NATIONAL FOSTERING CONTRACT BEST PRACTICE GUIDANCE ... · 4 Policy context, key frameworks and...
Transcript of NATIONAL FOSTERING CONTRACT BEST PRACTICE GUIDANCE ... · 4 Policy context, key frameworks and...
Using the National Fostering Contract
(Scotland)
Best Practice Guidance for Purchasers
and Providers
CONSULTATIVE DRAFT
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
1
CONTENTS
Section Detail Page 1 Purpose of guidance 2 2 Why the guidance was developed 2 3 How to use the guidance 2 4 Policy context, key frameworks and wider initiatives 3
5 Introduction to the contract 4 6 Overview of main contract terms & conditions 5
7 Using good practice 8 7.1 Key principles 8
7.2 Achieving best practice - the process 10 7.3 Prepare – achieve understanding 11
7.4 Plan – achieve clarity 13
7.5 Deliver – achieve outcomes 15 7.6 Review – achieve quality 20
7.7 Discussion points 21 7.8 Further recommendations 24
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
2
1. Purpose of the guidance This guidance is provided to assist local authorities (purchasers) and registered
fostering providers (providers) to achieve best practice when using the contract (hereafter referred to as ‘the contract’) in Scotland. It defines a set of key principles which should be applied to the purchase of foster care services from independent fostering providers, and aims to ensure that the best possible placement care results from the use of the contract. It sets out the legislative and regulatory requirements which apply to foster care procurement activity and considers policy and practice at key stages in the process. 2. Why the guidance has been developed
This guidance has been developed as a result of the work of the contract Steering Group in consultation with both Local Authority and Registered Fostering Providers and other key stakeholders with an interest in foster care, including foster carers
themselves. The role of the Fostering Network in drafting and consulting upon the guidance was subject to financial support by the Scottish Government as part of the Fostering Networks National Recruitment & Retention Pilot Project in 2010. It has been developed in recognition that foster care procurement requires special
consideration within a Council’s overall approach to the procurement of goods, works and services, and that the communication and understanding of roles and responsibilities between the purchaser and provider are key considerations in achieving
the best placements outcomes Foster care procurement has a significant impact on the quality of life, health and
well being of looked after children in Scotland. In order to achieve the best outcomes for this group, it is essential that views expressed about their needs and wishes are considered in the development of procurement strategies and as an
integral part of the procurement process. 3. How to use the guidance The guidance provides advice on how to achieve the best results when using the contract for the purchase of foster care places. It outlines the legislative and policy context for foster care procurement, details the principles which must govern all foster care procurement activity and provides an overview of both contractual and best practice requirements. As explained above, the guidance provides assistance with ensuring best practice is
achieved in foster care procurement in Scotland; it is not intended to be a step-by-step guide.
Each local authority is responsible for reviewing its foster care procurement policy and procedures to ensure consistency with the guidance.
Councils will continue to have considerable discretion about the approach adopted in individual situations. This discretion should be exercised with due consideration to the requirements of the foster care procurement principles outlined in Section 7.1
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
3
4. Policy Context, Key Frameworks and Wider Initiatives:
The National Performance Framework commits the entire public sector to working to achieve the Scottish Government’s Purpose: a more successful Scotland, with
opportunities for all to flourish, through increasing sustainable economic growth. This is supported by nine Purpose targets, which highlight what delivery of the purpose means, and 15 National Outcomes. Progress is also tested using a set of 45 National Indicators. Three national outcomes are particularly pertinent to children and young people: • our young people are successful learners, confident individuals, effective contributors and responsible citizens; • our children have the best start in life and are ready to succeed; and • we have improved the life chances for children, young people and families at risk. The contract requires providers to deliver services in accordance with the principles of
Getting it Right for Every Child (GIRFEC), the national programme that aims to improve outcomes for all children and young people in Scotland, and GIRFEC – Moving Forward in Kinship and Foster Care, which looks more specifically at looked after
children cared for by foster carers or kinship carers. Providers are expected to provide high quality, outcome focussed services that support looked after children to:
• become effective life-long learners; • develop into successful, responsible adults;
• be emotionally, mentally, and physically healthy; • feel safe and nurtured in a home setting
A wide range of policy, practitioner frameworks and wider initiatives are relevant in addressing the needs of looked after children in Scotland. Those noted below are those most relevant in the context of the contract:
Policy context: Key frameworks:
• Looked After Children (Scotland) Regulations 2009 • Protection of Vulnerable Groups (Scotland) Act 2007 • The Protection of Children Act (Scotland) 2003 • The Regulation of Care (Scotland) Act 2001 • The Social Work (Scotland) Act 1968 • The Children (Scotland) Act 1995 • The Adoption and Children (Scotland) Act 2007 • The Education (Scotland) Act 1980 (as amended) • The UN Convention on the Rights of the Child 1990 • The European convention on Human Rights
(translated into UK Law through the Human Rights
Act 1998)
• Getting it Right for Every Child (GIRFEC)
• GIRFEC - Moving Forward in Kinship and Foster Care
• We Can and Must do Better • These are our Bairns • Early Years Framework • Achieving our Potential • Equally Well
Wider Initiatives with a significant role in addressing the needs of looked
after children:
• More Choices More Chances
• Children's Hearings (Scotland) Bill 2010 • Improving Workforce Development
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
4
5. Introduction to the contract:
The contract is comprised of the main Terms and Conditions plus a further four schedules.
