DRAFT - Guidance to National Care Home Contract
Introduction
The National Care Home Contract (NCHC) originated out of a decision by COSLA and the Scottish Government
to overcome variation and complexity in the contractual relationship between commissioners and providers of
care, to improve the financial stability of the sector and promote the quality agenda nationally. The first NCHC
was negotiated in 2006 by COSLA and Scottish Care.
At the time of the settlement with service providers for 2011/12, it was agreed with Scottish Care that there
should be a comprehensive review of the NCHC. Further, the Cabinet Secretary for Health, Wellbeing and Cities
Strategy announced in 2011 the Scottish Government’s plans to integrate adult health and social care. These
plans may have implications for the way that Care Home places are commissioned in the future and which the
NCHC will need to be able accommodate.
Various developments in the wider Care Home market, particularly in the past year, have highlighted a need for
greater contingency planning measures in the NCHC, also necessitating a more extensive review of the Contract.
The NCHC review has been undertaken to ensure the best quality care is delivered within the constraints of
available public finance, as well as embedding a stronger focus on outcomes and facilitating greater
specialisation within the sector.
The review activity was coordinated through the National Development Group for Older People’s Care, which
draws representation from a range of partners including the Scottish Government, ADSW, the Care Inspectorate,
NHS Scotland, Scottish Care, Scotland Excel, the voluntary sector and advocacy groups. The Group is chaired
by COSLA.
A National Commissioning Strategy for Care Homes for Older People is currently being developed and will
underpin future development of the NCHC.
The following parallel projects were also agreed alongside
development of the Strategy:

review of the service specification with a focus on outcomes;

development of new specifications as part of a diversification strategy for the sector (to be undertaken
throughout 2012);

review of funding streams; and

review of contract clauses (the outcome of which is contained in this draft Guidance).
With these factors in mind, a package of revisions to NCHC have been made, including technical changes such
as terminology and updates to legislation, as well as the development of additional clauses. This guidance sets
out the intended purpose of the revisions and explains their use. This document will be further developed in 2012
to form a complete guide to the NCHC including sharing good practice developed around the NCHC. For
example, the sharing of information between Providers, Councils and the Care Inspectorate (as set out in the
Memorandum of Understanding), the reduction of duplication and workforce training and development.
Page 1 of 16
Technical Revisions
‘Preamble’
In 2012/13 and beyond, it may not only be Councils issuing and making placements under the NCHC; Health
Boards may become responsible for the commissioning of care home places. In such circumstances, the NCHC
could be varied as follows:
1. The Preamble could be re-written :
“This is a Contract between <name of health board>, a Health Board constituted in terms
of the <insert legal reference to the relevant Act> having their principal office at <insert
address>, (hereinafter referred to as the “Health Board”) and their statutory successors
and assignees whomsoever, acting on behalf of <name of Council>, and their statutory
successors and assignees whomsoever as per the <insert legal reference to the
Agreement> dated <insert date>and <insert Provider NAE status, registered address
and company number if applicable > (hereinafter referred to as “the Provider”).
2. All references to ‘Council’ within the body of the Contract should then be replaced with “Health Board”.
‘Council or Other Purchaser’
Since the inception of the NCHC Councils have been making out of area placements for Residents who choose
to stay outwith the local authority area. Previously, there were no pre-defined responsibilities for the “host”
Council or the “external placing” Council. By making use of the ‘Council or Other Purchaser’ terminology, the
roles and responsibilities of each are more clearly set out.
The “host” Council, as the primary contracting authority, will be responsible for:

Ensuring the ongoing management of the Contract, including invoking enforcement measures;

Sharing management information with Other Purchasers and the Care Inspectorate where appropriate;

Arranging timely Care Assessments, Care Management and Individual Placement Agreements (IPA) for
those Residents it has placed within the Care Home and paying for these.
The “external placing” Council or Other Purchaser will be responsible for:

Arranging timely Care Assessments, Care Management and IPAs for those Residents it has placed
within the Care Home and paying for these.
‘Care Inspectorate’
All references to the statutory regulator of Care Services in Scotland have been changed from ‘SCSWIS’ to ‘Care
Inspectorate’ as this is now the working title of the organisation.
Page 2 of 16
PVG Scheme (clause A.9)
The PVG Scheme was established by the Protection of Vulnerable Groups (Scotland) Act 2007, and was fully
implemented in 2011. The PVG Scheme ensures that those who either have regular contact with vulnerable
groups through the workplace, or who are otherwise in regulated work; do not have a history of inappropriate
behaviour.
Previously, the Staffing and Volunteers clause of the NCHC referred to Disclosure checks and Enhanced
Disclosure. However, the PVG Scheme ends the use of disclosure checks under the 1997 Act for those working
directly with children and/or adults at risk. They are replaced by new types of disclosure records under the PVG
Act.
The PVG Scheme excludes people who are known to be unsuitable, on the basis of past behaviour, from working
with children and/or protected adults and detects those who become unsuitable while in the workplace.
Disclosure Scotland keeps a list of individuals who are considered to be unsuitable to work with children (“the
children’s list”). Under the PVG Act, Disclosure Scotland also keeps, for the first time in Scotland, a list of those
who are barred from working with protected adults, such as Care Home Residents (“the adults’ list”).
The three types of disclosure checks are still available for positions not within the scope of the PVG Scheme.
Basic disclosure continues to be available for any purpose. Standard disclosure continues to be available for
broadly the same positions as before, for example, solicitors and accountants. Enhanced disclosure continues to
be available for those posts unrelated to work with vulnerable groups, or for roles which involve access to
children or protected adults other than through regulated work.
The Equality Act 2010 (clause A.16)
The Equality Act 2010 replaces previous anti-discrimination laws with a single act to make the law simpler and to
remove inconsistencies. This makes the law easier for people to understand and comply with. The act also
strengthened protection in some situations. This Clause replaces the Non-Discrimination and Racial
Discrimination and the Promotion of Racial Equality Clauses within previous versions of the NCHC.
The Act covers nine protected characteristics, which cannot be used as a reason to treat people unfairly. Every
person has one or more of the protected characteristics, so the act protects everyone against unfair
treatment. The protected characteristics are:

age

disability

gender reassignment

marriage and civil partnership

pregnancy and maternity

race

religion or belief

sex

sexual orientation
Page 3 of 16
The Equality Act sets out the different ways in which it is unlawful to treat someone, such as direct and indirect
discrimination, harassment, victimisation and failing to make a reasonable adjustment for a disabled person.
The Act prohibits unfair treatment in the workplace, when providing goods, facilities and services, when
exercising public functions, in the disposal and management of premises, in education and by associations (such
as private clubs).
Under this Act, the general equality duty requires Scottish public authorities to pay 'due regard' to the need to:
eliminate unlawful discrimination, victimisation and harassment; advance equality of opportunity and foster good
relations. These requirements apply across the 'protected characteristics' of age; disability; gender reassignment;
pregnancy and maternity; race; religion and belief; sex and sexual orientation.
As such, Councils may require Providers to complete a questionnaire and/or provide information to the Council’s
officers on the extent and quality of the Provider’s equalities and diversity policies to comply with this law.
Councils’ interpretations of the requirement of this Act may vary locally; Providers should contact the relevant
Council for more information.
Business Continuity Plan (clause A.22)
The content of this clause has not changed; however, its potential application and scope may have changed with
recent developments in the Care Home market. In the past, the policy direction was for business continuity plans
to cover events such as flu outbreaks and other pandemics; now these plans are required to consider a wider
range of issues, including how short-notice Care Home closures will be handled. Providers and Councils should
refer to COSLA’s Good Practice Guidance on the Closure of a Care Home.
Under the Public Services Reform (Scotland) Act 2010 s53 (6), Providers are required to maintain an appropriate
contingency plan. The Care Inspectorate will inform Providers of this through the “eform” system. This Clause in
the NCHC confirms this requirement and sets out how the Provider and Council should engage in order to protect
Residents upon the activation of said plan.
As a matter of good practice, outwith the NCHC, the Care Inspectorate will continue to link with Councils’
contracts officers to ensure that they also have effective contingency plans in place to deal with registered
Services ceasing at short notice (due to either poor performance and/or financial viability) and to work together
where either party has concerns about a Provider’s Business Continuity Plan.
Work is being undertaken by the National Contingency Planning Group to look at how the financial viability of
Providers should be monitored and checked. The Group has been set up to look at the overall preparedness of
statutory agencies in addressing unforeseen circumstances that could lead to the disruption of adult care
provision in Scotland. This will include any service disruption or cessation that arises from a business closure, an
emergency situation or a public health matter. The output of this group may have implications for the NCHC in
due course. However, currently there is no change to the contract requirements. The main obligation of Providers
under this Clause is to have contingency plans in place and contact the Council where these are activated.
Adults at Risk (clause A.24)
The content of this clause has not changed; however this has been moved from Part B (service specification) to
Part A (terms and conditions).
Page 4 of 16
Paying for Quality
The NCHC has been unique in social care contracts in aligning the payment that Providers receive to the quality
of the Service that they provide. This is now well a well established practice, though the quality measures have
changed from year to year in the negotiation process. To reflect these updates and streamline the terminology
used in the Contract amendments have been made to the 2012/13 Contract.
New Terminology
Three new terms have been introduced into definitions of Contract; Headline Fee, Enhanced Quality Award and
Reduced Quality Deduction, replacing previous terminology.

