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CH146-Working with External Providers and Agencies in Home Care Policy

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Registration Number: {{org_field_registration_no}}

Working with External Providers and Agencies in Home Care Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} maintains effective, safe, and compliant working relationships with all external providers, agencies, and third-party professionals involved in the care and support of the people we support. This includes but is not limited to agency staffing services, specialist health providers, equipment suppliers, training providers, and contractors. This policy provides clear and detailed guidance to staff on how to engage with external organisations safely and in a manner that protects the dignity, rights, and well-being of the individuals we support, in line with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, particularly Regulations 9 (Person-centred care), 12 (Safe care and treatment), 13 (Safeguarding), 15 (Premises and equipment), 17 (Good governance), and 19 (Fit and proper persons employed)

2. Scope

This policy applies to all staff at {{org_field_name}} who coordinate, oversee, or deliver care and support in collaboration with any external organisation. This includes managers, team leaders, support workers, and administrative personnel who are involved in communication, procurement, and partnership working with outside agencies. It also applies to temporary agency staff, external contractors (e.g., maintenance or equipment providers), and visiting healthcare professionals such as district nurses, occupational therapists, and physiotherapists. All third parties must work within the values and compliance expectations of {{org_field_name}}, and we are committed to holding them to the same standards as our internal staff.

3. Related Policies

This policy should be read in conjunction with:

4. Policy Details

4.1 Selection and Vetting of External Providers

{{org_field_name}} will only engage external providers, agencies, contractors and other third parties where appropriate checks have been completed to provide assurance that they are suitable, competent and able to deliver the required service safely and in accordance with applicable legal and regulatory requirements.

Before an external provider or agency is engaged, {{org_field_name}} will undertake proportionate due diligence relevant to the nature of the service being provided. This will include, where applicable, confirmation of the organisation’s identity and legal status, relevant CQC or other professional or regulatory registration, insurance, qualifications, competence, experience, safeguarding arrangements, health and safety arrangements and any other licences, registrations or authorisations required for the work to be undertaken.

Agency workers and other persons who fall within the definition of persons employed for the purposes of carrying on the regulated activity must meet the requirements of Regulation 19 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. {{org_field_name}} will obtain or have available the information required by Regulation 19 and Schedule 3, as applicable to the individual and their role, and will obtain sufficient assurance from the supplying agency that the required recruitment and suitability checks have been satisfactorily completed.

Disclosure and Barring Service checks will be obtained or verified at the level permitted and required for the individual’s role. Where the role constitutes regulated activity and the person is eligible for an Adults’ Barred List check, the appropriate barred-list information will also be obtained or verified in accordance with applicable safeguarding legislation. A person who is barred from undertaking the relevant regulated activity must not be permitted to undertake that activity.

Where professional registration is legally required for the work undertaken, {{org_field_name}} will verify that the individual holds current registration with the relevant professional regulator and will take appropriate action where registration, fitness to practise or suitability concerns arise.

Contracts, service level agreements or other appropriate written arrangements will clearly set out the respective responsibilities of {{org_field_name}} and the external provider, including requirements relating to safeguarding, confidentiality and information governance, competence, incident reporting, cooperation with investigations, health and safety, quality monitoring and escalation of concerns.

The use of an agency, contractor, independent supplier, professional or other third party does not transfer or remove {{org_field_name}}’s responsibilities as the registered provider under the Health and Social Care Act 2008 and associated regulations. {{org_field_name}} will therefore maintain appropriate oversight and assurance that any functions delivered by third parties on its behalf meet the legal and regulatory standards applicable to the regulated activity.

4.2 Induction, Training, Competence and Supervision of Agency Staff

Agency workers must receive an induction and orientation appropriate to their role before undertaking duties for which they have not been adequately prepared. The induction will provide the information necessary for the worker to carry out their duties safely and will include, as relevant to the role, safeguarding arrangements, emergency procedures, infection prevention and control, health and safety, confidentiality and information governance, incident reporting, medicines arrangements, moving and handling requirements and the individual needs, preferences, communication requirements and known risks of the people they will support.

{{org_field_name}} will ensure that agency workers and other persons working for the purposes of the regulated activity have the qualifications, competence, skills and experience necessary to perform the duties allocated to them safely. Agency workers will not be allocated duties for which their competence has not been established.