The Terms and Conditions set out the contractual agreement between the purchaser
and provider, and makes clear the obligations upon both purchaser and provider and also covers compliance issues. Schedule 1: The Contract Specification sets out the required baseline for delivery of services to looked after children that are efficient and effective. The Specification seeks to develop a culture of outcome focussed intervention in line with the principles detailed in “Getting it Right for Every Child”. Schedule 2: The Service Delivery and Outcomes Monitoring schedule addresses the overall effectiveness of the provider in fulfilling the requirements of the Terms and conditions and the Service Specification using key performance indicators
Schedule 3: The Individual Placement Agreement (IPA) details the agreed provisions for each individual looked after child including any additional services required above core, and also the expected outcomes required for the child.
Schedule 4: The Core Cost Specification makes clear the agreed core cost for each placement and details additional and/or extra care costs which have been agreed between purchaser and provider
This guidance seeks to ensure that over and above the achievement of base line measures, the contractual agreement and documentation in place between the purchaser and provider reflects a thorough assessment of the needs of each looked
after child that is conducted and agreed in writing before the placement begins unless the child requires to be placed immediately. This early assessment should enable the best possible matching of child and carers and in this way the most positive outcomes
for looked after children can be achieved in placement purchasing situations.
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
5
6. Overview of main Contract Terms & Conditions
This section of the guidance aims to provide an “at a glance” summary and overview of the sections within the Terms and Conditions of the contract as a
quick reference to staff involved in contract delivery. It in no way negates the requirements for parties to the contract to be fully conversant with the legal and contractual implications therein. A. Registration of the Provider and Statutory Compliance
Clarifies requirement for the provider organisation in terms of compliance with Care Commission registration requirements and legislative frameworks and notes that purchaser can terminate the agreement if any associated conditions on registration are not met.
This section also details the reporting requirements of the provider in the case of impositions by the Care commission during the term of the contract.
It also commits the provider to ensure that both they and their foster carers comply with all relevant legislative and regulatory requirements, e.g., the 2009 Regulations, the National Care Standards (NCS), and the Fostering Code of Practice.
Providers are advised to ensure that their staff and carers are equipped with the relevant level of training and information in relation to how these various legislative
frameworks affect their role in the placement process.
B. Referrals and Matching
Clarifies contractual requirements related to assessment and approval of foster carers and reinforces the process requirements outlined in the 2009 Regulations and NCS, and requires providers to have robust assessment procedures and
processes. This section also details issues around de-registration and re-registration of
foster carers and clarifies that copies of Foster Care Agreements must be provided, without which payment for services will not be made.
The requirements expected in relation to matching and referrals are outlined in this section and makes reference to the various information requirements which need to be in place prior to matching.
Providers are advised to ensure that copies of assessment procedures and processes and Foster Care Agreements are easily available and that they are fully up to date and
compliant with the relevant NCS (in the case of assessment procedures and processes) and 2009 Regulations Reg. 24 Schedule 6 (in the case of the Foster Care Agreement)
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
6
C. The Service / Placement
This section considers requirements for the Individual Placement Agreement (IPA) and variations to same, and details the requirements in relation to
delivering the IPA. This section also makes reference to additional services and the conditions under which placement reviews should take place. Any other factors affecting the placement are also included in this section, e.g., consideration of a Permanence Orders; transfer of carers; absences; recruitment & selection of staff; disclosure requirements; reporting and notifiable events and contract management and monitoring arrangements; performance indicators and data collection timescales etc.
In many respects, from a practice perspective this is the key element of the terms and conditions and is where the contract aims to ensure quality and effective management
of placements.
D. Financial Arrangements
This section looks at price and in the main refers to the Core Cost Specification agreed and the services covered in the IPA.
It also outlines the conditions of annual price reviews and stipulates the time
frame within which reviews should take place.
It is essential that providers have considered fairness to carers when compiling the core costs specification, and have negotiated on fair terms for carers in relation to
issues such as travel distance expectations etc)
E. Expiry and Termination of IPAs and Breaches of Contract
Covers terminations of contract (automatic and otherwise) and include detail on breaches of contract situations and termination of agreement circumstances
(including notice periods).
The contract is a legally binding agreement and both purchases and provider should
always have had the relevant legal input before entering into any such agreement.
F. The Contractual Arrangements
Covers sub contracting, assignment and change of control issues, including written consents required and notification requirements.
Also covers best value requirements, required indemnity and insurance provisions, and waivers.
Both purchaser and provider should be aware that the provisions of the Contracts (Rights of Third Parties) Act 1999 are excluded from this agreement.
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
7
G. Protection of information
This section covers data protection and information requirements, clarifies the expressions used (as per the Data Protection Act 1998, and also clarifies
confidentiality issues in relation information obtained in relation to the
purchaser and the child.
This section also covers Freedom of Information obligations and specifies
media and audit requirements.
Providers should note that although the Purchaser is the data controller in respect
of the Child’s information, the storage and use of the Child’s information on the
providers part requires to be compliant with the Seventh Data Protection Principle, "Appropriate technical and organisational measures should be taken against
unauthorised or unlawful processing, accidental loss or destruction of, or damage
to, personal data”, i.e., as though the provider were the data controller.
H. Legislation and further Statutory Compliance
The contract throughout requires that both purchaser and provider operate
in line with the range of policy and legislative frameworks relevant to Social Work Services and Looked After Children regulations (as outlined in Section
4), and Regulation of Care Act (2001) requirement that provider does not
operate ‘for profit’. These statutory obligations, including those related to the rights of the child, are referred to in this section.
