Ref PS

Service Requirements

Performance Failure

Monitoring Method

Performance Monitoring Period

Performance Failure Category

Rectification Time1

Remedial Period

1

The Service Provider shall ensure that the Service Delivery Plans are updated to reflect any changes in service provision and at least annually.  Any changes to the Service Delivery Plans shall be submitted in accordance with the Review Procedure.

Service Delivery Plans are not submitted to the Review Procedure when updated.

2, 3, 4, 5

A

2

The Service Provider shall within [one month] of the Service Commencement Date, develop and thereafter maintain a procedure to ensure the regular monthly liaison between the Service Provider's management team and the Authority's management.

Monthly liaison meetings have not taken place as scheduled.

2, 3, 4

M

3

The Service Provider shall co-ordinate communication and liaison between the Service Provider and the Authority, in the form of management reports relating to the delivery of the Services.

Management reports are not correctly used for communication and liaison.

2, 3

Q

4

The Service Provider shall employ sufficient Staff to ensure that Services are provided at all times and in all respects in accordance with the Service Specification.

There are reported Staff shortages.

1, 2, 3

M

5

All Staff are screened in accordance with the Criminal Records Bureau or similar as agreed by the Authority and details of the outcome of such checks shall be submitted to the Authority Representative.  Staff shall have had employment references and health checks completed in accordance with the Authority Policies.

Any proposed Staff has not been screened prior to commencing work; and/ or pre-employment checks on any proposed Staff has not been carried out prior to commencing work.

2, 3

M

6

The Service Provider shall develop and maintain an appropriate induction programme and shall ensure all new Staff involved in service delivery undertake the induction programme prior to their commencement of work at the Facilities.  The Service Provider shall ensure that all Staff are at all times properly and adequately notified, trained and instructed and the information recorded within their personal training records.  This is in addition to the induction programme and shall include but not limited to: the task that the individual has to perform; all the provisions of this Services Specification relevant to the duties to be performed; all relevant health and safety hazards, rules, policies and procedures concerning health and safety at work and all other mandatory and statutory requirements; and fire precautions and fire procedures.

All Staff have not undergone induction prior to commencing work; and/ or Staff have not been trained and/or training records are not complete and up to date.

2, 3, 4

B

7

All Staff shall properly and presentably dressed in appropriate uniforms and work wear (including protective clothing and footwear where required); maintain a high standard of personal hygiene commensurate with their allocated tasks; and wear identification badges at all times while working in the Facilities.

Any member of Staff is not suitably dressed (with name badge) and presentable at all times.

2, 3, 4

M

8

The Service Provider shall undertake its own performance monitoring of the Services and shall produce a performance monitoring programme to the Authority and shall ensure that performance monitoring is carried out in accordance with the agreed programme.

The performance monitoring programme is not adhered to.

2, 3, 5

Q

9

•  The Service Provider shall prepare a Performance Monitoring Report each month and deliver it to the Authority within ♦ Business Days after the Contract Month end. The Performance Monitoring Report shall contain the information detailed in Appendix 3.

•  The Service Provider shall provide to the Authority an Annual Service Report no later than the date specified in clause 50.5 of this Agreement.

•  The Performance Monitoring Report is not provided within the agreed timescale; and/ or the Performance Monitoring Report does not contain the required information; or

•  The Annual Service Report is not provided within the agreed timescale or contain the information as set out in clause 50.5 of this Agreement.

2, 3, 5

M/A

10

The Service Provider shall develop, maintain and test annually, or as required, business continuity/ contingency management plans, to ensure: continued compliance with the Authority Policies with regard to issues such as fire and evacuation plans, disaster action plans; service specific risk assessments/business continuity plans for each of the Services; and business continuity of the supply chain for consumables and services within the Facilities. Each plan shall be developed in co-operation with the relevant Authority's personnel, such as the Fire Safety Officer; the Fire Prevention Officer and the Emergency Services where appropriate. The Service Provider shall ensure that all major incidents are reported to the Authority within ♦ Business Days.

