Pre-placement agreement
The type of contract which sets the terms of conditions for a service but is only activated by the formal purchasing process. Two examples of these are described as "call-off " and "cost and volume".
A call-off contract is used where there is no guaranteed use or level of use and the provider is not obligated to accept referrals. Generally used for care homes (residential / nursing) and home care. Payment is made per person on a unit price basis.
A cost and volume contract is where agreement is reached with the provider on a number of places to be provided and the contract priceis calculated on this basis. An estimation is made on Service User turnover and an allowance is made for this. This contract is commonly used when the purchaser has identified a need for the service, usually in a care home situation, on a long-term basis and is prepared to commit to this service on an ongoing basis. A detailed service specification is agreed between the purchaser and the provider and this forms part of the contract.
Spot Contract
A spot contract is used to purchase a service for an individual where there is not already a pre-placement contract in place and may be used for example for cross boundary placements.
Block contract
A block contract is where payment by the purchaser is made for the service regardless of occupancy / use as opposed to price for the place / unit cost. This type of contract is commonly used for advocacy / information services where it is difficult to quantify the service on a per person basis. It is recommended however that minimum and maximum levels are agreed between the purchaser and provider and that this is reviewed regularly to ensure value for money. A service specification should be agreed between the purchaser and the provider and incorporated into the contract.
Hybrid Contract
A mix of contract types within the same service. An straightforward example would be where a block contract is in place for a percentage of a service, usually 80% in practice, and call off contract arrangements for the remainder. This allows capacity for developing Direct Payments. Another example applies to a Supported Living Service where a block arrangement is in place for a providers core infrastructure costs to support a given number of individual Service Users and then a financial framework for actual hours of direct services delivered to each Service User dependant on assessed needs. A further Supported Living contract type being used for individuals or small groups living in the same household, usually holding their own tenancies, based on the Service Users assessed needs is a 'spot' type contract. Here payment is made on a per person basis, following agreement on the contract price. A general service specification would form part of the contract which would also refer to the care and support plan for each Service User.
Supported Living
This contract is used for individuals or small groups living in the same household, usually holding their own tenancies, with support being provided at different levels dependant on the Service Users assessed needs. Payment is made on a per person basis, following agreement on the budget. A general service specification would form part of the contract and the contract would also refer to the care plan for each Service User. A contract would be put in place for each household address.
Appendix 2
Please Note:
Where reference is given to "care" within the framework below this should be replaced with " housing support".
ADSW Standing Committee on Community Care
Report to: | ADSW STANDING COMMITTEE ON COMMUNITY CARE |
Date of Meeting: | 21 January 2004 |
Subject: | Contract monitoring framework |
Report by: | ADSW sub group on contracts |
Authors: | M O'Toole, K Norman, B Lamb, P Geddes, B Steel |
Reference Documents: | Sample Contract monitoring formats available |
1 Introduction
1.1 The purpose of this report is to outline a framework for contract monitoring which Local Authorities can adopt to discharge their contract monitoring responsibilities.
1.2 It is for each authority to determine its audit and risk assessment framework and to determine who is involved in contract monitoring. There is a balance of activity required between contract and operations staff and resources issues will determine where the bulk of activity should fall.
1.3 It is however recognised that contract monitoring is already carried out by assessment and care management staff in the reviewing of care packages and issues arising are dealt with at review. This report does not seek to undermine this principle and contract activity is additional to this.
2 Principles
The process is based on the following principles:
2.1 The provider is responsible for ensuring that they deliver services in accordance with Service User(s) needs and service specifications.
2.2 The care management function underpins the contract monitoring framework and is the key mechanism to ensure ongoing care meets users' needs.
2.3 Service Users' views are part of the contract monitoring process.
2.4 The safety and welfare of Service Users is paramount in considering the appropriate monitoring levels required.
2.5 Duplication of Care Commission inspection processes will be avoided and inspection information will be utilised in contract monitoring.