It also covers termination of contract issues in relation to the providers inability to meet the terms and conditions, including fundamental breaches
of agreement, insolvency events, force majeure and business continuity.
Providers should note that whilst reference as an act of good practice in section
7.5, the provision of a Business Continuity Plan is contractually required to be
provided on request.
I. Disputes and Law
This section covers the actions to be taken in the resolution of disputes, including acceptable response times, requirements to participate in mediation
for both parties and referral to arbitration, and the provision of assistance in legal proceedings.
This contract agreement is governed by the Law of Scotland. Providers who
provide services on a UK basis with an operational arm in Scotland should be aware that the contract binds them to the exclusive jurisdiction of the Scottish
Courts.
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
8
7. Using good practice when purchasing / providing via the contract: This section outlines good practice guidance in relation to the purchasing and
placement provision process. It is based around the inputs of the membership of the contract Steering Group, as well as on the Fostering Networks Code of Practice on the recruitment, assessment, approval, training, management and support of foster carers in Scotland. 7.1 Key Principles: Procurement – general:
All procurement should be subject to competition: A competitive process provides
the purchaser with the best opportunity to procure the goods or services with value for money. There may be valid exceptions to this principle, due to the nature of the requirement. All procurement should be conducted on a value for money basis: Value for money
includes both whole life costs and quality.
Sustainability issues should be considered where appropriate and when relevant to
the contract. This must take cost and affordability into consideration:
Sustainability issues should be addressed at the appropriate stage in the
procurement.
All procurements should be fair, open and transparent: This is based on the
European Union procurement rules, about not favouring or putting any potential supplier to a disadvantage. All contracting authorities should be seen to be acting
in a fair manner. A well managed procurement, with a well defined requirement from the outset, will help enable a successful procurement. Procurement failure usually points to a badly defined requirement
Foster Care procurement specifically:
• The safety and well being of the looked after child and achievement of the best
possible outcomes for that child, should always be the primary concern. • The responsibility for initial assessment of the looked after child’s immediate needs
and how these should be met as detailed in Regulation 4 of the 2009 Regulations must always be met by the Local authority. Sharing of the assessment with provider and associated needs for the LAC should take place as early as possible.
• The responsibility for preparing the Child’s Plan must always be met by the local
authority – in the event that foster care for a child is the subject of a service purchase from a provider this information should be shared with the provider at the earliest possible opportunity. The Child’s Plan should be shared with the provider at the earliest possible time, but certainly at the time of the placement agreement meeting and, except in exceptional circumstances, always prior to placement inception.
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
9
• The responsibility for ensuring the adequate flow of information between the local
authority and the provider is the responsibility of both parties, and both parties must behave proactively in the event that any breakdown is experienced
• The responsibility for providing the specified level of care must always be met by the provider and the foster carers (who must always be adequately supported and trained by the provider)
• The responsibility for achieving the best possible outcomes for looked after children
at all times should be shared between the local authority, the provider and the foster carer with all parties prioritising the needs of the child at all times
• All parties share responsibility to ensure that the child’s rights are upheld and that
their views are taken into account when decisions are being made about his future. • All parties should agree that they will avoid precipitate moves for the child unless
the child’s safety or the safety of others in the foster care household is at risk by the continuation of the placement.
• All parties should have full commitment to behaving in a fair, open and transparent way and should be able to justify decisions should they be challenged.
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
10
7.2 Achieving best practice when using the National Fostering Contact – the process:
It is suggested that both purchaser and provider apply the principles of the planning and delivery cycle in order to achieve best practice when using the contract. The following sections (7.3 to 7.6) detail each step in the cycle from a best practice perspective; includes snapshots of process points where differences commonly occur between purchaser and provider; and suggests approaches to achieve quality. In addition, the ‘Discussion points’ section (7.7) focuses on aspects of good practice which, whilst they do not necessarily impact on contractual management directly, ultimately contribute to achievement of quality outcomes within the placement setting and therefore impact on achieving contractual outcomes to a consistently high standard. (Fig. 1 Planning Cycle)
- Policy / procedure check and review
- Contractual documentation
- Contract familiarisation - Communication
process / contacts reviewed and updated
- Review meetings:
child / carer - Review
meetings/discussion:
purchaser/provider
- Outcome monitoring - IPA review
- Process review:
purchaser / provider
- Process adaptation:
purchaser / provider
- Documentation review:
purchaser / provider
- Quality review: purchaser / provider
- Review Service specification
- Agree Individual
Placement Agreement
- Agree core/additional cost
- Establish placement
plan - Complete checklist - Agree placement plan
PREPARE
DELIVER
PLAN
REVIEW
Achieve quality
Achieve outcomes
Achieve understanding
Achieve clarity
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
11
7.3 PREPARATION FOR CONTRACTING This section deals with laying good foundations before the contract agreement is in place.
The contract needs to be actively managed. Both purchaser and provider should have a
plan in place for doing this, which must include ensuring the right people are in place to
manage all aspects of the contract.
What needs to happen Points to consider
General organisational preparation
The foundations for successful contract management are laid in the stages before
contract award / agreement.
These aspects form a framework around
which a good relationship can grow.
A good contract not only identifies clearly
the obligations of both purchaser and
provider, but also forms the foundation
for a productive relationship built on
communication and trust.
Are you fully familiar and conversant with the
contract and your obligations therein?
