Outline of contingency plan template items

What a contingency plan should contain. This page an outline of elements we propose to include in the template section of the provider failure contingency planning guidance. This is very much a work in progress.  We encourage you to review this list and add any elements you think are missing to the comment box below or any other comments.

This work is part of the Provider Failure Contingency Planning Guidance led by LGiU and ADASS and forms a part of the consultation with the Virtual Reference Group:

The law – setting out the statutory obligation to provide temporary care under the Care Act 2014.

A position statement on market oversight:

  • Working relationships with CQC
  • Gathering intelligence on market resilience (see CordisBright guidance)
  • Engaging with the market – (see IPC guidance on engagement with providers) including any engagement with provider bodies –e.g. care associations
  • Safeguarding and quality feedback from within the council
  • Supporting provider relationships – e.g. supporting each other
  • Supporting providers, including those not commissioned to have good risk management, business continuity and data transfer plans.
  • Understanding the impact of non-commissioned support, prevention and ancillary services on the market

Contract management:

  • Ensuring that contracts have appropriate clauses on notice of closure, transfer of clients and client information
  • Supporting non-contracted providers to have similar risk management procedures (e.g. in case of closure, but also emergencies, like force majeure)
  • Good contract oversight
  • Complaints and user stories

Principles statement: statements which outline the approach which should be taken including:

  • Continuity of care
  • User choice
  • Carer choice and support
  • Employee choice and support

Roles and responsibilities: Who is responsible for triggering contingencies and carrying out contingency plans. Job titles will vary, but roles might include:

  • Commissioning team
  • Safeguarding team
  • Care management
  • Emergency planning/ business continuity
  • Finance
  • Senior Social Services management – e.g. DASS

Continuity of care:

  • Thinking through what you’ll do to support providers who may be struggling to avoid failure
  • Arrangements with CQC
  • Support team – e.g. contracts and commissioning team and arrangements with a quality and/or safeguarding team
  • Supporting provider staff through periods of uncertainty

Intelligence and information sharing

  • Understanding who receives care and the number of service users potentially affected by provider failure
  • Establishing lines of contact with key stakeholders such as:
    • CQC
    • Health services
    • Safeguarding teams
    • Other local authorities
    • Police

Communications: Strategies should be established to deal with communication both internally and externally

  • Identifying key points of contact for inside the local authority, including people in social services, finance, senior management team, elected members and emergency planning
  • Engaging with the corporate communications team to have clear and consistent messages for the public and media
  • Consultation plans on proposed closures (for slower failures)
  • Engagement strategies for third sector and support services (e.g. Age UK, local charitable and support services)
  • Engagement strategies with staff

Identifying and supporting alternative provision:

  • In line with market management – having information about alternative providers
  • information and support strategies for self-funders, including alternative provision and appropriate financial advice
  • Identifying and commissioning providers of last resort

Force majeure

  • Links to uniformed services, police, fire, ambulance and civil contingencies
  • Snow and adverse weather provision
  • Differences between temporary and permanent closures and provision of support to providers in difficulty


  • Plans for rapid assessment of need for clients of failing/failed services. Including resource and mobilization plans
  • Assessment of social needs for care home residents, preserving friendships and other relationships
  • Clinical and social needs
    • Medical or clinical arrangements (e.g. GP, hospital appts)
    • Pharmacy and medication arrangements
    • Financial dealings
    • Equipment and aids
    • Details of next of kin and other key contacts
    • Any other specific needs
  • For home care: support for re-assessment of care package by new providers

Arrangements for transfers:

  • Communicating dates, times and logistics to all concerned parties, preferably in writing
  • Social arrangements: opportunities to say goodbye and to be greeted in the new home
  • Home care transitioning – supporting new or TUPE’d staff

Cost recovery:

  • From providers (where additional support including staffing) has been arranged
  • From self-funders who receive emergency or transitional cover
  • From local authorities who have clients placed outside their boundaries
  • From CCG (??)

Knowledge management:

  • Storing and dissemination of contingency plans
  • Review and updates
  • Links to related plans, support and guidance

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