2.6 Contract monitoring should not be the only mechanism to raise standards of quality.
2.7 Contract enforcement will be a last resort measure to ensure that services are delivered.
2.8 Transparent communication with providers and operations staff is an essential outcome of contract monitoring including information on where services are successful.
3. Aims
3.1 To ensure services are delivered in accordance with Service Users needs as outlined in assessment and care plans and service specifications.
3.2 To ensure that services are delivered at the volume and price and quality outlined in the contract.
3.3 To inform future contracting and commissioning activity.
4. Objectives
4.1 All providers across all sectors that are under contract or service level agreement will be subject to monitoring and require to meet the conditions of their agreement or contract.
4.2 Information which is not in the contract or not related to the contract will not be sought for the purpose of contract monitoring, since it is only possible to take contractual action if matters are expressly covered by contract.
4.3 Each social care contract will detail the monitoring and compliance measures to be applied, together with the roles and responsibilities of both provider and purchaser.
4.4 Contract monitoring will be informed by other regulatory functions(i.e. Care Commission) and use the information provided. Duplication of work will be minimised and inspection reports will inform on compliance.
4.5 Contract compliance will focus on checking, controlling and recording whether the service is provided in accord with the service specification, reference to care plan information and contract standards.
4.6 National Care Standards will be incorporated into contracts as the minimum standards to be met by providers. Local authorities may contract for higher standards.
4.7 Contract monitoring should not be used solely as a method of raising standards. The outcomes should be communicated to providers and lead to continuance, variation or termination of contract as appropriate.
4.8 All contracts should have annual review at baseline levels (Appendix 2A). Full contract reviews should be carried out in the final year of the contract duration and contribute to service planning and commissioning.
5 Process
5.1 The process of contract monitoring is outlined in Appendix 2A which adopts a methodological approach through the following stages:
5.2 Stage 1 - Audit
An audit of contracts, which are in place, should be carried out. If there are no contracts for expenditure incurred by the authority then this should be transferred to contract workloads and priorities agreed.
5.3 Stage 2 - Risk Assess
For each contract an assessment of risk should be undertaken (Appendix 2B). This should enable decisions to be made on whether baseline, medium/active or high monitoring is required. The risk rating assessment is applied at audit stage, but should be applied at the beginning of a new contract and be amended during the lifetime of the contract should any serious issue arise.
5.4 Stage 3 - Activity/Level of involvement
At this stage there are options for low, medium or high monitoring. It is anticipated that this will be a shared activity between operational and contract staff as information on reviews is generally held at assessment and care management level. The chart describes a range of activities, but these are not mandatory. If there are scarce resources, the local authority could decide that only inspection reports and review information will be required at base level monitoring. It is for each authority to determine the level of activity it can sustain based on the resources available. The flow chart then outlines the action planning process where monitoring reveals issues of concern. Local authorities will liaise with the Care Commission in terms of reporting issues. Details of responsible officers and timeframes will be contained within the local Memorandum of Agreement.
5.5 Stage 4 - Authorised Providers List and Contract Outcomes
There are 3 contract outcomes arising from monitoring activity - to re-award, vary or terminate contracts. It is anticipated that in many cases issues of concern would have been dealt with under the first two levels of monitoring activity.
5.6 Stage 5 - Monitor
The process outlined at Stage 3 starts again.
5.7 It is for each local authority to develop its own detailed procedures around each of these areas but sample policies/procedures/risk audits/contract monitoring frameworks and questionnaires are available.