All persons working for the purposes of the regulated activities carried on by {{org_field_name}} must receive training on learning disability and autism that is appropriate to their role, in accordance with section 20(5ZA) of the Health and Social Care Act 2008 and the applicable statutory code of practice. {{org_field_name}} will obtain evidence that agency workers have completed appropriate learning disability and autism training and will provide or arrange additional training where the training already completed does not adequately meet the requirements of the person’s role.

Agency workers will receive appropriate support and supervision while working within the service. The level of supervision will be proportionate to the individual’s role, competence, experience, familiarity with the service and the assessed needs and risks of the people they support. Agency workers must not be left to undertake duties independently unless {{org_field_name}} is satisfied that they have been appropriately orientated and are competent to perform those duties safely.

Managers will monitor the performance and conduct of agency workers and will respond promptly to concerns about competence, conduct, health, safeguarding or fitness to perform the role. Concerns will be recorded and reported to the supplying agency. Where necessary to protect people from harm or the risk of harm, the worker will be removed from duties immediately or appropriate restrictions and supervision will be put in place pending further investigation.

Where concerns indicate that notification or referral to a safeguarding authority, the Disclosure and Barring Service, the police, a professional regulator or another statutory body may be required, the Registered Manager will ensure that the matter is considered promptly and that any required referral or notification is made.

4.3 Working with Specialist Providers and NHS Professionals

{{org_field_name}} will work collaboratively with GPs, community nurses, pharmacists, mental health services, occupational therapists, physiotherapists and other external health and social care professionals where their involvement is required to meet a person’s assessed needs.

Where responsibility for a person’s care or treatment is shared with, or transferred to, another provider or professional, {{org_field_name}} will work with the person receiving care, the external provider or professional and any other appropriate person to ensure that timely care planning takes place and that the person’s health, safety and welfare are protected.

Relevant information required for safe care and treatment will be shared promptly and securely in accordance with applicable data-protection, confidentiality, safeguarding and information-sharing requirements. Staff will ensure that external professionals have access to relevant and accurate information where this is necessary and lawful for them to assess, treat or support the person.

External healthcare and social care professionals will be asked to record their assessments, interventions, treatment, advice and recommendations in, or make them available for inclusion within, the person’s care records. Staff receiving verbal advice or instructions must record the information accurately, including the identity and professional role of the person providing the advice and the date and time it was received.

Recommendations or instructions from an external professional will be reviewed and incorporated into the person’s care and treatment arrangements as appropriate. Before implementation, staff must ensure that the recommendation is sufficiently clear, falls within the professional’s scope of practice, can be implemented safely, is consistent with the person’s care plan and risk assessment, and that any consent required for the care or treatment has been obtained.

Where the person lacks capacity to make the relevant decision, any decision on their behalf must be made in accordance with the Mental Capacity Act 2005, including its principles and best-interests requirements, and any valid and applicable advance decision, lasting power of attorney or Court of Protection decision must be respected.

Any uncertainty, discrepancy, delay or concern about professional advice, treatment or responsibility for follow-up must be escalated promptly to the relevant professional and to the Registered Manager or other appropriate senior person. Staff must not assume that responsibility has transferred to another provider unless this has been clearly agreed, communicated and recorded.

4.4 Safeguarding, Confidentiality and Information Sharing

All external providers, agency workers, contractors and visiting professionals must comply with the safeguarding arrangements applicable within {{org_field_name}} and must immediately report any actual or suspected abuse, neglect, exploitation, improper treatment or other safeguarding concern in accordance with the service’s safeguarding procedures.

Any safeguarding concern, allegation or incident involving an external provider must be reported immediately to the Safeguarding Lead, {{org_field_safeguarding_lead_name}}, {{org_field_safeguarding_lead_role}}, or to another appropriate senior person where the Safeguarding Lead is unavailable or implicated in the concern.

{{org_field_name}} will take immediate and proportionate action where necessary to protect a person from abuse, neglect or avoidable harm. This may include restricting or ending an external worker’s access to people receiving care, contacting the supplying organisation, making a safeguarding referral to the local authority, notifying the police, making a referral to the Disclosure and Barring Service or a professional regulator, notifying CQC where required, and preserving relevant records or evidence.

Personal and confidential information must be processed and shared in accordance with the UK GDPR, the Data Protection Act 2018 as amended, including relevant amendments made by the Data (Use and Access) Act 2025, the common law duty of confidentiality and any other applicable legal requirements.

Information will only be shared where there is a lawful basis for doing so and, where special-category personal data is involved, an applicable condition for processing has also been identified. Information sharing must be necessary, proportionate, relevant, accurate, timely and limited to the information required for the purpose.

