Procurement of Social Care Services from Independent Providers

This is an official Northern Trust policy and should not be edited in any way Procurement of Social Care Services from Independent Providers Reference Number: NHSCT/12/484 Target audience: All staff in the Trust involved in procuring social care services from Independent Providers Sources of advice in relation to this document: Briege Donaghy, Assistant Director of Strategic Planning and Modernisation Replaces (if appropriate): NHSCT Process for the selection of social care and community based services from independent providers NHSCT-08-88 Type of Document: Trust Wide Approved by: Policy Committee Date Approved: 26 January 2012 Date Issued by Policy Unit: 1 February 2012 NHSCT Mission Statement To provide for all the quality of services we would expect for our families and ourselves 0

Procurement of Social Care Services from Independent Providers 1

Contents 1 Introduction Page 3 2 Purpose of Procurement 4 3 Scope of this Policy 5 4 Procurement Routes 5 5 Grants 7 6 Grant Awards on a Match/Joint Funding Basis 8 7 Market Intelligence 10 8 Special Circumstances 10 9 Procurement Process 11 9.1 o Service Specification 11 9.2 o Evaluation Criteria 12 9.3 o Selection Panel 14 9.4 o Advertising 15 9.5 o Submissions and Selection 16 10 Re-Tendering 17 10.1 o Decision to Re-tender versus Contract Extension: New 17 Services 10.2 o Re-Tender Exemptions 19 10.3 o Re-Tender: Existing Services 20 10.4 o Under taking Re-tender: Additional Considerations 21 2

Target Audience All staff in the Trust involved in procuring social care services from Independent Providers. Introduction The Trust commission significant volumes of social care and community based services from Independent Providers, in the range of 90m annually. In this context, Independent Providers include community and voluntary organisations (may also be registered charities but not necessarily so), social enterprises or not for profit companies and private sector companies. By the nature of health and social care services delivery of the service will very often be within the client s (service user) own home or for residential services there will be the need to provide appropriate accommodation, as well as support and care to meet the needs of client. Residential accommodation is provided primarily in 3 ways: o accommodation in the ownership of the Trust (statutory residential homes or children s homes for example); o accommodation funded by the Department of Social Development (DSD) through their social build programme most often in the ownership of Housing Associations (e.g. Supported Living flats or bungalows, for an individual or a group of homes within a Supported Living scheme); o Independent Sector (IS) Providers who finance and build accommodation at their own cost and contract with the Trust for the provision of a accommodation based services on an agreed tariff or rate (e.g. private Nursing Homes ). Some day services may also make use of a building based approach, for example drop-in centres to provide support, advice and guidance to clients accessing a range of day opportunities. 3

Other services may be provided in the clients own home such as domiciliary care services. Where this is an identified need for a new or expanding service, procedures are in place to identify the need and seek to secure the appropriate funding to enable the Trust to put the service in place. A Business Case sets out where need is identified and the prioritisation of such cases is taken forward by the Senior Management Team and appropriate approval routes depending on the value of the scheme. Where funding or joint funding is coming from a source outside of the HPSS, for example the DSD or Housing Executive, again a Business Case sets out the need and approval routes take that forward. In some cases the Regional Board will commission a new (or extended) service from the Trust and the need for same, and costs, will be set out in an IPT (Investment Proposal Template). Where it is determined that the Trust will put the new or extended service in place through involvement of the Independent Sector, the procurement process is carried out by the Trust since social and community care services are not yet part of the portfolio of services commissioned via the Regional Procurement and Logistics Service (PALS), the Centre of Procurement Expertise (CoPE) for Tendering/ Commissioning Services for other goods and services supplied to the whole of the HPSS. It is important therefore for the Trust to have procedures to guide procurement processes, which are (in the main ) overseen and facilitated by the Trust Commissioning and Contracts Department. This policy document sets out those processes for the procurement of social care services. Purpose of Procurement Where services will be delivered by Independent Providers on behalf of the Trust, it is vital to ensure that selected Providers are appropriately registered and qualified to carry out the nature of the services being commissioned in order that they can meet agreed standards and deliver quality care and 4