� Is there anything new or different expected for
your organisation to consider at this stage?
� Are there staffing / carer implications which
need to be considered (training etc)?
� Are all necessary practical arrangements adequate or are changes required –
registrations, insurances etc?
� Are systems in place to meet the respective
purchaser / provider responsibilities identified in
the contract?
Are all organisational policies and procedures
in line with the legislative and policy
requirements detailed within the contract? If
not this is the time to update and review
� Are adequate systems in place which provide a
means to measure performance (organisational
and placement)? Schedule 2 – Outcomes
Monitoring requires Providers to provide data to
fit a set of key performance indicators which aim
to measure the effectiveness of the service; the
IPA specifies individual outcomes to be met for
each child placed. It is essential that both sets
of performance data can be provided therefore
systems for gathering and collating should
adequately meet the reporting needs
� Do staff and carer recruitment policies and
procedures meet the needs of this contracting
arrangement?
� Are plans/procedures in place which govern the
implementation/transition/rollout of the contract?
� Are business continuity plans considered during
risk management business planning?
� Are invoicing and financial management
arrangements adequate for purpose?
� If you use any sub contractors to deliver aspects
of your agreed commitment (e.g., training
inputs, financial tasks, specific placement types)
are they all fit for purpose and conversant with
PREPARE – Achieve Understanding
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
12
this contracting arrangement?
� Do you have agreed escalation and alternative
dispute resolution procedures
� Do you have agreed exit strategy / break
options?
Communication routes (and procedures),
typically at three levels, should be considered
at this stage, and relationships formed and
developed to ensure that once the contract is
underway these relationships are at the
performing stage of group/team development:
� Operational (Foster carers / link workers)
� Business (contract manager and relationship
manager on both sides)
� Strategic (senior management / board of
directors)
Be prepared to manage all aspects of
the contract
Contract management activities can be
divided into three areas: service delivery
management; relationship management;
and contract administration
All three areas must be actively managed:
� Decide how to organise your people resources to
manage each of the areas. You might assign a
group or individual to each area or a single
individual may cover two or more areas.
� Bear in mind that different areas will require
different skills and knowledge
Put the right people in place to
manage the contract
Contract management forms the interface
between demand (the purchaser) and supply (the provider)
The individual or team responsible for contract
management must have adequate knowledge
(business, contractual and technical) to
understand both sides of the arrangement:
� Ensure all contract management staff are clear
on why the contract was developed and what it
seeks to achieve
� Consider whether training is required for
contract management staff - the skills and
experience required to manage the relationship
are likely to be different from those required to
manage service delivery
� If you do not have expertise in house to manage
a contract consider training existing staff or if
the size of the purchaser can sustain it, recruit
an experienced professional contract manager
Assign adequate resources to
manage the contract
� There will be an overhead for in house resource
to manage the contract for both purchaser and
provider
� The financial resource required to manage a
major contract has been estimated at 2% of the
contract value. This proportion increases for
contracts of lesser value
Apply prior learning � Ensure that agreed process and / or
documentation reviews which arose from
previous contracting situations have been
applied – e.g., the quality improvement action
plan agreed at previous review period
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
13
7.4 PREPARATION FOR PLACEMENT / CONTRACT
Now that organisational planning in readiness for contracting has been considered, it is
crucial that pre placement planning takes place which involves both purchaser and
provider. At this stage we know that a placement is required and the contract is going to
be signed. Both purchaser and provider need to take steps at this point to ensure both
parties are clear on what is being “bought and sold”.
This section deals with the actions and requirements relevant to both provider and
purchaser which should ideally be undertaken at the inception of the contractual
agreement, ad in some cases at the inception of each placement.
What needs to happen Points to consider
Ensure that the service specification
reflects both parties expectations
� Both parties need to be sure on what is covered in
the service specification and that this clearly
meets needs and expectations – if any additional
requirements exist then this is the time to have
them agreed and documented – BEFORE the
inception of the placement
Ensure there is mechanism for
feedback on carer performance � Feedback from providers (as well as the carer’s
perspective on the providers performance) and the
child’s social worker increases the likelihood of problems and issues being promptly identified and
resolved
Ensure value for money – cost
specification
Ensuring value for money is about the
balance between service quality and cost
A key objective for contract management
is to ensure that it continues to achieve
value for money over its life
� It is important to remember that value for money
is not synonymous with lowest cost
� The core cost specification includes all regular
costs associated with the contract, including: set
up costs, recurring costs, fixed costs, unit costs,
carers fees and allowances, travel costs, and the
organisation’s own overheads in managing the
contract
� This is the stage where additional services and
costs need to be agreed and reflected in the cost
specification – there is no going back for
negotiation of standard costs beyond this point
and both purchaser and provider must be clear
about this and prepared to absorb any costs they
have neglected to include. This is hugely
important aspect of contracting and one where
relationships can be damaged by non compliance
� Thought should be given at this stage to the issue
of placements becoming permanence arrangements – any reduction in agreed fees after
agreed time periods
� If there is a review period to be agreed in relation
to contract costs then timescales should be agreed
and documented now
PLAN – Achieve clarity
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
14
Compare prices and learn from others
Benchmarking is the practice of making
like for like comparisons between
organisations with the aim of ensuring
continuing value for money, getting better performance and improving business
practices
• Price comparisons offer a quick and effective way to
gauge whether you are getting value for money –
what accounts for the differences in core cost
between one provider and another? Are you
purchasing unnecessary services? • Providers could be obliged to benchmark their own
costs or those of their sub contractors by the contract
• Compare the way you manage contracts with the
way other authorities manage theirs – are there
savings to be made? Could shared services be
entered into?