•  Business continuity plans have not been developed and/ or tested. Business continuity plans have not been agreed with the Authority.

•  All major incidents are not reported to the Authority within ♦ Business Days.

2, 3, 5

A/PR

11

The Service Provider shall operate and maintain Quality Assurance in accordance with the requirements of the following industry performance standards from an approved list of quality schemes which includes but not limited to: ISO 9001:2000; and/ or Best Value. The Service Provider shall ensure that the Quality Assurance tool selected shall include, but not be limited to, the following: auditable quality systems as required to ensure the Service Provider's overall compliance with the Services Specification; ensure appropriate records are completed and maintained for audit purposes; allow the Authority access to records at all times and a provide a liaison person; provide the Authority with such information as it may require in order to fulfil its obligations; and ensure that the Staff are trained to achieve the level of understanding of the required quality system appropriate to their role.2

A quality assurance system has not been agreed with the Authority and is not implemented at all times.

2, 3, 5

M

12

The Service Provider shall assist the Authority to achieve its Best Value Duty through: submission a method statement outlining proposal for assisting the Authority to meet its Best Value Duty; and assist the Authority with the preparation of a Best Value Performance Plan for each function annually.3

The Service Provider has not submitted proposals for meeting the Authority's Best Value Duty. The Service Provider has not contributed to the development of Best Value Performance Plan.

2, 3, 5

A

13

The Service Provider shall comply with requests for information, data or other assistance to enable the Authority to report on the Best Value Performance Indicators (BVPIs) and Local Performance Indicators (LPIs) for the [insert details of services]. The Performance Indicators on which the Authority anticipates data will be required are as follows: [Insert details of relevant BVPIs and LPIs]. The Service Provider shall comply with requests for information, data or other assistance to enable the Authority to undertake and produce the annual Best Value Performance Plan, Best Value Reviews for the [insert details of service], the [insert details of Service Strategy] [and the Comprehensive Performance Assessment].  The work involved in assisting the Authority to produce these reports will use information that is readily available to the Service Provider [and is not intended to place undue burden on the Service Provider to provide complex and/or expensive research and/or calculations.]

The Service Provider has not provided all information requested by the Authority for Best Value reporting; and/ or the Service Provider has not complied with all requests for information to develop Best Value Performance Plans and Best Value Reviews.

2, 3, 5

A

14

The Service Provider shall develop, in cooperation with the Authority, Best Value Improvement Plans setting out mutually agreed tasks to improve service delivery and demonstrate continuous improvement in the [service] and the achievement of wider project objectives. The preparation of Best Value Improvement Plans will take into account the conclusions arising from the Annual Service Report, the Customer Satisfaction Surveys, the Best Value Performance Plan, Best Value Reviews, [the Comprehensive Performance Assessment,] and the [insert details of Service Strategy].The Best Value assistance and reporting requirements shall be provided in accordance with [to be inserted].

The Service Provider has not developed Best Value Improvement Plans in agreement with the Authority. The Authority is not in receipt of information and reports within the required time scales. The Authority has informed the Service Provider of incomplete and/or insufficient information within ♦ Business Days of receipt of information and the Service Provider has not amended the information requested within ♦ Business Days.

2, 3, 5

A/M/PR

15

The Service Provider shall, on each Customer Satisfaction Survey Date [undertake (or procure the undertaking of)] [assist the Authority to] [assist a third party to] undertake a Customer Satisfaction Survey the purpose of which shall include: assessing the level of satisfaction among Service Users with the Services (including the way in which the Services are provided, performed and delivered) and, in particular, with the quality, efficiency and effectiveness of the Services; assisting in the preparation of the Annual Service Report; monitoring the compliance by the Service Provider with the Services requirements; and assisting the Authority in the preparation of its Best Value Performance Plans and [insert details of any Service Strategy] and the conduct of its Best Value Reviews [and Comprehensive Performance Assessment].

The Service Provider has not undertaken a Customer Satisfaction Survey on the Customer Satisfaction Survey Date and produced the results to the Authority..