“Headline Fee” means the price week that week that the Provider is entitled to receive for providing
Standard Care, prior to any awards or reductions in payment which are linked to service quality (Reduced
Quality Deduction, Enhanced Quality Award or Default Rate) as set out in Column A of Appendix 1”

“Enhanced Quality Award” means the price per week that the Provider is entitled to receive for
providing Standard Care where it achieves the enhanced quality standards as determined in section 2 of
Appendix 1 (c).
Quality payments for 2012/13 remain as in the previous settlement and are set out in Appendix 1(c).
Where providers score 5 or above, Councils should apply this enhancement automatically.

“Reduced Quality Deduction” means the price per week that the Provider is entitled to receive for
providing Standard Care where it fails to meet the quality standards as determined in section 3 of
Appendix 1 (c).
This is a £20 per resident per week flat rate deduction that may be applied only when the process as set
out in Appendix 1(c) is adhered to and at the discretion of the Council.
This updates Contract terminology as follows:
2011/12
2011/12 terms
2012/13 terms
£550.81
NCHC Fee (incl. Quality Award)
Headline Fee
£530.81
NCHC (removal of Quality Award)
Nursing Rates
(single room)
Reduced Quality Deduction
(discretionary)_
£552.81/£553.81
NCHC (incl. enhanced quality award)
Enhanced Quality Award
£510.16
Default Rate
Default Rate
Removal of term “Basic Quality Award”
The 2011/12 negotiations effectively absorbed the percentage of the Basic Quality Award rate which applied to
the attainment of staff targets into the main contractual rate when it was agreed that staffing targets would no
longer be subject to financial incentives. The new term “Headline Fee” incorporates the Basic Quality Award and
Page 5 of 16
this rate will only be given to Providers scoring a minimum QAF score of 3 in ‘Quality of Care and Support’ who
also adhere to the terms and conditions, including the Pre-Conditions set out in Appendix 1(c). Providers scoring
5 or more in ‘Quality of Care and Support’ become eligible for the “Enhanced Quality Award” and where
Providers score a 2 or less in this themed area Councils may, after following the process set out in Appendix 1(c),
apply a “Reduced Quality Deduction”.
Updated Definitions
There are now effectively four different rates that the Council may pay for the provision of Standard Care
depending on the quality standards achieved; the Headline Fee, Enhanced Quality Award, Reduced Quality
Deduction or Default Rate. The definition of Council’s Approved Rate has been updated to encompass each of
these rates.

“Council’s Approved Rate” means the sum of the Council’s Contribution and the Resident’s
Contribution which is the price per week that the Provider is entitled to receive for providing Standard
Care, such price being one of four rates which are linked to achievement or otherwise of service
quality (Headline Fee, Enhanced Quality Award, Reduced Quality Deduction or Default Rate) as set
out in Column A of Appendix 1”