Information exchange / placement
documentation formation
This is the stage in the process where,
excluding emergency placements and
exceptional circumstances, the key
elements of information which need to be
exchanged to ensure smooth placement
management should exchange hands
� The child’s plan should be available at this stage
to allow the Individual Placement Agreement (IPA)
to be fully completed
� Both purchaser and provider should work
collaboratively to draw up the IPA – this is crucial
to achieving the best outcomes for the child and
also to gain a joint understanding of what is
achievable
� The checklist contained with IPA should be used at
this stage as a guide to ensuring all
documentation relevant to the child is in place
with clearly outlined written agreement as to
provision of any missing items and timescales
within which these will be provided.
� Systems in place for capturing and recording
qualitative and quantitative outcomes should be
discussed between purchaser and provider at this
stage to ensure clarity of understanding
Document key contacts relative to the planned placement
The IPA contains key contact details
related to the child (e.g., foster carers,
social worker, placement officer etc) and
also provides for some detail in terms of
contract management (e.g., finance
contact, contracts officer.
It is recommended that additional documentation
should be drawn up containing the ALL contract
management contacts and reporting relationships /
roles:
� Operational (Foster carers / link workers/child’s
social worker)
� Business (contract manager and relationship
manager on both sides)
� Strategic (senior management / board of
directors)
Plan for contract delivery and review
� A brief timeline / plan should be agreed at this
stage in terms of frequency of review meetings for
contract / placement management to take place.
Whilst the contract specifies review timescales in
relation to the 2009 regulations this does not
include the relationship management essential for
good contracting. It is recommended that the
purchaser and provider agree contractual review
meetings/discussions related to the
progress/outcomes to be achieved
� It is also recommended that the schedule for
review meetings between provider and carer are
detailed at this stage and are dovetailed to
complement the purchaser / provider review
timeline
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
15
7.5 Delivering the outcomes
This section deals with establishing service levels and ensuring they are maintained;
managing the administration of the contract agreement; and managing the relationship
throughout the delivery phase.
During this phase risks should be managed and business continuity plans should be in place
should service failure or interruption occur.
Managing service delivery
What needs to happen Points to consider
Establish what levels of service are
required, and ensure they are
maintained
Service level management is the process
of managing the performance provided to
the customer as specified in contractual
service delivery outcomes
It balances cost and quality of services
� The Service Specification clearly outlines the
service delivery expectations and service delivery
outcomes
� However, where specific service levels have been
set, it may sometimes be appropriate to take a
flexible approach to enforcement, particularly in the
early stages of contract performance.
Measure quality as well as quantity
The quality of the service being delivered
must be assessed
This means creating and using quality
metrics – measurements that allow the
quality of a service to be measured
� The Service Delivery Outcomes Schedule as well
as the IPA deal with the quality and outcomes
measurement aspects of the contract
� Quality measures include assessing aspects such as completeness, availability, capacity,
reliability, flexibility and timeliness, among
others
� Some aspects of the service are measurable by
numerical means; others, including elements of
the IPA, require subjective assessment
� Systems in place for capturing and recording
qualitative and quantitative outcomes should
have been the subject of discussion and
agreement between purchaser and provider at
the planning stage to ensure clarity of
understanding
Undertake agreed review meeting
processes
The format, frequency and structure of
review meetings should have been agreed
at section 7.4 – Planning to achieve
clarity
• It is essential that both purchaser, provider,
and carers are committed to full participation in
the agreed schedule for review meetings and
discussions and understand the importance of
these in ensuring a quality placement
experience and achievement of outcomes for
the child
• Review meetings between purchaser and
provider should focus on outcome monitoring,
IPA review and review of administrative
processes
• Review meetings between provider and carer
DELIVER – Achieve outcomes
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
16
should reflect the discussions between provider
and purchaser (in the appropriate level of
detail) and should ensure that needs are clearly
conveyed to the carer; adaptations made to the
foster care agreement if required; and the
relevant commitment to support and training detailed in the carers CPD plan
Managing Risks
Risk is defined as uncertainty of outcome,
whether positive opportunity or negative threat
In contract management, managing risk
means identifying and controlling factors
that may have an impact on fulfilment of
the contract.
Risk management also includes the
process of management placement risks,
e.g. in the event of an allegation.
• Risks can relate to many aspects of the contract,
including fluctuation in demand, lack of provider
capacity, change in requirement and transfer of
skilled staff (on either side) • All risks must be identified and managed
• Risks should be placed with the party best placed
to manage them – generally the provider, who
should have factored risk management into the
core cost specification – however in certain cases it
would be acceptable for additional premiums to be
paid in relation to exceptional and unforeseeable
risk
• Risks placed with providers are referred to as
transferred risks
• Business risk cannot be transferred to the
provider.
• The final responsibility for achieving contractual
outcomes remains with the purchaser
• In terms of managing placement related risks,
cost related risks should have been factored,
e.g. retainer payment in the event of an
allegation, costs of protection for carers in these
circumstance – do they have adequate legal
protection (e.g. does the provider provide for
individual membership of TFN for their carers?);
are all staff fully conversant with managing
allegations guidance etc?