support. The procurement process seeks to ensure the selection of an organisation that is appropriately skilled and qualified and with the ability to deliver the service being commissioned. The procurement process also aims to ensure the Trust achieve value for money. The process for selection must be robust, without prejudice and transparent enabling the Trust to meet probity requirements. Scope of this Policy This policy sets out the processes for procuring social care services, both accommodation based, home care delivery and other arrangements for service delivery. Procurement for other services will be governed by appropriate policies in those areas eg procurement for business services, ICT services or employment services. Procurement Routes Where it is determined that an Independent Provider (s) will be identified to provide a social care service, the Trust will identify the most appropriate procurement route. Whilst open competitive tender is the most readily used procurement route, other well established routes may also be used depending on the nature of the service being procured and the market conditions, without compromise to probity. It is important to focus the procurement exercise using the route that is likely to be most effective in achieving the aim not least because there are costs for both the Trust and potential Providers in running and competing in such exercises, and to ensure that the cost of undertaking the exercise makes best use of public money. The following set out the primary procurement routes that will be considered. All the routes listed involve an invitation to a range of potential providers to make a submission and all are subject to assessment against a service specification. In addition to these procurement routes noted, the Trust will seek advice and guidance from PALS and Legal Services to aid the 5

identification of other possible routes, processing through the most appropriate procurement route, as required. o Open competitive tender o Restricted competitive tender o Partnering arrangement The identification of the most appropriate procurement route will be made by the lead Service Delivery Directorate, facilitated by the Trust Commissioning and Contracts Department, taking further advice as necessary. The following give just a few examples of where different routes may be applicable. They are by way of example only and do not restrict the procurement process to these routes for these particular services. o Open Competitive Tender : may be an appropriate route where there is no sensitively or risk of identifying a particular client(s) and there is likely to be a range of potential providers who could meet the Service Specification examples: domiciliary care, befriending services, counselling and advice services, parenting support services, addiction support and advice services o Restricted competitive tender : may be an appropriate route where there is sensitivity to the potential of personal details being a part of the service specification or a need to provide some specific details of a number of identified clients needs - examples: residential, nursing or supported living accommodation and support to meet the needs of a particular client or a number of identified clients; where there is known to be limited availability of a particular specialist service within the geography where the service is required (knowledge must be based on evidence of market intelligence) o Partnership Arrangement : may be an appropriate route where there is a need to identify a community/voluntary sector partner organisation 6

to develop and deliver a range of social enterprise initiatives, with the partner organisation being identified as a voluntary organisation, with non paid directors and a social enterprise ethos for example. Whichever Procurement Route is selected, all will involve a process of setting out a service specification and inviting potential providers to submit against that specification. Hereafter in this document, this will generically be referred to as the tender, which should be read as applying to any of the above or other appropriate procurement routes. Grants This policy relates to social care procurement where the Trust has set out a service specification and seeks an Independent Provider (including Community, Voluntary and Private sector providers) to respond to that specification, detailing the delivery of volumes, prescribed activities, standards and outcomes to be met. A Grant may be awarded to a Voluntary organisation to aid the work of that organisation in carrying out certain activities that the Trust consider to be complementary to, or having a positive impact on, health and well being (including social well being). While the Trust may in these cases be selective about the nature of the activity to which it wishes to award a Grant eg parenting support activities or play activities for children with disability, the Trust will not have issued a service specification but rather will invite Voluntary organisations to advise on the nature of the activities being undertaken, their potential for a positive health and well being impact and be satisfied with same in making such a Grant award. In such a process, there would be broad knowledge of the availability of the Grant award scheme across the Voluntary sector and there would be a competitive aspect to an organisation securing limited Grant award funding. Monitoring of activity delivered after the award of a Grant would be undertaken. This Procurement Policy does not govern such singular Grant awards (ie a Grant awarded by the Trust to a voluntary organisation outside of a cost- 7

sharing or match-funding agreement), those being overseen (where available) by the Service Delivery Directorates and / or through the Trust Community Development Department. Grant funding awarded by the Trust on a cost-sharing/match funding basis (ie where the Provider organisation has secured funding from another source to contribute to the delivery of a service) is covered below. Grant Awards on a Match/Joint Funding Basis Where a Voluntary organisation approaches the Trust to act as a Match Funding Partner within a Grant Award scheme, or the Trust is made aware that a Grant Award scheme has been launched or is planned to be made available, the Trust will: o Establish an Evaluation Panel o Consider information from the Grand Award Funding scheme to determine the nature of the scheme and appropriateness for health and social care application o Assurance that the availability of the Grant Award scheme has been made widely known to the community/voluntary sector organisations, particularly within the Trust area, and so can be assured that all such organisations have had equal access to information about funding opportunities and support available during the application process (where this is not the case the scheme will be discounted or the Trust will make effort to promote the availability of the scheme to appropriate organisations across the Trust area, time permitting) o Consider the service needs identified by the Trust and the nature of the schemes that the Trust would consider as a Funding partner, with potential funding quantum and funding source that might be available o Consider all such approaches made to the Trust, seeking additional and consistent information from each to enable an evaluation to be undertaken 8

