{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Commissioning and Contracts Policy

1. Purpose

The purpose of this policy is to outline how {{org_field_name}} manages commissioning and contractual arrangements to ensure high-quality, legally compliant, person-centred care in line with the Regulation and Inspection of Social Care (Wales) Act 2016, the Social Services and Well-being (Wales) Act 2014, and CIW regulatory expectations. This policy ensures that all commissioning activity, including contractual agreements with public bodies, private funders, service suppliers, and individuals, is fair, transparent, outcome-focused, and aligned with our values and objectives. It further supports effective partnership working, financial accountability, risk management, and clear communication with commissioners and service users.

2. Scope

This policy applies to all commissioning and contractual relationships involving {{org_field_name}}. It covers service-level agreements (SLAs) with local authorities or health boards, private care contracts with self-funding individuals or families, third-party suppliers providing goods or services to the care home, and contracts with professionals or consultants. It also covers arrangements relating to the provision of specialist care, temporary staffing, and commissioned equipment or therapy services. All employees involved in commissioning, procurement, or contract oversight are expected to comply with the principles in this policy.

3. Related Policies

This policy should be read in conjunction with the following:
CHW05 – Statement of Purpose Policy
CHW07 – Person-Centred Care Policy
CHW13 – Safeguarding Adults from Abuse and Improper Treatment Policy
CHW16 – Health and Safety at Work Policy
CHW18 – Risk Management and Assessment Policy
CHW26 – Recruitment, Selection, and Retention Policy
CHW27 – Staff Supervision, Training, and Development Policy
CHW41 – Managing Service User Finances Policy

4. Policy Statement and Implementation

4.1 Principles of Commissioning

{{org_field_name}} commissions services and enters into contractual arrangements in a manner that supports safe, lawful, person-centred and effective care and support.

The following principles apply to all commissioning and contractual arrangements:

• Person-centred care and the achievement of individuals’ personal outcomes must remain central to commissioning and contractual decisions.
• Quality, safety and the well-being of individuals must not be compromised for financial or operational considerations.
• All contracts and commissioning arrangements must comply with applicable legislation, regulations and regulatory requirements.
• Procurement and contracting processes must be fair, transparent and non-discriminatory.
• Commissioning arrangements must support the delivery of the service in accordance with the Statement of Purpose.
• Contracts must clearly identify, as appropriate, the services to be provided, roles and responsibilities, required standards, financial arrangements, monitoring arrangements, timescales, reporting requirements and termination provisions.
• No commissioning, contractual, outsourcing or subcontracting arrangement may prevent {{org_field_name}} from complying with its statutory and regulatory responsibilities.
• Arrangements with commissioners, funders, contractors and suppliers must support continuity of care and the safety and well-being of individuals receiving the service.

The service provider retains overall responsibility for ensuring that the regulated service is provided in accordance with the Regulation and Inspection of Social Care (Wales) Act 2016, the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, the conditions of registration and the Statement of Purpose.

The Responsible Individual provides statutory oversight of the service in accordance with their duties under the applicable Regulations. The Registered Manager is responsible for the day-to-day implementation and management of commissioning and contractual arrangements within their delegated authority.

4.2 Contracting with Local Authorities and Health Boards

Where care and support is proposed to be commissioned by a local authority, Local Health Board or other NHS body, {{org_field_name}} will not agree to provide the placement solely because funding or commissioning approval has been obtained.

Before agreeing to provide care and support, the service provider must be satisfied that the service is suitable to meet the individual’s care and support needs and to support the individual to achieve their personal outcomes, having regard to the Statement of Purpose.

Before a placement is agreed, the suitability decision will take account of, as applicable:

• the individual’s care and support plan;
• any provider assessment required where no care and support plan is available;
• relevant health, nursing or other professional assessments;
• the individual’s views, wishes and feelings;
• identified risks to the individual’s well-being;
• identified risks to the well-being of other individuals receiving care and support;
• any reasonable adjustments which could enable the individual’s needs to be met; and
• the service’s admissions and commencement procedures.

The individual, the placing authority where applicable and any representative will be involved in the decision in accordance with the applicable regulatory requirements.

A representative will not be involved where the Regulations permit their involvement to be excluded, including where an adult or young person aged 16 or over does not wish the representative to be involved or where involvement would be inconsistent with the individual’s well-being.

Where the service determines that it can meet an adult’s care and support needs, confirmation will be provided in writing. Written confirmation will also be provided where the service determines that it cannot meet the individual’s care and support needs.