• In the event of an allegation it is recommended
that provider and purchaser utilise the guidance
provided in the document “Best Practice
Guidance: Responding to Allegations Against Foster Carers”
http://www.scotland.gov.uk/Publications/2010/04/
26093510/0
Ensure service continuity
A major part of contract management is
considering service continuity – what will
happen if service fails or is interrupted
• Barring force majeure, such as natural disasters
or terrorist attack etc, it will normally be the
provider’s responsibility to manage service
continuity, and this will be stipulated in the contract
but it will need to be taken into account in the
provider’s wider business continuity plan
• Where contracts are interrupted due to force
majeure, the purchasers contract managers should work with the provider to identify the best way to
enable the services to resume
• Those aspects of a service identified as critical
require careful consideration and the creation of a
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
17
business continuity plan to support achievement
• The risks associated with service interruption or
failure should be identified, formally recorded in a
risk register, assigned to an individual owner
(normally contract management staff) and actively
managed in accordance with good risk management practice
Managing the relationship
This section deals with building up mutual trust and understanding so that there is s openness in communication and a joint approach to managing delivery. When problems
arise they should be dealt with promptly, which requires good communications channels,
with the aim of delivering “win/win” outcomes.
What needs to happen Points to consider
The relationship must be managed as
well as the more formal aspects of
the contract.
It is in the organisation’s interest to make
the relationship work
The four key factors for success are:
• Mutual trust and understanding
• Shared values
• Openness and excellent communication
• A joint approach to managing delivery
Communication is crucial
Good communications are always the
make or break in managing a
relationship.
They allow problems to be identified and
resolved early, and build an atmosphere
of mutual trust and appreciation of each
other’s priorities
• The routes and media through which information
will flow during the contract should be defined and
ideally tested before the contract commences
• There are three levels of communication in a
contractual arrangement: strategic (senior
management/board of directors); business (contract
managers on both sides); and operational (technical
and frontline staff)
• Communication between provider and purchaser
should be peer to peer; that is operational problems
are resolved by staff at the operational level, not
discussed with contract managers
Culture, attitude and behaviour are
as important as the terms of the
contract
There will always be some tensions
between the different perspectives of
purchaser and provider. Contract
management is about resolving or easing
such tensions to build a win/win
relationship
• Consider whether the culture of the organisation
will support the kind of arrangement that is sought
• The right attitudes will engender the right
behaviours. Both sides’ objectives must be shared
and understood, and the arrangement directed to
achieving them
• Adversarial approaches will increase the distance
between purchaser and provider and lessen the
likelihood of achievement of contractual objectives
Deal with problems promptly
However good the relationship between
purchaser and provider, and however
stable the services being delivered,
problems may arise.
• The relationship managers should ensure that the
provider has problem management procedures in
place, including escalation procedures within the
providers organisation, and that these are used
when needed
• These procedures should seek to prevent
problems as well as resolve them
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
18
• The contract should define the procedures for
undertaking corrective action if, for example, target
performance levels are not being achieved and also
the penalties which can be incurred
• If a dispute cannot be managed at the level at
which it arises it will be necessary to escalate to a higher level of authority. This escalation process
needs to be managed.
Managing Contract Administration
This section deals with the mechanics of the relationship between the purchaser and
provider. In particular contract documentation must be maintained, especially where any
changes to services, requirements, procedures or contracts are concerned. Senior
management should be kept informed through a clear reporting mechanism.
What needs to happen Points to consider
Administration of the contract is
important
Contract administration is concerned with
the mechanics of the relationship between
the purchaser and provider
Its importance should not be
underestimated. Clear administrative
procedures ensure that all parties to the
contract understand who does what,
when and how.
The elements that need managing are likely to
include:
• Contract maintenance and change control
• Notice periods, contract closure, disruption or
termination
• Charges and cost monitoring
• Ordering procedures
• Payment procedures
• Budget procedures
• Resource management and planning
• Management reporting
• Asset management
Maintain the contract documentation
The contract will have to evolve to reflect
changes in arrangements. Contract
maintenance means keeping the
documentation up to date and relevant to
what is happening on the ground.
Maintaining contract documentation is an
important activity.
• Establish procedures to keep contract
documentation up to date and ensure that all
documents relating to the contract are consistent
and that all parties have the correct version
Changes must be controlled
Changes to services, procedures or
contracts may have an effect on service
delivery, performance, costs and on
whether the contract represents value for
money. The specification and
administration of change control is an
important area of contract administration.
• Appropriate structures need to be in place with
representatives of both customer and provider
management for reviewing and authorising change
requests
• Be careful that changes do not fall outside the
scope of any original advertisement (particularly re
OJEU advertising) and conflict with procurement
regulations – seek advice if you’re unsure
• It is particularly important that additional
demands on the service provider should be
carefully controlled • Formal authorisation procedures will be required
to ensure that only those new requirements that
can be justified in business terms are added to the
service contract
• A single change control procedure should apply
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
19
to all change
Make sure management understands
what is happening
Management reporting procedures ensure
that information about problems with a
contract reaches those with power to act
as soon as it is possible
• Requirements for service performance reports
and management information should be built into
the contract and confirmed at the tender stage.
• Where possible, use should be made of the
provider’s own management information and
performance measurement systems
• For many business managers a summary of the
service they have received along with a note of
exceptions is normally sufficient
• Information requirements may change over the
life of a contract
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
20
7.6 Review period – seeking improvements:
This section deals with seeking to make improvements principally through examination of
the successes and challenges of the contracting process. The aim is to have a continuous
improvement in performance or value for money, and allow for contractual development or
alteration following negotiation by both parties.