o Individually evaluate all such proposals against the needs, potential benefits and funding potentially available o Determine whether the Trust wish to fund one or more of the proposals o Give feedback to the successful and unsuccessful proposing organisations and reasons for decisions o Await the decision of the Grant Award scheme in relation to the proposal put forward o If successful, the Trust will establish a Grant Award Agreement (GAA) with the Provider organisation, with the GAA setting out the funding contributions, the duration of the Agreement, the responsibilities of each of the organisations involved, the activities planned, access to the services / activities, expected outcomes, how the service impact will be measured and arrangements for ongoing collaboration and review o Under these arrangements the scheme will not be subject to a retendering processes (see Exemptions) as it has not been subject to a procurement route in the first instance as the scheme itself has been promoted and managed as a Grant Award scheme. o Requests/proposals for the extension of a Match Funding scheme will be considered via the same process as is set out above, ie an evaluation against Trust needs and potential benefit. Extension of the Joint Funding award will not be automatic at the end of the original funding period (normally 3 to 4 years). o Where the Funder initiating the scheme reduces or withdraws their funding to the Provider within the period of the Scheme, the Trust will not necessarily enhance its funding to replace that loss, but will give consideration to the future funding arrangement and advise the Provider of the outcome of that decision. The Trust cannot guarantee to continue its funding contribution in such circumstances, as an action by the original Funder may make the continued delivery of the Scheme unviable. 9

Market Intelligence Before launching a Procurement process, the Trust may engage, seek or accept advice from the market and / or from existing providers which may be used in aiding the preparation of a service specification. This will be limited to generic/ general information that will not have the effect of precluding competition nor give any provider any advantage. In addition to any meetings with individual and groups of current and potential service providers, the Trust may also consider sharing information about their plans for services through: o open days; o provider forums; o use of media, brochures, leaflets, website, DVDs etc.. to raise awareness, potential interest and improved understanding of requirements Where a Provider is involved with the Trust in a strategic working group or partnership, where that Provider may at a point wish to submit against a Trust tender for service delivery, appropriate steps will be taken at the partnership/working group level to ensure the Provider is not privy to any information that may give an advantage within a competitive process. For example, the Provider will step aside/not be involved in any meetings, discussions or circulation of information from the Group, or any of its members, relating to the design, content, specification or process associated with the Procurement. Special Circumstances In some, extremely limited situations, a procurement (or re-tendering) process may not be appropriate as the costs and risks associated with so doing would not be warranted. Such situations may include: 10

o where a service is of such a specialised nature that no market of suitable potential providers exists, for example where evidenced market research indicates that there is only one potential service provider; o where, for example, the separate competitive tendering of a housing related support service would result in the withdrawal of the accommodation currently provided for the support service users, and those units of accommodation could not be replaced; In these situations the Trust will document the reason for that decision and hold this within the appropriate contract file. The Trust will also seek to adopt alternative approaches that continue to ensure the principles around capacity to deliver the service can be met while seeking to negotiate and secure best value in terms of costs with the existing Provider. This may be supported by benchmarks for example, comparing the service provided under a proxy statutory delivery method or a service provided in another territory that might be considered comparable, eg a similar service provided in GB or Republic of Ireland. This situation will be kept under review as market conditions may change. Service Specification The service specification is a document which describes the context in which the service is to be delivered, the outcomes to be achieved for service users and a description of the services to be provided, including activities, volumes, locations and standards. The service specification will be drawn up by the professional social work staff and managers who will be responsible for overseeing the delivery of the service, aided by appropriately skilled colleagues from other departments and facilitated by the Commissioning and Contracts Department. The lead professionals and other departmental staff involved, should assure themselves that the service specification: 11