Where care is commissioned by a local authority, Local Health Board or other NHS body, {{org_field_name}} will comply with the lawful terms of the placement, commissioning and funding arrangements. Contractual arrangements must clearly distinguish the responsibilities of the commissioner, the service provider and any other organisation involved in the individual’s care and support.

Commissioning or funding arrangements must not restrict {{org_field_name}} from complying with its duties under the Regulation and Inspection of Social Care (Wales) Act 2016, the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, or other applicable legislation.

Changes in the individual’s assessed needs, personal outcomes or funding arrangements will be communicated promptly to the relevant commissioner or placing authority where this is necessary for the individual’s care and support.

Where the individual’s personal plan or provider assessment identifies a significant difference from the commissioning body’s assessment or care and support plan, the relevant commissioner will be notified and the matter will be reviewed.

{{org_field_name}} will participate in lawful contract-monitoring, quality-assurance and review arrangements undertaken by commissioners and will maintain appropriate records of agreements, amendments, reviews and relevant communications.

4.3 Service Agreements with Individuals, Including Self-Funders

{{org_field_name}} will ensure that every individual receiving the service is given a signed copy of any agreement relating to the care and support provided to them and any other services provided to them.

This requirement applies irrespective of whether the care is:

• wholly self-funded;
• wholly funded by a local authority, Local Health Board or other public body;
• funded jointly by the individual and a public body; or
• paid for through another lawful funding arrangement.

The individual will receive such explanation, communication assistance, accessible information or other support as is necessary to enable them to understand the agreement.

Information will be presented in a language, style and format appropriate to the individual’s communication needs and level of understanding.

The agreement will accurately describe the services to be provided and, where applicable, will clearly set out:

• the care and support and any additional services to be provided;
• charges payable by the individual and what those charges cover;
• charges payable by a placing authority or other commissioner and what those charges cover;
• payment arrangements;
• any applicable late-payment provisions;
• any additional charges or costs which may become payable;
• the applicable room or accommodation, where relevant;
• the circumstances in which charges may lawfully be reviewed or changed;
• the arrangements and timescales for notifying the individual of contractual changes;
• the circumstances in which the agreement may be terminated;
• the notice periods applying to the individual and to {{org_field_name}}; and
• any other material contractual terms affecting the individual’s care, accommodation or financial obligations.

Where the individual is responsible for paying some or all of the cost of their care and support, {{org_field_name}} will provide the individual or their representative with a written estimate of the costs payable by the individual. This will include any likely additional costs and charges known at that time.

Service agreements, fee provisions and termination provisions will comply with applicable consumer law, including the Consumer Rights Act 2015 and applicable provisions governing unfair commercial practices.

Contractual information must be clear, transparent and not misleading, and unfair contractual terms will not be relied upon.

Any fee or contractual change will only be introduced in accordance with the agreement, applicable legislation and consumer law. The individual or their representative will be notified in writing in accordance with the contractual and legal notice requirements.

The service agreement will remain consistent with the Statement of Purpose, the individual’s assessed needs and the service which {{org_field_name}} is registered to provide.

4.4 Supplier, Agency and Third-Party Contracts

Contracts with suppliers, contractors, agency staffing providers, maintenance providers, professional advisers and other third parties will be subject to proportionate checks before the organisation or individual is engaged.

Where a third party supplies workers who may have contact with individuals receiving care and support, {{org_field_name}} will obtain sufficient evidence to satisfy itself that the workers meet the applicable fitness requirements under the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

Agency staff deployed within the service will be subject to the same applicable suitability and fitness checks as staff directly employed by {{org_field_name}}.

{{org_field_name}} will obtain and retain appropriate evidence or confirmation from the agency that the required checks have been undertaken and will maintain arrangements to satisfy itself that the agency’s checking arrangements are reliable and robust.

Where professional registration is required for a role, appropriate and current registration with the relevant professional or workforce regulator will be verified.

No supplier, agency or third-party arrangement may be used in a manner that prevents {{org_field_name}} from:

• maintaining sufficient staffing;
• maintaining an appropriate skill mix;
• providing continuity of care;
• delivering safe care and support;
• meeting individuals’ assessed needs and personal outcomes; or
• complying with the Statement of Purpose and regulatory responsibilities.

Contracts will define, as appropriate:

• the services, goods or personnel to be supplied;
• responsibilities and lines of accountability;
• required standards and regulatory requirements;
• insurance and indemnity requirements;
• confidentiality and information-governance requirements;
• performance and monitoring arrangements;
• arrangements for reporting incidents, concerns or safeguarding matters;
• payment terms;
• arrangements for addressing poor or unsafe performance; and
• suspension and termination arrangements.