What needs to happen Points to consider
Give providers reasons to improve
The aim of incentives is to motivate the
provider to improve by offering increased
business volume or some other desirable
benefit, as a reward for improved
performance or added value
Public sector managers are under
constant pressure to improve. In contract
management this translates into a need
for continuous improvement in the
performance or value for money of
providers’ services
• Types of provider incentive include guaranteed
levels of capacity, revenue sharing and commercial
opportunities
• Incentives to improve are normally, but not
always, built into contract terms
• It is important that incentives are balanced. They
should not emphasise one aspect of performance at
the expense of other, perhaps less visible, aspects
• Financial incentives should offer rewards to both
parties that fairly reflect any investment they have
to make to achieve the saving in the first place
• Seek to bring down costs, not margins, to allow a
provider a reasonable return to cover such items as
training and development
• A requirement for continuous improvement can
be built into the contract, for example through a
price decreasing year on year
• It is important that continuous improvement is
seen as being desirable and beneficial to both
parties rather than as a means to drive down prices
Provide opportunities for review
based discussion
• It would be beneficial for purchaser and provider
to have an agreed cycle of meetings (e.g. bi-
annual) which focus not on individual placement
situation but purely on the contract
management process, taking the opportunity to
ensure that key contacts are still relevant,
communication methods and cycles still
adequate, administrative processes still valid etc
• Are changes and updates required to
documentation in line with updated/changed legislation, national policy etc? The review
period should give consideration to these factors
and both purchaser and provider need to
undertake amendments
Achieve quality improvement Contract/placement end documentation should
include consideration to:
• Drafting of an improvements action plan related
to contractual management practices
• Contribution from both purchaser and provider
to a pathway plan to achieve successful
transitions for the young person
• Contribution from both purchaser and provider
to the CPD for relevant foster carer/s
REVIEW – Achieve Quality
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
21
RECRUITMENT & RETENTION OF FOSTER CARERS:
Contractual references:
Section 2.13 Assessment & approval of foster carers; 2.19 recruitment & selection of staff;
Service Delivery Outcome Reporting (Schedule 2; Schedule 4 Core Cost Specification.
Regulatory & Standards references:
Children (Scotland) Act 1995; LAC Regs 2009; UK Nat. Standards 4,6,7,21; Nat. Care Standards 1, 5
Compliance with all the processes and procedures prescribed in terms of the 2009 Regulations and National Care Standards.
Good practice guidance points: • Investment should be directed to ongoing public awareness activity to promote
fostering and to develop materials and resources to support local recruitment activity.
• Development of long term strategies in fostering, backed up by better information
systems to identify exactly what foster care resources are necessary
• Greater involvement of carers and their sons and daughters in recruitment
activity
• Recruitment efforts should have continuity rather than being episodic – research and
project work has proven that the ‘drip drip’ effect is the most effective form of
recruitment • Additional levels of data gathering about the demography of recruited carers should be
gathered which allows for future targeted recruitment initiatives to achieve maximum
impact from the widest possible band of potential carers, e.g. data on professional
status; housing type/size; income band; ethnicity, educational achievements
• Foster care agreements should clarify expectations about carers involvement with
training and skills development and encourage carers to take responsibility for their own
development
• Providers should be able to provide a statement of recruitment / retention standards
and should complement recruitment activity with strategies and activities to
support retention of foster carers, e.g., ensuring planned and regular support
is provided, and a training & development plan is in place for all carers outlining
pre and post approval training requirements
• All foster carers should have an individual Continuing Professional Development
(CPD) plan which details training and learning required / undertaken and a plan for
achievement of these needs.
• Staff from both local authority and registered fostering providers should work together
to contribute to Foster Carer Reviews in order to promote professional development
• Foster carers should have adequate legal protection and access to independent support
and advice (e.g. membership of relevant support organisation – The Fostering Network
membership provides access to advice and information, policy and practice updates, a
legal, medical and stress helpline, newsletters and legal protection for foster carers)
• Allowances offered to carers should, where possible, be in line with nationally
recommended minimum rates in recognition of the costs associated with the role
7.7 A key part of the preparation process that leads to
successful contracting is conducted prior to contract
inception – that being the recruitment and assessment of
foster carers, and the recruitment and training of social
work staff conducting the process.
Bulleted below are some key practice areas that should be considered as part of these processes:
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
22
ASSESSMENT AND TRAINING OF STAFF AND CARERS:
Required contractual actions:
Section 2.13 Assessment & approval of foster carers; Schedule 2 - Service delivery & outcomes monitoring; 2.24 Contract Management and Monitoring Arrangements;
Regulatory & Standards references:
Children (Scotland) Act 1995; LAC Regs 2009; UK Nat. Standards 13, 16 & 23; Nat. Care Standards 5, 6,12 Good practice guidance points: • Social workers undertaking assessments should always be given adequate training to
undertake sound and creative work in assessing carers and be given adequate support,
time for reflection and opportunities to enhance their skills and knowledge
• Consideration should be given to the creation of a dedicated trainer role and encourage
more flexible use of other staff training resources for foster carers
• Workers are supported to develop understanding and confidence to value and promote
diversity in family placements
• Staff should have opportunities for training in key issues in family placement practice (minimum 5 days per year).
