Policy for the Placement of Individuals in Social Care Services August 2016

1. Policy for the Placement of Individuals in Social Care ServicesAugust 2016

2. Overview • Why do we need a policy? • What does it cover and who will need to refer to it? • The Core Process explained • Completing the Checklist and Exemption Form • Other supporting documents • Questions

3. Why do we need a policy? • Demonstrate Value for Money (which covers price and quality) • Streamline processes • Guidance for commissioners • Quality assurance: External audit • Ensure adherence to the Contract Procedure Rules

4. Quality assurance: External audit 2015 A sample of 20 placements were tested and found: • No valid current contract in place for 13 (65%) of the placements • No Individual Placement Agreement (IPA) for 9 (45%) of placements • Not clearly documented the reasons for shortlisting and selecting • No evidence of pre-contract checks of policies, procedures or insurance in any of the cases tested; • Financial checks not completed: although evidenced in 7 cases some providers were classified as high risk and it was not clear how the information influenced the placement decision or any subsequent actions; • Limited evidence available of consideration of value for money: CPC only seen in 1 case, although older people residential placements were consistent with agreed banded rates in most cases • Panel approval forms: 3 cases not available and 3 cases not signed. Based upon these findings, the assurance rating for compliance with controls in respect of this risk is limited assurance.

5. The Welland internal audit consortium will be coming back to carry out another audit of individual placements before December 2016.

6. What does it cover and who will need to refer to it? • ALL placements of individuals in social care services! • So everyone who commissions individual placements • FIVE processes identified to date • All processes should include the 8 elements of the Core Process

7. The Core Process CP1 Referral: Need first identified CP2 Needs / eligibility assessment CP3 Shortlist: ideally at least 3 providers CP4 Value for Money CP5 Core process checklist completed by CW CP6 Panel/ management sign- off CP7 Documentation: Checklist, Exemption form, Framework access and call off award, IPA, service provision/NOP Ensure documents are scanned onto liquid logic CP8 Document storage: Contracts to update database and store IPA, and exemption form in deed safe The 8 elements of the Core Process should be integrated into every Individual Placement Process

8. Completing the Checklist and Exemption Form • Core Process Checklist • Provides evidence that VfM has been achieved for each placement as required by the CPRs • Provides evidence that compliance checks have been carried out before making the placement and ensuring it is suitable • Signed off by Team Manager, and Contracts Officer once received • Completion required for every individual placement before the placement is made • CPR Exemption Form • Required by the CPRs to exempt individual placement contracts from normal competition rules • Approved by the Strategic Director of Resources in consultation with the Chief Officer, Portfolio Holder and Head of Legal Services • Completion required for new contracts only

9. Other supporting documents • Individual Placement Agreement (IPA) • Contractual document, required by Contracts team • Completion required for every individual placement • Commissioners should coordinate signatures on two originals, scan completed forms onto liquid logic and return both originals to the Contracts team • When requesting IPA’s specify with provider a timeframe to sign and return, and follow up if outside of this timeframe • Three IPA templates apply : Looked after children and young people (including the East Midlands framework), Residential care (older person contract); Residential children’s services. • Notification of Placement (NOP) • Finance document, required by Finance team • Scan to liquid logic and send scanned copy to Finance • Adult social care: The current service provision requires completion on the day of placement, on liquid logic: this notifies finance of the placement.

10. Policy relates to CPRs – all commissioners should familiarise themselves with the CPRs! Please ensure all documents are sent to: contractsnotifications@rutland.gov.uk And scanned onto liquid logic.