Where concerns arise about the fitness, conduct or competence of an agency worker, contractor or other person supplied to the service, {{org_field_name}} will take immediate and proportionate action to protect individuals.

Where required, appropriate referrals or notifications will be made to the relevant local authority safeguarding service, Disclosure and Barring Service, Social Care Wales, professional regulator, Care Inspectorate Wales or other relevant statutory body.

4.5 Due Diligence, Regulatory Responsibility and Information Governance

Before entering into a material contract relating to the delivery of the regulated service, {{org_field_name}} will undertake proportionate due diligence appropriate to the nature and level of risk associated with the arrangement.

Due diligence will include, where relevant:

• confirmation of the identity and legal status of the contracting organisation or individual;
• regulatory or professional registration;
• required qualifications or authorisations;
• insurance and indemnity arrangements;
• financial and operational capacity;
• safeguarding and suitability considerations;
• references or evidence of previous performance;
• health and safety arrangements; and
• information-governance and data-protection arrangements.

Where another organisation or contractor undertakes functions connected with the provision of the regulated service, {{org_field_name}} remains responsible for ensuring that its statutory obligations as the registered service provider continue to be met.

Contracting, commissioning, subcontracting or outsourcing an activity does not remove or transfer the statutory responsibilities of the registered service provider or Responsible Individual.

Personal data will be processed in accordance with the UK General Data Protection Regulation, the Data Protection Act 2018 and other applicable data-protection legislation.

Before personal data is disclosed to or processed by a supplier or contractor, {{org_field_name}} will identify the parties’ respective data-protection roles.

Where a third party processes personal data on behalf of {{org_field_name}} as a processor, a written contract containing the provisions required by applicable data-protection legislation will be in place before processing begins.

Information will only be shared where there is a lawful basis for doing so.

Appropriate requirements relating to confidentiality, information security, access, retention, breach reporting and the return or deletion of information will be incorporated into contractual arrangements where applicable.

4.6 Monitoring, Quality and Review

{{org_field_name}} will maintain effective arrangements for monitoring, reviewing and improving the quality of care and support provided through commissioned and contractual arrangements.

Monitoring will be proportionate to the nature and risk of each arrangement and may include:

• contract reviews;
• agreed quality indicators;
• audit findings;
• incidents;
• complaints;
• safeguarding information;
• service outcomes;
• feedback from individuals and representatives; and
• performance against agreed contractual requirements.

As part of the service provider’s arrangements for monitoring and improving the quality of care and support, views will be sought from the persons required by the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, including:

• individuals receiving care and support;
• their representatives, unless this would be inappropriate or inconsistent with the individual’s well-being;
• the placing authority where required by the Regulations;
• service commissioners; and
• staff.

The methods used to obtain views will be appropriate to the individual’s communication needs, level of understanding and circumstances.

Information obtained through monitoring, consultation, complaints, incidents, safeguarding processes and contractual performance will be analysed and used to identify areas requiring improvement.

When making decisions about plans for improving the quality of care and support, the service provider will:

• take account of the views obtained through the required consultation arrangements; and
• have regard to the quality-of-care report prepared by the Responsible Individual in accordance with the Regulations.

Where a contractor, agency, supplier or other third party fails to meet a requirement which affects the quality or safety of the regulated service, {{org_field_name}} will take timely and proportionate action.

This may include:

• increased monitoring;
• requesting corrective action;
• implementing a performance improvement plan;
• suspending all or part of the contractual arrangement;
• applying contractual remedies; or
• terminating the arrangement where necessary.

Contractual monitoring does not replace the Responsible Individual’s statutory arrangements for oversight, quality-of-care review and assurance.

4.7 Termination, Changes in Need, Disputes and Regulatory Notifications

Every service agreement and material contractual arrangement will contain appropriate provisions describing the circumstances in which it may be terminated and any applicable notice requirements.

Termination or contractual enforcement involving an individual receiving care and support will be managed in a manner which protects:

• the individual’s safety;
• the individual’s well-being;
• the individual’s rights;
• continuity of care; and
• compliance with applicable regulatory and consumer-law requirements.

Where, as a result of a change in an individual’s assessed needs, {{org_field_name}} is no longer able to meet those needs even after making any reasonable adjustments, the service provider will immediately give written notification to:

• the individual;
• any representative;
• the service commissioner; and
• the placing authority.

The service will work with the individual, their representative where appropriate, commissioners, placing authorities and relevant health or social care professionals to support safe and appropriately planned continuity or transition of care.