o clearly defines the purpose of the service and outcomes to be achieved; o is sufficiently detailed to ensure that tenderers/service providers are clear what is required, but not so prescriptive that it discourages them from proposing innovative solutions that achieve best value; o list possible key performance indicators to be included in the contract, including standards to be met. This should include compliance with the appropriate regulatory standards and with any additional verification requirements where applicable, including appropriate registration; o takes account of relevant legislation, strategy, policy, guidance, available resources and any Trust organisational requirements as required; o identifies delivery requirements, including eligibility criteria and arrangements for access to the service; o is realistic in specifying requirements and outcomes which can be delivered within the available/anticipated budget; o includes the type of management information that will be required and the frequency that the Trust will require the information to be provided; o describes all aspects of the service and highlight issues that may be relevant to the Provider, for example whether premises will be required or a specific location is identified; o includes an evaluation template which clearly states the selection and award criteria and the scores and any weightings that will be applied The specification will be a substantial part of forming the formal contract between the Trust and the service provider after award. The Commissioning and Contracts Department provide an outline template for Social Care Service Specifications which will need to be tailored to the particular needs of the service. 12

Evaluation Criteria The purpose of the evaluation process is to consider the degree to which potential providers meet the specification for service delivery and the Trust s requirement to achieve best value. The evaluation and award criteria set out in the service specification should consider the following as minimum. Each criteria should be weighted to the specific needs of the service user(s) / scheme. All pre qualifying/essential, main and sub criteria must be listed in the service specification document together with marks / weighting for each. Changes cannot be made to the criteria and scoring framework post commencement of the tender process. The evaluation criteria will include elements to assess suitability of the Provider organisation, their interpretation of the specification and ability to deliver the requirement. The following will be considered in assessing the provider's suitability in principle to deliver the service, taking account of capability and experience. The type of evidence sough will include: o relevant experience and expertise; o provider capability/capacity; o policies and procedures, with evidence of governance arrangements which will exercise proper management and control of the organisation and its finances; o mechanisms to ensure full compliance with appropriate performance standards; o references, including from other Trusts; o staff structures, qualifications and training; o registration as appropriate; o financial viability and sustainability of the organisation Considering then the Providers' ability to deliver the service being commissioned, the process will seek to establish the Providers : 13

o understanding of the service requirements and implementation proposals; o approach to achieving the required outcomes for service users; o demonstrating an appropriate value base for the service being commissioned; o proposals for service improvement/development/innovation; o proposals for monitoring and evaluating service delivery and service user satisfaction; o cost Each member of the Selection Panel will score the Provider submission independently. At the end of the evaluation process, the scores against all the criteria will be combined to form an overall score. The contract award recommendation will be based on the highest-scoring tender, whilst the Panel reserve the right not to award if the cost exceeds the budget available. The successful and unsuccessful tenderers will be notified in writing of the outcome of the tender process, and offered feedback on their tender submission. Selection Panel The Panel taking forward the procurement process will take account of standard Trust polices in terms of Panel gender and religious make-up and adopt the principles of the Standards of Business Conduct in the HPSS (including impartiality and honesty in the conduct of their official business). The Panel will have a minimum of three members: a Professional (service appropriate) Lead, who will Chair the Panel; Commissioning & Contracts Department representative; a Finance representative. Other members might also be considered: additional professional input from within the Trust or from an external body, other Funding or Partner Organisation representative; Service User representation. 14

Collectively the Panel will adhere to the procurement process and collectively take responsibility for the effective delivery of the process. Each will also bring their own operational and professional expertise to bear. In addition the Panel Chair will, at the outset, ensure all members are conversant with the Service Specification and scoring methodology, that each has an opportunity to seek clarification during the process, that there is adequate discussion and understanding of the submissions made so that appropriate scoring can be made and that meetings of the Panel are effective. They will ensure the final decision of the Panel is reached and documented. As well as being a full Panel member, the Commissioning & Contracts Department representative will facilitate the overall process and ensure the detail set out in the Procurement policy procedures are adhered to, the Panel are supported in carrying out their roles and that robust administrative procedures are adopted including record/file management. They will collate the overall scores of the submissions and so identify the comparative scores achieved by each Provider. They will also ensure the outcome of the decision of the Procurement process is conveyed in a timely manner to the applicant Providers, and that feedback if offered and facilitated to unsuccessful applicant Providers. The Finance representative, as well as being a full Panel member, will advise and guide the Panel in interpreting financial information submitted. Advertising The advertising of the tender will be appropriate to the Procurement Route. Where it is an open competitive process, adverts will be placed in at least one regional paper with consideration given to adverts in local papers, circulation of information directly to Professional Bodies, Networks, Federations etc that may be helpful in drawing attention to the advert and secure sufficient interest in the tender. 15