2, 3, 4, 5

A

16

The Service Provider shall: administer and manage its health and safety insofar as they relate to the provision of the Services; advise the Authority of any breaches of health and safety Legislation or Guidance; procure the services of a safety adviser qualified to at least the NEBOSH Certificate level or equivalent and co-ordinate the production, amendment and updating of all health and safety procedures with the intent of achieving consistency with the Authority Policy on health and safety; all statutory health and safety notices shall be posted throughout the Facilities; provide all Staff with suitable and appropriate personal protective equipment; and maintain and keep up to date health and safety records and documentation and make these available for inspection by the Authority including but not limited to risk assessments in respect of all of the Services and COSHH manuals.

The Service Provider has not complied with all obligations for health and safety provision and management.

2, 3, 5

M

17

The Service Provider shall develop, implement and maintain a Health and Safety Policy demonstrating compliance with all relevant Legislation, Guidance and Authority Policies affecting the management and delivery of the Services, the content of which is included within the Service Delivery Plan.  The Health and Safety Plan should integrate fully with all of the Facility's plans and procedures.

A Health and Safety Policy is not in place and operational as required by Legislation, Guidance and the Authority Policies.

2, 3, 5

M

18

The Service Provider shall ensure that all agents or suppliers who may be required to enter the Facilities are fully aware of all relevant rules and procedures concerning health and safety at work and fire risk precautions.

All agents and suppliers are not notified of all health and safety rules and procedures for the Facilities.

1, 2, 3, 4, 5

D

19

The Service Provider must make provision for first aid for all Service Users at the Facilities and have in stock appropriate and adequate first aid equipment and supplies which should be routinely checked recorded and made available for inspection.

First Aid, stocks and equipment is not available for any Service Users at the Facility.

1, 2, 3, 4, 5

D

20

The Service Provider shall provide Staff with suitable and appropriate personal protective equipment.

They Staff are not provided with suitable and appropriate personal protective equipment.

1, 2, 3, 4, 5

D/PR

21

The Service Provider shall develop and maintain a Fire and Evacuation Plan that shall include fire precaution procedures including the provision for fire safety, prevention and awareness and fire drills and evacuation in liaison with the Fire Authority.

A Fire and Evacuation Plan has not been prepared and periodically reviewed.

1, 2, 3, 4, 5

M

22

The Service Provider shall ensure authorised Staff [and Authority staff] are trained in the operation and use of fire safety systems and equipment.

Training is not complete for authorised Staff [and Authority staff] and compliance is not demonstrated for the use of fire safety systems and equipment.

1, 2, 3, 4, 5

M

23

The Service Provider shall maintain and keep up to date all health and safety records and documentation and make these available for inspection by the Authority Representative to include but not limited to: Risk Assessments and Work Permits for all Services; COSSH manuals; and method statements.

All health and safety records are not up to date and available for inspection.

2, 3, 5

M

24

The Service Provider shall provide, maintain and replace equipment and consumables necessary for the provisions of the Services.

All equipment and consumables are not provided for and maintained to carry out the provision of Services.

1, 2, 3, 4, 5

M

25

The Service Provider shall operate and maintain an Environmental Management System in accordance with the requirements of ISO 14001 as amended.  This shall include but not be limited to: an Environmental Policy; regular review of the Authority's Policies on the environment; setting objectives and targets to improve environmental impacts; operational control procedures; monitoring and recording; role allocation and training; non-conformance and corrective action process; and system audit and management review.

An Environmental Management System is not in place and operational.

2, 3, 5

M

26

•  The Service Provider shall carry out the Services, in accordance with Good Industry Practice, the provisions of this Agreement, and relevant Authority Policies, Legislation and Guidance.  

•  The Service Provider shall assist the Authority in the future development of Authority Policies by providing information and revising and agreeing with the Authority relevant procedures in connection with the provision of the Services.  

•  Any Service does not comply with a relevant Authority Policy, Legislation, Guidance or is not carried out in accordance with Good Industry Practice; and/ or

•  The Service Provider has not established protocols for working with the Authority to develop and revise new and existing Authority Policies.

2, 3, 5

M