Where a contractual dispute arises, {{org_field_name}} will use the applicable escalation and dispute-resolution procedure.

Safeguarding concerns or immediate risks to an individual will take precedence over the contractual dispute process and will be acted upon without delay.

A contractual dispute is not, solely because it is a contractual dispute, automatically notifiable to Care Inspectorate Wales.

Where the facts or events connected with a dispute, contractual failure, termination or other matter constitute an event for which notification is required under the Regulation and Inspection of Social Care (Wales) Act 2016 or the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, the required notification will be made to Care Inspectorate Wales in accordance with the applicable statutory notification requirements.

Required notifications will be submitted using the notification arrangements specified by Care Inspectorate Wales.

Making a notification to Care Inspectorate Wales does not replace any separate duty to notify, report or refer a matter to:

• the local authority safeguarding service;
• the police;
• the Disclosure and Barring Service;
• Social Care Wales;
• another professional regulator;
• the relevant commissioner or placing authority; or
• another statutory body.

All material decisions, consultations, notifications, referrals and actions relating to termination, disputes and continuity of care will be appropriately recorded.

4.8 Staff Roles, Responsibilities and Accountability

The service provider retains overall responsibility for ensuring that the regulated service is provided in accordance with:

• the Regulation and Inspection of Social Care (Wales) Act 2016;
• the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended;
• the conditions of registration;
• the Statement of Purpose; and
• other applicable legislation.

Contracting, commissioning, subcontracting or outsourcing arrangements do not transfer the service provider’s statutory responsibility to another organisation.

The Responsible Individual will provide statutory oversight of the management, quality and compliance of the service in accordance with the duties placed upon the Responsible Individual by the applicable Regulations.

In relation to commissioning and contractual arrangements, the Responsible Individual will ensure that suitable governance and oversight arrangements are in place to support compliance with the Regulations and that relevant policies and procedures are kept under review and up to date.

The Registered Manager is responsible for the day-to-day implementation and management of commissioning and contractual arrangements within their delegated authority.

The Registered Manager will ensure that concerns are appropriately escalated where they relate to:

• risks to individuals;
• contractual failures;
• inadequate supplier or contractor performance;
• unsafe agency staffing arrangements;
• safeguarding concerns;
• changes in an individual’s assessed needs;
• failures that may affect continuity of care; or
• circumstances which may affect the service’s ability to comply with its Statement of Purpose or regulatory responsibilities.

Only persons with appropriate delegated authority may enter into, vary, renew or terminate contracts on behalf of {{org_field_name}}.

Staff involved in commissioning, procurement, contract administration or monitoring will receive information, instruction and training appropriate to their responsibilities and must act in accordance with this policy and related organisational policies.

Concerns about unsafe, unlawful, unethical or improper commissioning or contractual practices must be reported through the appropriate management, safeguarding or whistleblowing arrangements.

Nothing in a contract, confidentiality clause or other contractual arrangement may prevent a person from making:

• a safeguarding referral;
• a protected disclosure;
• a report to a regulator or statutory body; or
• a statutory notification where required by law.

4.9 Record Keeping and Confidentiality

All commissioning and contractual records will be accurate, complete, appropriately authorised and stored securely.

Records will be maintained, where applicable, in relation to:

• signed contracts and service agreements;
• start dates, review dates and end dates;
• financial terms and agreed charges;
• written cost estimates;
• correspondence relating to contractual matters;
• amendments and variations;
• commissioning and placement information;
• due-diligence checks;
• supplier and contractor assessments;
• agency assurance records;
• monitoring and review records;
• performance concerns and improvement actions;
• disputes and resolutions;
• termination decisions;
• regulatory notifications and referrals; and
• other significant decisions relating to the contractual arrangement.

Access to records will be restricted to persons who require access for an authorised purpose.

Personal and confidential information contained within commissioning or contractual records will be processed in accordance with the UK General Data Protection Regulation, the Data Protection Act 2018, the organisation’s confidentiality and data-protection arrangements and other applicable legal requirements.

Where a contract involves the processing of personal data by another organisation on behalf of {{org_field_name}}, the appropriate written data-processing provisions will be in place.

Electronic records will be protected by appropriate technical and organisational security measures.

Records will be retained for the period required by applicable legislation, regulatory requirements and {{org_field_name}}’s records-management arrangements and will be securely destroyed when they are no longer required.

5. Policy Review

This policy will be reviewed annually or earlier in response to legislative changes, audit outcomes, or organisational needs. The Registered Manager is responsible for ensuring the policy remains aligned with CIW requirements and that staff are informed of any updates or procedural changes.

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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.