Council’s Contribution is then defined as “the financial contribution per week which the Council or
Other Purchaser will make to the Provider for providing Standard Care which together with the
Resident's Contribution amounts to the Council's Approved Rate;
Page 6 of 16
New Clauses
Assignation, Disposal, Sub-Contracting and Change of Control (clause A.17)
Assignation
Various issues arising out of the sale or transfer of Care Homes, particularly in the past 12 months has
necessitated a review of the Assignation clause. A new assignation clause has now been included. In terms of
the NCHC, an assignation occurs when one Provider transfers their contractual rights and responsibilities under
the NCHC to another Provider. In Scotland, an assignation must be intimated - that is, communicated (or there
must be some equivalent of intimation) - to the third party connected to the right (i.e. the Council) in order for it to
be fully effective.
In transferring a Service from one Provider to another, there are a number of broader issues outside of any
contract that can impact on the assignation process. The most important of these in care Services are the
Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE) and Care Inspectorate
registration. Broadly speaking any transfer of staff, change of registration and contract assignation should aim to
take place on the same day to avoid legal complications about liability and the need for interim contracts between
the Provider and the proposed assignee and to cover handover periods. This requires planning and partnership
working and is much more likely to be achieved successfully where there is advance notification given in order to
address issues.
The assignation Clause states that the Provider cannot sell or transfer its interests in the Contract without the
agreement of the relevant Council. Providers are usually aware of the legislative requirement to inform the Care
Inspectorate of any proposed assignation of Contract or change of registration; registering the new Provider can
take approximately 13 weeks. However, Providers should also be aware that Councils often need to go through
internal governance procedures before assigning a Contract and may need to take a report to a Committee.
This takes time, as such; the Clause requires that Providers also give Councils 13 weeks’ notice of any
assignation taking place. Aligning these processes and arranging tri-partite communications between the
Provider, the Care Inspectorate and the relevant Council will be crucial to the success of the assignation process.
The time taken to assign a contract will vary locally; Councils should seek to process an assignation request as
quickly and efficiently as possible. There may be scope for Councils and Providers to agree to an assignation
with less than 13 weeks’ notice. However, Providers are actively encouraged to engage with Councils about a
potential assignation at the earliest stage possible.
Prior to any assignation taking place, this Clause also requires that the existing Provider demonstrates to the
Council that the proposed new Provider will be able to meet the required service quality levels as well as the
financial and economic requirements of the Council. These requirements will vary from case to case and
Providers should check these by referring to relevant documentation and strategies and by liaising with the
Nominated Officer from the Council concerned.
Until the Council has agreed to an assignation, the Contract cannot transfer to a proposed new Provider. If the
existing Provider transfers their interest in the Service without the consent of the Council, the existing Provider
will retain all the liability for the Contract while the proposed new Provider has no Contract and therefore, cannot
be paid. This would also equate to a Material Breach of Contract on the Provider’s part and as such, the Council
could decide to apply the Default Rate to the existing Provider’s Contract price.
Page 7 of 16
The risk to the proposed new Provider of the existing Provider failing to comply with this Clause is that Residents
may be removed from the Care Home (subject to any rights to choose under the Choice of Accommodation
Directive), or the Council may offer a temporary contract (possibly on different terms and conditions) until either
Residents can be moved or until the original Contract can be legally assigned.
Factoring Assignee
This relates to the arrangements for debt assignment or the purchasing of debts. This reflects the requirements of
the Scottish Government (Scottish Procurement Policy Note 7/2007).
Councils should consider the application of this section of the Clause into their wider social work contracts. This
effectively allows for a different company to be paid than the one which is providing the Service. This is
particularly relevant for Councils who are contracting with larger Providers with more complex business
structures.
Appointment of Subcontractors
A sub-contractor in terms of this Contract relates to parts of Service that are regularly sub-contracted. Providers
require the prior written consent of the relevant Council before employing a subcontractor to undertake any
part(s) of the Service which are classed under PVG legislation as Regulated Work with Protected Adults or which
require SSSC registration. Employing a subcontractor for the provision of supplies to support the Service, or a
single purchase of activities are both generally excluded from the need to get consent.
Depending on the nature and extent of the sub-contract, Councils may need to consider similar factors as in the
case of assignation. Providers should contact the Nominated Officer for the relevant Council where they think this
might be the case.
The requirement (in Clause A.17.18 (iii) b.) for subcontractors to be paid within a period of not more than 30 days
exists to fulfil requirements of the Scottish Government (Scottish Procurement Policy Note 8/2009).
Change of Control
In terms of the NCHC, change of control occurs when a Provider changes control for any reason, including new
leadership or where the Provider is acquired by another company.
The legal framework for allowing a change of Control sits outwith the scope of this Contract and Care Home
Providers operating as public companies may be subject to a sale on the stock exchange (this may be outwith
their control).
However, a change of control can expose the Council to certain risks. As the NCHC is not competitively
tendered, there is no risk of the Council being exposed to a legal challenge arising from a change of control.
However, if a Provider has a contract withdrawn for a material Breach of Contract and this Provider then buys
another Care Home, this would raise serious issues about the continuing standard of the Care Home.
The difference between a change of control and assignation is that Councils cannot contractually prevent this.
The only contractual remedy available to Councils in this situation is to terminate the Contract. In order to avoid
this risk, Providers should consult with Councils about the implications of the change of control at the earliest
stage possible.
Page 8 of 16
Premises Information (Clause A.18)
The Premises Information Clause is a new addition for the 2012/2013 Contract. This Clause requires that
Councils are provided with information on the legal basis on which the Provider occupies the premises.
Some Providers operate complex business models and property portfolios. As such, there is a need to increase
transparency about the security of Providers’ tenure to better inform Councils on the sustainability of the local
Care Home resource base and also potential requirements for contingency planning.
The information required by this Clause may be used to form part of Councils’ risk assessments and strategic
commissioning plans.
Councils, Providers and the Care Inspectorate should work together where there is duplication in the provision of
information. Wherever possible, the Provider may consent for Councils or the Care Inspectorate to share this
information with each other to avoid inefficiencies.
Suspension (Clause A.21)
Suspension in terms of this Contract relates to the right of Councils to place a (temporary) suspension on placing
Residents within a Care Home.
Suspension has been used in Care Homes by Councils for a considerable period of time and is usually called a
“moratorium” on Placements; it has traditionally been used where there are serious concerns about a Care Home
or about a Provider’s Service.
Over time Councils have developed their own policies on how and when they will apply a moratorium on
Placements. However, until now there has been no contract Clause governing this practice. This Clause brings
greater clarity to the circumstances which could necessitate a suspension:

If there is a serious health and safety or Adult Protection risk to Residents within the Care Home;

If the Service has fallen below the minimum requirements of the contract in terms of service quality as
evidenced by the Care Inspectorate;

If the Council cannot consent to a proposed assignation or subcontracting arrangement;

If the Care Inspectorate has used its statutory power to place a suspension on admissions.
Councils should give Providers clear and reasonable justification as to why they think Placements should be
suspended and agree this on a voluntary basis where possible without resorting to use of this clause.
Where
use of this Clause is necessary, the Council should set out what actions and evidence will be required in order for
the suspension to be lifted. When suspension takes effect, the Council and Provider should work together to
resolve the issues that led to the suspension.
Councils should consult with the Care Inspectorate before suspending admissions on a Care Home, Where this
is not possible, (i.e. in cases of emergency), Councils should contact the Care Inspectorate as soon as is
practicable afterwards.
Page 9 of 16
Under this Clause, the Provider is expected to continue to provide Service to existing Residents in the Care
Home. It is common practice for Councils to arrange additional reviews for existing Care Home Residents during
a period of suspension, this Clause also allows for this practice.
The suspension Clause can be used exclusively or alongside other contract enforcement Clauses, such as;
termination of contract and reduction of the contract price to the Default Rate.
Where a Provider does not believe that the Councils action in suspending further admissions is proportional, the
Provider may; request a formal review of the suspension, take action through the Resolution of Disputes Clause
(A.20), and may also challenge the Council in court. As such, prior to invoking this (or any) enforcement measure
under this Contract, Councils should consider the Scottish Government’s Right First Time Guidance; this is a
practical guide for public bodies in Scotland to decision making and the law.
Step-In (Clause A.23)
The Step-In Clause is a new addition for the 2012/13 Contract. This Clause gives Councils powers to ‘step in’ to
a Service where there is a serious risk to health and safety of Residents and where no voluntary agreements to
remedy this are possible. Councils should be clear that choosing to step-in to a Service is a measure of last
resort.
The Business Continuity Clause (A.22) allows for similar agreements to be made on a voluntary basis where the
Provider requires the assistance of the Council. Wherever possible, Councils should seek the agreement of
Providers before stepping in to any part(s) of the Service. Arrangements will be most effective where mutual
agreement on the course of action is sought and agreed. Councils may make use of the appended pro-forma
agreement for voluntary step-in.
Step-in on a non-voluntary basis is a measure which Councils should not take lightly. Liaison with the Care
Inspectorate should take place prior to the commencement of any action under this Clause to confirm the risks to
Residents and to confirm that voluntary measures are unlikely to work. For the sake of clarity:
1. Provider will remain the registered Service Provider with the Care Inspectorate.
2. The remedy available to the Provider (where they disagree with the decision to step in) is to take the
Council to court via an interdict. As such, Councils will require to evidence that they have acted
reasonably in choosing to step-in.
3. Sanction to step-in should only be given by a Senior Council Officer; Director of Social Work or similar.
4. The Council assumes legal liability for any actions it takes under step-in.
Councils could invoke the right to step-in in a number of scenarios, including; where a Provider is offering poor
standards of Care (as evidenced by the Care Inspectorate) and will not co-operate to improve their Service or;
where a force majeure situation arises and the Provider cannot consent to voluntary intervention (e.g. owner is
abroad or temporarily incapacitated).
The scale of the step-in should always be proportionate to the size of the problem. In some instances, the
Council may decide that taking over management of the Service is necessary. In other cases, it may be that the
Council only requires intervene on a short-term or “one-off” basis.
Page 10 of 16
Whilst Councils should be mindful of the complexities in invoking this Clause, there are also practical uses for its
existence in the NCHC:

Councils may decide to step-in where a Provider indicates its intention to close a Care Home without
prior notice. Temporarily stepping-in would prevent any serious risk to Service Users and would allow
more time for the Care Home to close and for Residents to be moved safely.

If the heating in a Care Home breaks down and the person within the Provider’s organisation the
authority to organise such a repair is unavailable, this would present a serious risk to the health and
safety of Residents. It may be preferable for the Residents if the Council were to step-in to arrange (and
initially pay for) the repair, instead of moving Residents out of the Care Home.
Page 11 of 16
New Service Specification
Service Specification
There was a shared view amongst stakeholders that the previous service specification for the NCHC, whilst
remaining adequate in most regards, did not reflect the emphasis on an outcomes focus for care services,
including residential care. The revised service specification at Part B of the NCHC for 2012/13 has 10 sections
and these are described below with additional information on their operation.
Part 1 – Introduction. This references the broad policy background and place of residential care in Scotland. It
stresses the role and purpose of the Care Plan and Personal Plan for each resident, as well as the importance of
these being determined through a process firmly focused on the resident and their own views of their
circumstances, and undertaken in a manner that ensures the fullest and most meaningful participation by the
resident (and their family/representative). It introduces the pivotal role for outcomes in the contract as well as a
focus on a re-ablement approach, and stresses the principle that as far as possible, living in a care home should
not offer a diminished quality of life or set of rights and expectations compared to living at home.
Part 2 – Outcomes. This is a wholly new section describing the Outcomes that are expected for Residents. This
section more robustly emphasizes the centrality of clear and adequate recording of care interventions and how
these relate to the pursuit of outcomes for each resident as set out in broader terms in their care plan and in more
detail within their personal plan. Failure to do so is now a specific material breach. There is also a new and
clearer requirement on homes to record statistics on outcomes at an aggregated level to assist appraisal and
future commissioning plans. Mindful of the desire not to unnecessarily add to the recording burden on this sector,
work will be undertaken early in 12/13 with ISD and the Care Inspectorate to investigate whether these
contractual requirements on homes can be met by amending the Care Home return and/or the Care Home
Census. If this is not possible then we will provide a pro-forma to homes to assist gathering and presenting any
data items not already otherwise available. It is anticipated that some Homes may need to alter how they develop
and record Personal Plans and consequent interventions with a clearer outcomes focus, and how they evidence
this in order to meet this more explicit requirement. Councils should be ready to work with them on this agenda
before considering action under the terms of the contract, which should be applied where Homes have
demonstrated they are either unwilling or unable to comply. This is a key aspect of the revised contract and will
be kept under review through ADSW as operation of the contract provides experience.
Part 3 – Scope. This section clarifies that the overwhelming majority of Residents placed under the NCHC will be
older adults (over 65 as a minimum but in practice most residents are significantly older than that) but does not
preclude the placement of people under 65 where this is considered a suitable route to meet their outcomes, and
the Home is able and prepared to accept them. It accepts that individuals where needs primarily arise from
conditions other than age related frailty or dementia are not the intended client group, but also permits such
placements where everyone agrees this would be beneficial and it is acceptable to the Care Inspectorate. Note
that this provision to permit occasional placements of under 65s is in no way intended to turn the NCHC into a
more general contract for care homes serving other adult client groups, and any such interpretation would be
unhelpful.
Part 4 – Service Standards. A broader range of service standards that the provider must adhere to are set out
here. Again the importance of evidencing that these are being followed is emphasized and failure to do so
becomes a material breach. Care should be taken when dealing with any situation where the Care Inspectorate
Page 12 of 16
has graded a Home satisfactorily but the Council feels that in other aspects the Home is failing to adhere to any
of these various Service Standards. Action should only be considered following specific liaison with the Care
Inspectorate and the Home and where any proposed action can be clearly substantiated in terms of the failure by