6 Recommendations
6.1 The Care Commission has been consulted and endorsed the content of this report.
6.2 It is recommended that the Chair of the Standing Committee on Community Care approves this report and commends the framework for use by Scottish Local Authorities
Appendix 2A
ADSW CONTRACT MONITORING: RISK RATINGS TABLE
1.1.1 INDEPENDENT SECTOR - RISK ASSESSMENT CRITERIA
Organisation | Quality of Infrastructure | 1
Local service, well established and known to the department as well organised service. | 4
National organisation, experienced in service field. | 8
Local service, not well established and not known to the department. | 10
Local service but not established and known to be of concern to other authorities. |
Management & Staffing | 1
Competent management and well trained staff.
| 4
Competent management but largely untrained staff. | 8
Weaknesses in local management or staffing identified. | 10
Unresolved complaints about management or staffing. |
Terms | Annual Volume | 1
Under £25K | 4
£25K - £50K | 8
£50K-£100K | 10
£100k+ |
OR
Unit Cost | 1
Under £10K | 4
£10K-£15K | 8
£15-£25K | 10
£25K+ |
Service Specification/
contract Position | 1
Contract/ Specification in place which outlines service requirements and obligations of provider to review, self-evaluate and report. | 4
Contract/specification in place, but needs updated. | 8
No contract or specification in place, but positive service history evident. | 10
No contract or service specification in place and no substantial service history. |
Monitor | Evidence from
routine monitoring | 1
Monitoring findings from range of sources positive. | 4
Limited monitoring and findings positive | 8
Formal monitoring arrangements still to be established. | 10
Monitoring identifies complaints and concerns re service. |
Risk | Service Type/client Risk | 1
Support and advice service only. | 4
Low levels of personal care and/or clients able to self- advocate. | 8
High level of personal care provided in group living setting. | 10
High level of personal care provided in client's home. |
Fit | Strategic fit | 1
Service clearly fits with departmental strategies. | 4
Service in process of modernising. | 8
Service standards satisfactory, but service model dated. | 10
Service model dated and provider reluctant/ unable to change and modernise. |
Finance | Financial Assessment | 1
Service, viable, subject to review and operates within financial parameters set by Dept. | 4
Service not subject to review in past 2 years but operating within financial framework set. | 8
Service has repeated difficulties in operating within financial frameworks. | 10
Service subject to concerns about viability or concerns about financial integrity of organisation exist. |
Note: Scores should be allocated with a minimum of 8 and a maximum of 80 scores against each contract.
Local authorities should determine their thresholds for each level of contract monitoring, e.g.
08 to 32 = Low/Baseline monitoring
33 to 64 = Medium/Active monitoring
65 to 80 = High/Close monitoring
Appendix 2B Contract Monitoring Framework
QUALITY ASSURANCE SYSTEM
1. INTRODUCTION
2. GUIDANCE TO SELF-ASSESSMENT AUDIT
3. EXAMPLE OF "SERVICE PROVIDERS EVALUATION WORK SHEET"
Section 1: Introduction to Quality Assurance System
1.1 The Council values partnership working and is seeking to develop a performance culture consistent with the essential elements of Best Value. These elements are
Sound governance - Services will have a user focus and have sound strategic, operational & financial management systems in place.
Performance measurement & monitoring - Services will have regular/systematic performance information.
Continuous improvement - Services will seek this through a variety of means, including value for money studies, a business approach, use of comparative information, options for Service delivery
Long-Term Planning and Budgeting - budget projections over the lifetime of the Contract, setting objectives and targets, and monitoring outputs and outcomes.
1.2 The Council is committed to the following principles, which:-
- builds on existing good practice in the quality assurance systems that providers already have in place
- minimises duplication
- works in partnership to ensure continuous improvement
- improves quality and practice across all providers, by focusing Council efforts where there is a lack of quality assurance systems in place and no Service User outcome information
- develops an infrastructure for providers to share good practice and create innovative solutions
- seek regular information, from Service providers, which will demonstrate continuous improvement on an ongoing basis.
1.3 Those providers who can demonstrate that they have a quality assurance system in place will submit this to the council prior to Service commencing. They may then be exempted from completing Section 3 of this document.
If Service providers do not have any of the following systems in place, they must adopt the self assessment audit system at Section 3 or an internal audit/quality assurance framework approved by the Council.