Consent will be obtained where consent is the appropriate lawful basis or where it is otherwise required for the proposed disclosure. However, consent is not required in every circumstance. Information may be shared without consent where there is another lawful basis or legal justification for the disclosure, including where sharing is necessary to meet a legal obligation, protect vital interests, safeguard an adult at risk, prevent or detect crime, respond to an emergency or fulfil another applicable statutory or lawful function.

A person’s relative, friend or next of kin must not be treated as having automatic authority to consent to the disclosure of the person’s information. Where the person lacks capacity to make the particular decision about information sharing, staff must act in accordance with the Mental Capacity Act 2005 and must establish whether another person has lawful authority to make the relevant decision, for example under a valid health and welfare lasting power of attorney or a relevant Court of Protection order.

External providers with access to personal or confidential information must be informed of their confidentiality and data-protection responsibilities and appropriate contractual, confidentiality and information-sharing arrangements will be used where required.

4.5 Monitoring and Review of External Providers

The performance and compliance of all external providers are reviewed regularly. Feedback is obtained from staff, people we support, and family members regarding their experience with third-party professionals or contractors. Any complaints or incidents are investigated in line with our Complaints Policy (CH14) and findings are used to guide ongoing procurement decisions. Where a provider falls short of expectations, corrective actions are put in place or the relationship is terminated. Audits, contract reviews, and quality assurance checks are completed at intervals agreed within the contract or SLA.

4.6 Health and Safety Responsibilities

All external personnel must comply with our Health and Safety at Work Policy (CH16). This includes the proper use of PPE, awareness of fire evacuation procedures, infection prevention protocols, and environmental risk management. Contractors must provide evidence of their own risk assessments and method statements (RAMS) before commencing work. We ensure their activities do not compromise the safety, privacy, or dignity of people living in or visiting our home. Any hazard or near-miss involving an external provider is reported and investigated as part of our incident and risk management processes.

4.7 Communication, Recording, Escalation and Regulatory Reporting

Effective communication with external organisations is essential to safe and coordinated care. {{org_field_name}} will maintain accurate, complete and contemporaneous records of significant communications, assessments, visits, interventions, recommendations, decisions and information shared with external providers and professionals within the person’s care record or other appropriate organisational record.

Appropriate points of contact will be identified for external organisations. Where a concern arises regarding the quality, safety, conduct, competence or reliability of an external provider or worker, the concern will be escalated promptly to the Registered Manager, {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}, or, where appropriate, the Nominated Individual, {{org_field_nominated_individual_first_name}} {{org_field_nominated_individual_last_name}}. The Registered Manager or Nominated Individual will liaise with the relevant agency, contractor, commissioner, healthcare organisation, safeguarding authority, professional regulator or other body as appropriate.

External providers and agency workers must immediately report to {{org_field_name}} any incident, accident, safeguarding concern, medication error, injury, equipment failure, service disruption or other event relevant to the safety or welfare of a person receiving care so that the registered person can determine and discharge any statutory reporting or notification obligations.

Responsibility for notifying the Care Quality Commission in relation to the regulated activities carried on by {{org_field_name}} rests with the registered person where the applicable legislation requires the registered person to make the notification. The Registered Manager or other authorised person will therefore assess incidents involving external providers and determine whether notification to CQC is required.

Where an incident falls within Regulation 18 of the Care Quality Commission (Registration) Regulations 2009, the registered person will notify CQC without delay in the manner required by those Regulations. This includes relevant incidents occurring while services are being provided in the carrying on of a regulated activity or as a consequence of the carrying on of that activity.

Where an incident involving an external provider constitutes a notifiable safety incident for the purposes of Regulation 20 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, {{org_field_name}} will comply with the statutory duty of candour, including acting openly and transparently, notifying the relevant person as soon as reasonably practicable, providing reasonable support, giving a truthful account of the facts known at the time, providing an apology and completing the required written notification and record.

Any notification or external report will be recorded, together with the circumstances of the incident, the assessment undertaken, the decision whether notification was required, the date of any notification and any subsequent action or correspondence.

5. Policy Review

This policy is reviewed annually, or earlier in response to changes in legislation, CQC guidance, or operational needs. Any lessons learned from incidents or feedback from people we support will inform future amendments. Staff will be notified of any updates and receive training where necessary to ensure ongoing compliance.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.

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