• Management continue to support assessment as a specialist task and ensure that staff
have the time to complete thorough assessments, and should maintain an overview of
the quality of assessments and receive reports from direct managers
• Managers should assist workers to gather, coordinate and analyse the information
required to prepare their report to the Fostering Panel
• Corporate parents and planning partners need to be encouraged to recognise the
specialist task of assessment and be prepared to contribute to the assessment as
required
• The assessment report should be used after approval in preparing for Carer Reviews
and to identify training needs of carers
• Thought should be given to providing a variety of different pathways to pre and post
approval training in recognition of lifestyle issues and to ensure that training is as
accessible as possible – in particular Preparation group training opportunities should be
varied and regular in order to ensure potential new carers are not lost due to lengthy
delays before training begins. In addition training should be designed to include both
partners in the foster home and the sons and daughters of foster carers
• Organisations could offer a richer learning environment by providing joint training
opportunities for carers, childcare staff and others involved in fostering
• Regular opportunities to share successful foster carers’ characteristics should be
provided by RFPs
• It would be beneficial to provide access to experienced family placement practitioners,
either employed by agency on a full time basis, to offer mentoring to staff
• Thought should be given to the training and development of fostering panel members,
e.g., CPD plan and agreed actions for Panel members and shared training / learning
activities with other panel members with minimum levels of training required per annum
• Fostering Panels should reflect the range of interests involved in fostering and the
involvement of foster carers and those brought up in foster care should be encouraged
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
23
PAYMENTS TO FOSTER CARERS:
Payments to foster carers vary widely across Scotland. Whilst individual
providers are not required under the terms of the contract to disclose what they
pay foster carers by way of fees and / or allowances, there are a number of
factors related to the payment afforded to carers which have the ability to
influence the stability of placement provision, and should therefore be considered
– particularly in relation to allowing for these situations when core cost
specification is agreed.
The following is not an exhaustive list, but provides some key areas where
payment to foster carers can affect placement stability:
• It is recommended that allowances paid to carers should, as a minimum, be in line with
tFN minimum recommended levels. These are calculated annually and are made up from the direct costs of caring for a child plus a further amount to take account of
additional costs that arise on account of the characteristics of fostered children and the
characteristics of fostering. The allowance rates were derived from the Expenditure and
Food Survey published by National Statistics which looks at the spending patterns of
approx 7000 households and comes up with average expenditure figures. The
McClements Equivalence Scale is then used to work out what percentage of that figure
is spent on the child, and then this figure was adapted to more accurately correspond
with the costs of children in care using research in 1997 and 2001 by Oldfield. The
minimum recommended allowances do not contain any element to compensate for the
indirect costs of fostering (i.e. the time spent by foster carers). Nor do they contain any
element that recognises the foster carer’s level of skills and training.
• In many cases foster carers are paid a separate fee that provides remuneration for their
work, skills and experience. It is recommended that as a good practice measure
organisations address the need for appropriate remuneration to carers related to their
skills development and qualifications. It is also recommended that the amounts paid for
fees and allowances are detailed separately so that there is clarity on what each
payment relates to and should be used for.
• It is recommended that the equivalent of two weeks additional allowance should be paid
to cover the costs of holidays, and should be paid whether or not carers are having a
holiday, due to the cost of entertaining children in school holidays.
• It is recommended that one weeks additional fostering allowance should be paid to
cover costs associated with the child’s birthday
• It is recommended that one weeks additional fostering allowance should be pad to cover
costs associated with Christmas or other religious festival.
• The minimum recommended allowance assumes that children arrive at a placement well
clothed. In practice this is not always the case therefore a standard clothing grant at the beginning of a placement is recommended.
• Consideration should be given to provision of a retention payment when no child is on
placement. This is in recognition that many carers give up work to provide foster care
and often this is the sole source of income. If agencies wish to ensure placement
availability from fully trained and experienced carers then payment of retainer fee
should be considered.
• For similar reasons to the point above, consideration should be given to provision of a
retention payment in the case of an allegation being made against the foster carer (for
a specified period of time which is adequate to allow full investigation of the allegation).
In the event an allegation is proven to be unfounded the availability of the foster carer
for immediate placement will be more likely if the agencies treatment of them had been
fair and positive and has not caused financial hardship.
Best Practice Guidance: Using the National Fostering Framework Contract (Scotland)
24
7.8 Recommendations for future research related to best practice in foster care
procurement:
Throughout the development of this best practice guidance, a number of areas
emerged which, if researched and developed, could enhance the contracting and
procurement experience from the perspective of both purchaser and provider as
follows:
• Research in to the possible benefits of provision of a national carers register which could
be accessed by individual agencies – if the contract was adopted throughout Scotland
this function could be delivered by the contract managing organisation. This would
provide huge benefits in terms of a centralised record of carers skills, experience,
training and qualifications, but would also ensure that details of carers who had been
de-registered could be held centrally and the reasons for the deregistration accessed by
all service providers.
• Similarly, research into provision of a central foster carer recruitment resource/service
(which would complement and not replace existing localised recruitment) would allow
for sharing of resources, data and expertise across the whole of Scotland, but would
also provide a framework for easier facilitation of additional shared services, such as
training and assessment, which local services could access for their locally recruited
carers. For example a national recruitment services may be well positioned to deliver
preparation group training which could be accessed by local services for carers who
cannot access local training opportunities for a variety of reasons (work patterns,
holiday commitments etc).
• Research into the development of a national geo/demographic mapping tool to
accompany contractual delivery would allow closer analysis of recruitment demography
allowing for better informed recruitment decisions, and provide a framework for national
data gathering, monitoring and reporting.