- Excellence Model
- Charter Mark
- Investors in People
- ISO9000
- Local Government Improvement Programme
Section 2: Guidance To Service Providers Self Assessment Audit
2.1 The Service Providers Self Assessment Audit has three main objectives:
- to provide assurance that Service providers are making progress towards implementing a performance management and improvement framework
- to help identify good practice and areas of concern
- to ensure that providers are planning for improvement
2.2 The audit will assess:
- whether Services are delivered in accordance with the Service Specification.
- whether improvement actions have been identified by the provider to address areas of weakness, for which there will be a follow up audit the following year
2.3 The audit involves four main stages:
1) The Service provider makes a submission to Social Work Resources. This will comprise
- In the absence of an agreed quality assurance system, background information
- a completed self-assessment proforma
- a list of improvement actions
2) The Council reviews the submission, checks evidence and feeds back to the Service provider
3) Any amendments to the self assessment and improvement actions are agreed in writing
4) In partnership with the Service provider, the Council will follows up progress on implementing improvement actions in subsequent years through Contract compliance
2.4 Guidance on Providers submission to SWR
- Service providers will complete the self-assessment pro-forma for each Service specification area outlined in the contract
- The Service providers rate their performance according to the categories A - E ranging from excellent to poor.
- Service providers are not expected to provide an unreasonable level of documentation but their yearly submission will clearly outline the evidence available to support the self-assessment pro-forma should the Council require it.
- The Council will review the self assessments against the background information and any other evidence.
- The Service provider is asked to identify any actions for improvement that it intends to take. There is no assumption that there will be improvement actions required for every area of the Service Specification but the expectation is that priorities are identified according to what can be realistically achieved. The improvements might relate to:-
- improving the approach to meeting the Service Specification
- improving the extent to which the approach is being used throughout the Service
- integrating the approach more into everyday practice
- improving how the approach is reviewed
- The Service provider is asked to provide a summary of the improvement actions as identified on the pro-forma.
2.5 Guidance on Use of Score Card
Guidance on use of the providers self assessment scorecard.
The provider makes a judgement regarding how well their Service meets each particular standard according to the following categories:
Category A - Excellent
The provider clearly demonstrates that the specification is being exceeded and there is evidence that Service User outcomes are met. Services are reviewed regularly and any required improvements are made as a result of the review.
Category B - Above Average
The specification is being exceeded in some areas and/or there is partial evidence that Service User outcomes are being met. Service review is regular and improvements are identified.
Category C - Average
The Service Specification is being met and there is sufficient evidence of achievement of Service User outcomes. Service review is irregular and /or improvements are rarely identified.
Category D - Below Average
The Service Specification is partially met and/or there is insufficient evidence that Service User outcomes are being delivered. Parts of the Service are reviewed and improvements are not identified.
Category E - Poor
The Service Specification is not met or there is no evidence that Service User outcomes are met. There are no Service reviews.
3. Example of a self assessment worksheet
The following pro-forma is an example of one service specification (in this case accommodation) with guidance notes. This should be modified and adopted for each service specification covered in the contract.
Appendix 4
PART 6: ACCIDENTS AND EMERGENCIES
THIS IS PART 6 OF THE SCHEDULE REFERRED TO IN THE AGREEMENT BETWEEN ***** (the Authority) AND ****** (the Provider)
(a) Accidents, emergencies and other serious incidents referred in Clause 12 shall include the following:-
- Sudden death of Service User;
- Suicide of Service User;
- Serious injury to Service User;
- Assault of Service User;
- Incidents of actual or intended emotional, physical or sexual abuse of Service User;
- Maladministration of Service User's funds or property;
- Incidents of financial exploitation of Service User;
- Serious loss or damage to property of Service User;
- Illegal restraint or restrictions on liberty of Service User;
- Service User missing from their home; and
- Fire on the premises where Services are being delivered.
(b) Complaints referred in Clause 11.7 shall be regarded as significant if they relate to any of the matters referred in paragraph (a) above.