Social Care procurements are not required to be advertised in the OJEU (Official Journal of the European Union) however this can be considered by the Trust if felt appropriate to the service being commissioned. The above actions may be supplemented by a range of approaches including direct approach (e.g. writing to current providers of similar services), holding events, use of web site, meeting with representatives bodies (e.g. IHCP Independent Healthcare Providers). While every opportunity should be sought to gain the widest possible, appropriate interest to offer opportunity for best value, care should be taken to ensure equality of opportunity is evidenced throughout the process. Submissions and Selection The Trust will invite providers to make submissions through the appropriate Procurement Route. The following steps will be adopted by the Trust to ensure robust appraisal of submissions: o Responses to the tender will be drawn up in a long list where necessary (i.e. depending on number of responses) and will be further short listed using the previously agreed criteria o The exercise will seek to identify a minimum of 3 options to take forward for value for money (VFM) comparison o Where less than 3 options are available for consideration (e.g. just 1 or 2 providers have come forward expressing an interest in service provision) a number of benchmark schemes existing / running within the Trust, within the HPSS or wider if necessary, may be identified to allow a comparison and assessment to take place o [Where appropriate, providers not short listed should be advised at that point in the process where they are de-selected - if the full process is expected to be lengthy - and provided with information on reasons for their de-selection at the final award stage] o Interviews can only be arranged with applicants to seek further information/ clarification on their submission but this can t be used to 16

add to the scores achieved, but may be used to revise a score downwards o The need to visit an existing scheme(s) and / or if a new capital scheme is proposed, a visit to the proposed facility/site, can be facilitated. Final decisions of the Panel will be notified in writing, with appropriate feedback information to all unsuccessful Providers on request. Trust Board will be updated quarterly on all such Awards, at their appropriate monthly meeting, held in public. Awards over specific values will be notified in OJEU (via Commissioning and Contracts Department in co-operation with PALS). No information will be disclosed during the evaluation process. Until final award is made, commercial in confidence applies. Re-Tendering The procedures set out in this policy apply equally to new services and to the re-tendering of existing services. However it is important to consider issues that will be particular to re-tendering situations including the need for service continuity and assurances to service users and carers. The Decision to Re-tender versus Contract Extension: New Services While the framework for non social care services contracts state that a contract period should not exceed 4 years (with options for extensions if stated at the time of competition), there are no explicit limits in public procurement law on the duration of a social care contract, although excessively long contracts may be open to challenge on the grounds that they are designed to distort markets/competition, are not fair/equitable and may not be continuing to offer value for money if not subject to re-test. 17

When undertaking new procurements therefore, it is important to be explicit about the contract duration, and any options for extension. (The Trust will also want to ensure that any such extension of the contract will be subject to a review of service delivery). This will ensure that expectations are clear and ease the retender process when that time arrives. These should be assessed on a case by case basis, taking into account the social care procurement principles, the nature of the service and the maturity of the market sector. The Trust will therefore include contract duration and extension plans in all new social care tenders. In order to help smooth any transition period from one service provider to another, the Trust will include lead-in, exit and handover clauses and TUPE clauses in all new social care contracts. Price adjustments clauses within contracts provide the parameters for adjusting price (upwards or downwards) during the term of the contract. Allowing for this opportunity for price reduction within the life time of the contract means that price in itself need not be the single factor when considering the need for re-tendering. The Trust will include price adjustment clauses in all new social care contracts Decisions about contract duration and retendering may also include consideration of the need for a stable and developing workforce in social care. Research evidence suggests that frequent re-tendering can have adverse implications for staff morale and conditions of service and can lead to the loss of highly motivated or skilled staff (Ref: A gathering storm? Procurement, retendering and the Voluntary sector social care workforce. University of Strathclyde 2009). This may be an issue particularly in new/developing or highly specialist services. Where it is considered that a service should not be subject to re-tender due to its specialist or fragile nature, the Trust will record the reasons for so doing and continue to seek to ensure value for money (see Special Circumstances ), continuing to keep this situation under review as those market conditions may change. 18