the Home to meet specified Standards and the impact of this on Residents. Early work will be undertaken to offer
a list of the most salient legislation and standards/guidance which can be offered, but without prejudice, to
Homes who wish it.
Part 5 – Service Description. Most of the clauses here reflect the previous specification, some with minor
updates. Revised clauses at 5.20 and 5.21 clarify how and when clothing might be marked for identification, and
the provision of toiletries. The obligation for properly trained staff is now at clause 5.9 and extends to all aspects
of care rather than just eating and drinking as before. Clause 5.2 is inserted to provide clarity on what has always
been the case around variation but explicitly reminds parties on the need to determine proper authority. It is
appreciated it significantly duplicates the clause on variation already at Part A but it was considered desirable
and helpful to explicitly set out within the specification as well. Clause 5.3 deals with equipment and refers to a
protocol which remains under construction at this time but will apply when available. 5.4 references provisions
already within the contract related to additional care need payments and is set out here in the specification for
clarity only. Further guidance on this matter remains under construction at this time and will apply when available.
5.5 notes that whilst the scope section permits placement of under 65s and the contract includes short term
placements, the impact of these on longer stay residents should be monitored and managed.
Part 6 – Creation of Placements. This reflects previous provisions but sets a new deadline of 7 days for councils
or other purchasers to issue the IPA.
Part 7 – Ending of Placements. This also reflects previous provisions but sets out more fully at clause B.7.16.
responsibilities around funerals.
Part 8 – Brochure and Introductory Pack. This reproduces the text on this topic that was previously contained in
Appendix 1c which amendments to the terms and conditions has moved to the main sections of the contract.
Part 9 – Complaints & Suggestions. Largely reflects previous clauses but strengthens resident options at clause
B.9.1, whilst clause B.9.3 requires Council to follow the SPSO principles. B.9.6 is a new clause that reflects what
is already common practice across the sector and to help consolidate this improved practice.
Part 10 – Notification of Significant Events. This is essentially as before but introduces an obligation on providers
to contact care manager’s line manager within 1 working day where care manager unavailable, and now includes
a resident’s attendance at A&E as a notifiable event.
Page 13 of 16
Appendix 1
A.22 Business Continuity (Voluntary Step-In Pro Forma)
This Agreement is made by XX Council (hereinafter referred to as “the Council”) and XX Nursing/Care Home (hereinafter
referred to as “the Provider”) with regards to the support being offered to the Provider by the Council.
1.1
Principles and Aims of the Agreement
1.1.1
The key principles and aims of the agreement are to:
i.
ii.
iii.
iv.
v.
vi.
Safeguard the welfare of current Residents of XX Nursing/Care Home;
Assist the Provider to improve the quality of the service provision, bringing it to a safe and
acceptable standard and to achieve the Key Performance Indicators set out in Section 1.6 of this
Agreement;
Assist the Provider to meet the requirements of the Care Inspectorate’s Improvement Notices;
Remove any risk to the Residents of XX Nursing/Care Home;
Assist the Provider to reach a point they are able to run the service safely and independently;
To work alongside the Provider’s Staff and not act as replacement staff.
1.2
Period of the Agreement
1.2.1
This Agreement will come into force on DATE and run for a period of X weeks until DATE.
1.2.2
The Parties may agree to extend the period of the agreement to a maximum period of X months in total.
Should the parties agree to extend the period, this will be documented in writing and will be on the same
terms and conditions as set out in this initial Agreement, except where the Parties have specified
otherwise in writing. Any extension of this Agreement for up to a period of X months will be on the basis
of support from the Council being gradually reduced.
1.3
Service Delivery
1.3.1
The Provider will:
i.
ii.
iii.
iv.
1.3.2
Act in accordance with advice and guidance from the Council
Take immediate action to address any issues or concerns raised by the Council
Ensure that XX Nursing/Care Home is staffed to agreed levels with their own workers, with the
Council’s staff acting as an additional resource
Use the period of the Agreement to improve the quality of the service and address underlying
issues which have led to the failure of the service, including:
a. recruitment a permanent Care Home Manager and Administrator;
b. planning and implementing a full programme of staff training including manual handling;
c. (all other relevant issues here)
The Council will:
i.
ii.
iii.
iv.
Provide a team of staff to work alongside XX Nursing/Care Home staff. The team will include;
Care Home Managers, Senior Social Care Workers, Social Care Workers and Senior
Administrative Support Workers, edit list as appropriate;
Provide advice and assistance to XX Nursing/Care Home staff on all matters relating to service
delivery including adult protection, staff training and recruitment;
Report any concerns they may have to XX Nursing/Care Home’s Manager;
Identify any gaps in core staff training requirements and report them the XX Nursing/Care
Home’s Manager. If the Home fails to provide that training within a reasonable timescale, the
Council will purchase the training and re-charge XX Nursing/Care Home for all costs incurred.
Page 14 of 16
v.
vi.
vii.
Assist in providing any essential equipment required, either by leasing or loaning existing
equipment to the Provider;
Cover the costs of the Council’s staff supporting the Provider for an initial period to DATE.
Following this, meeting costs may be passed on to the Provider either fully or in part. The period
from the start of this Agreement to DATE is deemed to be an emergency situation. In the event
that the Council decides to charge for the support being provided it may do so with effect from a
date no earlier than DATE subject to advising the Provider of its intention so to do in writing. The
details of the costs that may be charged and the payment conditions shall be as set out in the
appendix to this Agreement;
Review the progress made by the Provider against the agreed outcomes and key performance
indicators set out in Paragraph 1.6 in the first instance on DATE and at regular intervals
thereafter.
1.4
Resolution of Disputes
1.4.1
Any dispute arising under this Agreement which the parties have attempted and failed to resolve through
discussion will be referred to an agreed Dispute Resolution procedure, including, without prejudice to the
foregoing generality, arbitration or mediation. Where the parties are unable to mutually agree on the
procedure to be followed, the parties will remit the decision to the Sheriff of the Sheriff Court at Location.
The Sheriff’s choice of procedure will be final.
1.4.2
This Agreement will be interpreted in accordance with Scots Law.
jurisdiction.
1.5
Variation
1.5.1
Other than as set out in this paragraph 1.5 and in respect of the decision to start recovering the costs of
the support service from a date no earlier than DATE, the terms of this Agreement may only be varied by
the mutual agreement in writing of the Council and the Provider.
1.5.2
Throughout the duration of this Agreement the Council may require to vary the form, frequency or criteria
of assessment of the Services. The Council undertakes to discuss any potential changes with the
Provider and where possible take account of the views of the Provider prior to implementation of any
variation.
1.6
Outcomes and Key Performance Indicators
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
Evidence of all staff being trained in manual handling and adult protection
Evidence of improved staff practice
Evidence of the requirements of the Care Inspectorate’s Improvement Notices being met.
Evidence of recruitment to key posts being completed
Evidence of all staff having suitable contracts of employment in place
Reduction in the incidents leaving to adult protection concerns or investigations
Reduction in the number of complaints made the Council and the Care Inspectorate
Reduction in the requirement for support from the Council
Evidence of Residents dignity being respected
Evidence of improved person centred care planning being developed and implemented
1.7
Service Standards, Regulations and Legislative Requirements
1.7.1
The Provider will:
i.
ii.
The Scottish Courts will have
Ensure that it is aware of any legislative change, which affect its ability to maintain the Services, and
to advise the Council of such changes and effects;
Ensure that it remains legally compliant.
Page 15 of 16
1.8
Warranty and Disclaimer
1.8.1
The Council gives no warranty or guarantee that the support services that they are providing will enable
the Provider to achieve the Key Performance Indicators set out in Paragraph 1.6 or to retain Care
Inspectorate registration.
1.8.2
The support services are provided by the Council entirely without prejudice to the absolute and ongoing
obligations of the Provider to deliver care as required by regulatory and other bodies prior to, during or
following any agreed period of assistance.
1.9
Liability and Insurance
1.9.1
Each party will be liable for the actions or omissions of the staff employed by them and shall have no
liability for the actions or omissions of the employees of any other party. The Council confirms that its
staff are covered by employers’ liability insurance in respect of their provision of the support services in
terms of this Agreement.
1.10
Signatures
XX Council:
Name:
Designation:
Signature:
Date:
XX Nursing/Care Home:
Name:
Designation:
Signature:
Date:
Page 16 of 16