Re-Tender Exemptions Some services commissioned by the Trust are commissioned and funded under joint arrangements with other statutory bodies, primarily the Housing Executive, Department of Social Development (DSD) and Department of Employment and Learning (DEL). In these situations it would not be appropriate or possible for the Trust to retender without the combined cooperation of the other funding bodies. These schemes relate mainly to Supported Living schemes and schemes run under the umbrella of the European Social Fund (ESF). 1. In Supported Living schemes, the service (including accommodation in some cases) is awarded to a Housing Association and their partner service provider and is subject to robust and regular monitoring and review by the Housing Executive with the Trusts close involvement. This can result in service redesign or withdrawal of funding if requirements are not being met. Given this process providing ongoing assurance is in place, and the fact that the Trust would not have the authority to retender for services provided under joint funding/partnership arrangements with the Housing Executive, Supported Living Schemes ( including accommodation) funded wholly or in part by the Housing Executive s Supporting People scheme, will be exempt from the Trust retender processes. 2. In ESF schemes, a large part of the funding is provided to a Voluntary organisation under a Grant award scheme by the department of Employment and Learning. This requires the Voluntary organisation to secure a statutory or business match funding partner. The Grant award is made for a period of at least 4 years and can be extended or reapplied for by the Provider. Where the Trust acts in the capacity of a match funding partner, it would not have the authority to retender for part of all of the service being delivered for a number of reasons: 19

o the scheme is run on the basis of a Grant Award scheme (managed by DEL) and was not originally subject to a procurement process o the Trust is not the sole funder and would not have the authority to act o the Trust funding input is essential to the continuity of the service under then terms of the ESF scheme (for the agreed funding period) - withdrawal of funding would end the service delivered under the Grant Award scheme In these joint/partnership funded schemes the Trust will work collaboratively with DEL and the Provider to ensure service delivery and standards are met and that value for money is achieved. European Social Fund approved schemes, where the Trust acts as a match funding partner, will be exempt from the Trust retender processes (see Grant Awards on a Match/Joint Funding Basis for information to extensions to schemes) 3. Contracts associated with permanent placements of individual clients in Nursing or Residential Home accommodation (across all programmes of care, both within NI and GB) are exempt from retender. Processes exist for ongoing assurance of quality care standards and prices/tariff frameworks for individual cases. Care review and escalation processes take account of proposed price increases beyond regional tariff setting, with client choice being taken into account. Not withstanding these arrangements, the Trust will seek to secure improved prices where market conditions prevail, where block purchasing arrangements are in place and in all circumstances without compromise to quality of care. Re-Tender: Existing Services o An inventory of existing contracts will be undertaken to identify contracts inherited by the Trust on its establishment in April 2005, excluding those contract types that have been identified as exempt from re-tender. 20

o In addition an inventory will be undertaken for all social care contracts awarded since April 2005 and now exceeding 4 years duration, excluding exemptions. o The combined inventory from both of the above will be then subject to a review carried out by the appropriate Professional Lead, the Commissioning & Contracts Department representative and a Finance representative, giving consideration to the terms of this policy and identifying those contracts that should be subject to re-tender. Any to be excluded, reasons will be appropriately recorded. o The contracts database will record the expected date of re-tender for all new and reviewed contracts This exercise will be repeated on an annual basis until such times as the arrangements set out for the award of new contracts, and associated retendering, supersedes this process. Undertaking Re-Tenders: Additional Considerations In approaching the re-tender for an existing service, the Selection Panel will, in additional to the standard Procurement requirements, consider: o The need for service continuity and assurance re existing service user's and carer's needs are met; o Communication with the existing provider, service users, families and carers o A timeline for change that allows sufficient time for the existing Provider to plan ahead and keep staff advised o Existing contract terms for notification of change/variation/termination o Communication with other stakeholders including public representatives and the Regional Board (others as appropriate to the service) 21

o Planning for potential transition arrangements o The potential implications of staff transfers under TUPE (Transfer of Undertakings (Protection of Employment) Regulations 2006 *) *_The Transfer of Undertakings (Protection of Employment) Regulations 2006 ( TUPE) give employment rights to employees when there is a service provision change affecting all or part of a service and, as a result they may have a different employer, providing a service with the same identity. The TUPE Regulations may therefore apply to social care services when a Trust outsources a service or brings a service back in-house or when a service provider takes over the service from another provider. Equality, Human Rights and DDA This policy has been drawn up and reviewed in the light of Section 75 of the Northern Ireland Act (1998) which requires the Trust to have due regard to the need to promote equality of opportunity. It has been screened to identify any adverse impact on the 9 equality categories and no significant differential impacts were identified, therefore, an Equality Impact Assessment is not required. Alternative formats This document can be made available on request on disc, larger font, Braille, audio-cassette and in other minority languages to meet the needs of those who are not fluent in English. Sources of Advice in relation to this document The Policy Author, responsible Assistant Director or Director as detailed on the policy title page should be contacted with regard to any queries on the content of this policy. 22